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Better Recordkeeping For small NSW public offices. Cassie Findlay and Dawn Routledge 24 February 2004. Program. Records & recordkeeping Policy & procedures Recordkeeping systems & tools Training & education Other help. What is a record?.

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better recordkeeping for small nsw public offices

Better RecordkeepingFor small NSW public offices

Cassie Findlay and Dawn Routledge

24 February 2004

program
Program
  • Records & recordkeeping
  • Policy & procedures
  • Recordkeeping systems & tools
  • Training & education
  • Other help
what is a record
What is a record?
  • ‘information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business’
    • AS ISO 15489 (2002), Records Management, Part 1: General, Clause 3.16
what is good recordkeeping
What is good recordkeeping?
  • creating records to:
    • support ongoing business
    • meet accountability requirements
  • capturing records into recordkeeping systems
  • managing records for maximum use and value over time
why good recordkeeping is important
Why good recordkeeping is important
  • better performance, decision making
  • effective corporate governance
  • better compliance with business, regulatory requirements
  • protection, support in litigation
  • better reuse of business information
mandatory requirements
Mandatory requirements
  • create and manage records to support your business
  • do not destroy records without approval
  • store records appropriately
  • protect records from disaster
  • keep electronic records accessible
key strategies
Key strategies
  • develop and implement recordkeeping / records management policy
  • Develop and implement recordkeeping systems / tools
  • conduct training & education
develop and implement policy procedures
Develop and implement policy, procedures
  • covering all record formats
  • describes official recordkeeping systems
  • rules for recordkeeping
  • records management services
  • responsibilities
develop and implement recordkeeping systems and tools
Develop and implement recordkeeping systems and tools
  • avoid practice of information silos – where staff members keep ‘their own’ records
    • no information sharing
    • poor business practice
    • illegal and inappropriate records management practices
what are recordkeeping systems
What are recordkeeping systems?
  • recordkeeping systems are systems that capture, maintain and provide access to records through time
    • AS ISO 15489 (2002), Records Management, Part 1: General, Clause 3.17
what does a recordkeeping system look like
What does a recordkeeping system look like?
  • can take a variety of forms
    • paper – files and supporting indexes
    • electronic – off the shelf software, custom built system, configured standard tools such as Excel
    • combination of above
  • key features:
    • shared, supported by policy and procedure, staff are trained in its use, incorporates recordkeeping tools, maintains authentic, useable and protected records
what are recordkeeping tools
What are recordkeeping tools?
  • recordkeeping instruments that help you manage your records accountably and appropriately
    • disposal authorities
    • classification schemes
    • security schemes
    • recordkeeping metadata
how do you improve recordkeeping systems
How do you improve recordkeeping systems?
  • work with staff to eliminate duplication
  • implement recordkeeping tools
    • basic classification scheme
    • disposal rules
  • review system functionality regularly
    • are people actually using it?
    • is it meeting staff and business needs?
how do you improve recordkeeping systems14
How do you improve recordkeeping systems?
  • regular monitoring of
    • system use, downtime, etc.
    • automated features such as date/time
    • file audits
    • emails being captured
  • identify problem areas and training needs
training and education
Training and education
  • All staff need to:
    • realise that recordkeeping is a significant part of their job – it’s not just the role of records staff
    • know that they make and keep records and that these records need to be appropriately managed and made accessible
    • understand the systems and rules you want to implement
    • understand that these rules apply to records in all formats, including email
tips for change management and staff education
Tips for change management and staff education
  • you can never start too early
  • acknowledge that people can feel possessive about ‘their’ records
  • explain reasons and benefits of changes you’re making
  • be clear about the effect on staff and the way they do things
other help
Other help
  • Guidance
    • GRK Manual, particularly ‘Create and Capture’ and ‘How to take control of your records’ www.records.nsw.gov.au/rk/manual.htm
  • State Records’ training courses
    • Records Management Fundamentals
    • IRDA/Implementing GDA 10
    • Using a keyword thesaurus
contact state records
Contact State Records
  • for any tips or advice about implementing good recordkeeping, please contact us:
  • visit web pages for small public offices:

www.nsw.gov.au/publicsector/smallagencies/smallagencies.htm

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