Better Recordkeeping For small NSW public offices

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Better RecordkeepingFor small NSW public offices

• Cassie Findlay and Dawn Routledge
• 24 February 2004

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Program

• Records recordkeeping
• Policy procedures
• Recordkeeping systems tools
• Training education
• Other help

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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

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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

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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

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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

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Key strategies

• develop and implement recordkeeping / records
  management policy
• Develop and implement recordkeeping systems /
  tools
• conduct training education

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Develop and implement policy, procedures

• covering all record formats
• describes official recordkeeping systems
• rules for recordkeeping
• records management services
• responsibilities

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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

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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

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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

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What are recordkeeping tools?

• recordkeeping instruments that help you manage
  your records accountably and appropriately
• disposal authorities
• classification schemes
• security schemes
• recordkeeping metadata

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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?

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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

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Training and education

• All staff need to
• realise that recordkeeping is a significant part
  of their job its 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

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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 youre
  making
• be clear about the effect on staff and the way
  they do things

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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

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Contact State Records

• for any tips or advice about implementing good
  recordkeeping, please contact us
• 02 8247 8627
• govrec_at_records.nsw.gov.au
• visit web pages for small public offices
• www.nsw.gov.au/publicsector/smallagencies/smallage
  ncies.htm