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Better Recordkeeping For small NSW public offices

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

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  1. Better RecordkeepingFor small NSW public offices Cassie Findlay and Dawn Routledge 24 February 2004

  2. Program • Records & recordkeeping • Policy & procedures • Recordkeeping systems & tools • Training & education • Other help

  3. 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

  4. 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

  5. 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

  6. 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

  7. Key strategies • develop and implement recordkeeping / records management policy • Develop and implement recordkeeping systems / tools • conduct training & education

  8. Develop and implement policy, procedures • covering all record formats • describes official recordkeeping systems • rules for recordkeeping • records management services • responsibilities

  9. 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

  10. 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

  11. 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

  12. What are recordkeeping tools? • recordkeeping instruments that help you manage your records accountably and appropriately • disposal authorities • classification schemes • security schemes • recordkeeping metadata

  13. 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?

  14. 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

  15. 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

  16. 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

  17. 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

  18. Contact State Records • for any tips or advice about implementing good recordkeeping, please contact us: • 02 8247 8627 • govrec@records.nsw.gov.au • visit web pages for small public offices: www.nsw.gov.au/publicsector/smallagencies/smallagencies.htm

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