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 A GUIDE TO DEVELOPING A RECORDKEEPING POLICY

4> STRUCTURING A RECORDKEEPING POLICY

4.1 > WRITING THE POLICY DOCUMENT

A recordkeeping policy may consist of statements regarding recordkeeping requirements that appear in policy documents on other subjects, such as e-mail or human resource directives. However, a single policy document is a more effective means of outlining the organisation's strategic direction and communicating to staff their recordkeeping responsibilities.

When writing the policy document, keep it clear and concise. The document needs to be well-structured, with the different aspects it covers clearly identified for ease of reference, while the language ought to be clear and direct so that all staff will understand their responsibilities.

Ensure that all information in the policy is accurate and relevant. Avoid including detailed information on practices and procedures; these are to be documented separately to support the recordkeeping policy.

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4.2 > WHAT TO INCLUDE IN A RECORDKEEPING POLICY

A comprehensive recordkeeping policy ought to include the following elements:

 

Purpose

This section briefly outlines the main aims of the recordkeeping policy. For example, it is likely to state that the policy establishes a framework for the organisation's records management programme and outlines staff responsibilities.

Scope

This section states the subject of the policy and to whom it applies. A comprehensive recordkeeping policy will be addressed to all staff, whether permanent or temporary, including contractors and volunteers. It will apply to records of all work done by or on behalf of the organisation, of all functions (core and administrative), and in all media or formats.

Policy Statement

The Policy Statement provides a broad outline and framework for recordkeeping in the organisation. It states the value that the organisation places on recordkeeping and affirms its commitment to uphold certain principles. The statement may include reference to legislative requirements or acknowledgement of the ways in which good recordkeeping will help the organisation to achieve its key objectives.

The Policy Statement sets forth the organisation's overall vision or philosophy of records management. Policy statements on specific areas of recordkeeping, such as those to do with electronic records, are to be included in the section on Records Management Systems and Guidelines.

Regulatory Framework

This section outlines the legislative and regulatory requirements that impact upon an organisation's recordkeeping. It can include a list of relevant legislation, voluntary standards, and codes of conduct. Examples include the Public Records Act; the International Standard on Records Management, ISO 15489; the Official Information Act; the Local Government Official Information and Meetings Act; the Privacy Act; the Resource Management Act and the Public Service Code of Conduct. It may also include legislation specific to your organisation or sector.

Records Management Systems and Recordkeeping Principles

This section identifies the organisation's records management systems and any specific policies associated with them. It outlines the objectives of these systems and the key processes that they manage.

This may include statements about records storage, security, access, and disposal. It may also include policy statements such as that electronic documents are to be saved into a shared drive, or that records are not to be altered without acknowledgement. However, these statements remain principles rather than procedures. For example, the processes by which electronic documents are to be saved into a shared drive, or changes to a record documented, would be outlined in a separate procedural manual or manuals.

Responsibilities

This section outlines and assigns management and staff recordkeeping responsibilities.

It may state that the Chief Executive or administrative head is responsible for ensuring that the organisation complies with legislative requirements for recordkeeping, including the Public Records Act.

This section explains that all staff have a responsibility to create and maintain full and accurate records of activities, transactions, and decisions carried out during the course of daily business activity, and to comply with the organisation's documented records management policies and procedures.

It also assigns responsibility for specific aspects of recordkeeping to particular areas or positions within the organisation. For example, it may state that the records manager is responsible for ensuring that the organisation's recordkeeping procedures reflect the aims of this policy, or that section managers are responsible for supporting and monitoring their staff's compliance.

Ideally, records management expectations will be included in job descriptions and as part of performance requirements.

Monitoring and Review

This section notes that the policy will be monitored and reviewed on a regular basis to ensure that it remains relevant to the organisation's aims and requirements. It provides the date at which the policy will next be reviewed and by whom.

Authorisation

This section shows that the policy has been approved at an appropriate senior level. It bears the signature of the person authorising the policy, and notes his or her position in the organisation and the date of authorisation. Authorisation ought to come from the Chief Executive.

Definitions

This section lists and defines key terms used in the policy. Examples of terms include:

 

Definitions of these and other recordkeeping terms can be found in Archives New Zealand's Glossary of Archives and Recordkeeping Terms. However, you will also want to ensure that terms are defined as they are used in your organisation.

References

This section provides a list of relevant resources that were used in formulating the policy or that contain further information. It may include, for example, references to other organisational policies, such as Human Resources or E-mail policies, or to procedural guides for recordkeeping.