3 > PLANNING THE POLICY

3.1 > ESTABLISH RECORDKEEPING REQUIREMENTS

3.1.1 > Analyse Existing Recordkeeping Documentation

An initial step is to examine the existing recordkeeping documentation of your organisation. A recordkeeping policy may already have been published as a single, broad document, or you may find policy statements within existing documentation relating to recordkeeping practices and procedures, for example within directives to staff on dealing with e-mail or the internet. This existing documentation needs to be analysed and reviewed to ensure that it is relevant and consistent. Relevant sections then need to be incorporated into the new policy document.

3.1.2 > Identify and Analyse the Organisation's Objectives

The recordkeeping policy ought to support the organisation's main functions and aims. It stands alongside other key policy documents to assist the organisation in meeting its objectives. To this end, the organisation's accountability documents and documentation relating to organisational aims and strategies need to be analysed for their impact on recordkeeping requirements. Recordkeeping requirements may be implied in statements such as "maintaining accountability". Relevant individuals and groups from within the organisation will also need to be identified and consulted.

3.1.3 > Identify and Analyse Regulatory Requirements

In addition to supporting and enabling good business practice, your recordkeeping policy needs to ensure compliance with regulatory requirements. Relevant legislation, codes of practice, and voluntary standards all need to be identified and analysed for their impact on an organisation's recordkeeping. 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 or standards specific to your organisation or sector. These will then be incorporated into the policy document as it is drafted.

3.1.4 > Identify Classes of Records to Create and Maintain

In the course of identifying your organisation's business and regulatory requirements, the records that are needed for it to meet these requirements will also be identified. The policy document will then list these records at a general level and outline staff responsibilities to create and maintain them.

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3.2 > ANALYSE CURRENT RECORDKEEPING BEHAVIOUR

Having determined the recordkeeping requirements for your organisation to meet its business aims and its accountabilities, the current recordkeeping behaviours ought to be assessed. This can be done by identifying strengths and weaknesses in the existing infrastructure and procedures and in staff adherence to them. Consult with staff from all areas and at all levels of the organisation to determine what concerns they may have regarding recordkeeping. The recordkeeping policy can be used to reaffirm and document current practice or to revise and improve it.

3.3 > CONSULTATION

Consultation is an important part of the policy process. To be effective, a recordkeeping policy must be endorsed at the highest level of the organisation, so you will need to enlist the support of senior management as soon as possible. One way to achieve this is to identify the risk of not having a current recordkeeping policy and submit that to senior management.

Remember that the policy is intended to guide staff to meet the organisation's recordkeeping needs. It is to assist staff to do their jobs well and help the organisation achieve its overall aims. Staff will be much more likely to support a policy when they have had opportunity to raise any issues or concerns that they may have.

Relevant parties are to be consulted as part of determining the organisation's key functions and objectives, and general staff for analysing current recordkeeping behaviour. You will also need to identify any special interest groups within the organisation, or stakeholders who may need to be consulted. At the drafting stage, give the policy to relevant parties for comment and approval.