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Designing
a Recordkeeping Policy:
Forming a recordkeeping policy for your business or organisation
is an essential tool for good corporate governance.The records
your organisation creates provide evidence of its decisions and
activities, and help it to satisfy its accountability requirements
for tax, legislative purposes and accounting standards.
Your organisation should also be aware of various administrative
laws such as the Freedom of Information Act 1982, the Archives
Act 1983, the Privacy Act 1988 and the Evidence Act 1995 when
managing its records. A recordkeeping policy will provide your
organisation with the framework it needs to effectively manage
its records, to help ensure that it meet these legal obligations.
However,
recordkeeping does not have to be totally focused on accountability.
As anyone who has waited at the end of a phone for their account
details will know, most customers associate service quality
with a business' ability to access stored information.
A recordkeeping policy also promotes a strong recordkeeping culture
and encourages confidence in the staff and customers that your
business is professionally managed. The policy communicates to
your staff the organisation's commitment to undertake best practice
recordkeeping, as well as to satisfy accountability requirements.
The development of an effective recordkeeping policy is a key
component of the Australian Standard for Records Management (AS
ISO 15489). The Australian National Audit Office's report on recordkeeping
practices in Commonwealth organisations, published in May 2002,
also strongly recommends the development and implementation of
a corporate-wide recordkeeping policy. An effective recordkeeping
policy enhances business performance by creating a climate that
contributes to the ongoing integrity and accessibility of your
organisation's records.
The
recordkeeping policy should fit your organisation.
A recordkeeping policy provides a framework for your organisation's
recordkeeping systems and practices. This policy must be tailored
to your organisation in order to be practicable and relevant to
your needs.
A recordkeeping
policy should broadly identify how records are used within your organisation,
and how they should be created and maintained to satisfy your business,
legal, and stakeholder expectations.
When developing
a recordkeeping policy you should:
Making
a recordkeeping policy work
Even the best policy can fail if it is not effectively implemented.
Effective implementation will ensure that all staff are aware
of, and understand, the recordkeeping policy, and that the policy
remains up-to-date. A
recordkeeping policy must be promulgated and promoted throughout
the organisation or it will quickly become ineffectual. It should
be widely communicated to clearly inform staff of its contents
and implications. Staff must also be trained to help them carry
out their recordkeeping responsibilities.
The success of a
recordkeeping policy also depends on effective monitoring and
review mechanisms, to ensure the proper and continued use and
relevance of the policy. Mechanisms need to be established to
monitor staff compliance and ensure that the policy statement
continues to support business activities and processes.
Key
components of an effective recordkeeping policy
A recordkeeping policy is a brief statement that demonstrates
your organisation's commitment to effective recordkeeping practices,
outlines any regulations that affect your recordkeeping requirements
and defines the recordkeeping responsibilities of everyone within
the organisation.
A recordkeeping
policy should contain accurate, relevant and up-to-date information
within a single comprehensive corporate policy statement. The policy
should be easy to understand and authorised at an executive level.
A comprehensive policy should include the following components:
Purpose:
this statement should define the aims of the recordkeeping policy.
Policy
Statement: this statement should outline your organisation's
commitment to recordkeeping.
Scope:
this statement should identify and define who and what the policy
applies to.
Policy
Context: this statement should detail how the policy will
relate to existing information or knowledge management structures
and programs.
Legislation
and Standards: this statement should identify the regulatory
environment that affects recordkeeping in your organisation.
Recordkeeping
Systems: this statement should identify the approved recordkeeping
systems in your organisation, and the processes that they undertake.
Responsibilities:
this statement should assign recordkeeping responsibilities to
individuals, positions or areas within your organisation.
Monitoring
and Review: this statement should set a date for review, and
should broadly outline monitoring and review procedures.
Authorisation:
this statement should authorise the policy with an appropriate
signature, position title and date.
Glossary:
this statement should provide a list of any technical terms used
in the policy.
Resources:
this statement should provide a list of any resources referred
to, or drawn upon, within the policy, as well as resources that
staff can refer to for further information about recordkeeping.
Further information
Further information about each of these policy components and
more detailed advice on policy development and implementation
is available on the National Archives of Australia website at
www.naa.gov.au/recordkeeping/overview/policy/summary.html.
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Recordkeeping