Record Keeping Policy



This Record Keeping Policy describes the principles underpinning an organisation’s record keeping requirements and defines the scope, roles and structure of the organisation’s record keeping system and the record keeping responsibilities of officers, senior management and employees within the organisation.

This Record Keeping Policy is suitable for organisations of all sizes and complies with the guidelines of the International Standard for Information and Documentation Records Management.

Contents

  1. Purpose. 1
  2. Scope. 2
  3. Policy statement 2
  4. Principles. 2
  5. Management responsibility. 2
  6. Organisation responsibilities. 3
  7. Senior management 3
  8. Employees. 4
  9. Compliance requirements. 4
  10. Document information. 5

Purpose

The purpose of this Record Keeping Policy (Policy) is to establish a record management process which will enable [Organisation name] to maintain accurate and updated records, and to comply with all laws, regulations, industry and internal codes of conduct that relate to record management and record keeping.

Scope

This Record Keeping Policy applies to all records created or received by the directors, officers, employees, consultants and contractors of [Organisation name]. This Record Keeping Policy extends to all current and future activities of [Organisation name], and to any new opportunities [Organisation name] may encounter from time to time.

Policy statement

[Organisation name] is committed to developing, implementing, maintaining an information and documentation system in accordance with the International Standard for Information and Documentation Records Management.

This Record Keeping Policy is consistent with [Organisation name]’s Code of Conduct which represents and upholds [Organisation name]’s commitment to integrity, fairness and ethical behaviour.

Principles

The following principles apply to all records, information and data (Records) created or collected for or on behalf of [Organisation name] or during the course of business or activity of [Organisation name], including those from outsourced bodies or contractors:

  1. Ownership of Records is vested in [Organisation name];
  2. All directors, officers, staff and contractors will create full and accurate Records, in the appropriate format, of all [Organisation name]’s business decisions and transactions to meet all legislative, business, administrative, financial, evidential and historical requirements;
  3. All Records created and received are to be captured at the point of creation, regardless of format, with required metadata, into appropriate record keeping and business systems, which are managed in accordance with sound record keeping principles;
  4. All Records are to be categorised as to their level of sensitivity and adequately secured and protected from violation, unauthorised access or destruction and kept in accordance with necessary retrieval, preservation and storage requirements;
  5. Access to Records by staff and contractors will be in accordance with designated access and security classifications. Access to Records by the general public will be in accordance with freedom of information rules and regulations and [Organisation name]’s Privacy Policy;
  6. All Records kept by [Organisation name] will be disposed of in accordance with this Record Keeping Policy;
  7. Procedures relating to the storage, management, collection and use of Records are described in the Record Keeping Procedures and, as with all other policies and procedures of [Organisation name], must be distributed to all staff on commencement of their employment or contract with [Organisation name].

Management responsibility

[Organisation name] has established a structure for compliance which is described in Compliance Organisational Structure.

Board of directors

The Board has ultimate responsibility for overseeing the performance of [Organisation name], including effectively monitoring the [Organisation name] Records management objectives. The focus of the Board is as follows:

  1. Promote an organisation-wide approach by integrating Records management processes with:


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