How do you design a records capture and creation policy?

Records capture and records creation are two separate steps in the information lifecycle. The creation of records and information should be configured in a way that allows for streamlined capture at the appropriate time. This process should, at the highest level, be technology-neutral in order to define a conceptual baseline and industry best practices. Once the policy is in place, then processes can be developed to address current technological capabilities.

The genesis of any given record is in its creation phase. This is a very crucial stage for without it the role of records management practitioners could have non-existing. Therefore, the process of records creation and/or capture involves Identifying, collecting and documenting information that is of value to an organization for reference and future decision making. The method used to create or Capture records depends on their formats which includes audio, video, audiovisual, Electronic documents , photographs, manuscripts, email, web pages et cetera. With technology, we're getting out of the manuscript age to a computer based records management because almost 80% of the records created nowadays are computer based.

These are two essential but very different disciplines but they do require policy. For the purpose of creating a policy around records creation then the most important thing to consider is the scope of your project such as what records should be considered. You should remember that you are not always in control of what is created but you can decide what is necessary to capture.

The identification, collection, and documentation of records in various formats—whether paper, digital, audio, or video—are fundamental to effective records management. These processes can be done manually or automatically, depending on the nature and source of the records. Examples such as scanning paper documents, uploading electronic files, recording phone calls, writing reports, filling out forms, and sending emails clearly illustrate the diverse methods of capturing and creating records.

You can't manage what you can't capture. Do not overlook this simple but powerful fact. Especially for emails. If you are not journaling, you might be missing out on records.

Imagine having a verbal agreement for a million Dollar Project without any form of material evidence. Angels are only in heaven, and probably in the spiritual realm. Therefore, its important to keep a record of any given occurrence for the future reference ( evidential) or decision making.

The importance of records capture and creation lies in their role as the backbone of organizational integrity. They serve as indisputable evidence of an organization’s decisions and transactions, showcasing accountability and transparency. These records are pivotal in managing risks and adhering to legal obligations, ensuring compliance with various regulations. Moreover, they are instrumental in driving performance and fostering continuous improvement, as they provide a basis for evaluating and learning from past actions. In essence, they are vital for the systematic documentation of an organization’s legacy and ongoing activities.

A policy framework is a course of action proposed or adapted by an organization. The policy governing records creation and capture should be around, record formats, nature of the company business and goals - Better understanding of the three will give you a wide view on how to formulate your policy.

Records can be found anywhere nowadays. In email attachments, teams chats, Sharepoint .... So, start broad. Do document analysis across many data sources. Once you detect records, capture and archive them. You don't want to miss out on any of your records, no matter where people put it.

Designing a records capture and creation policy is a strategic process that ensures all organizational records are accurately documented and managed. The policy must outline the scope and objectives, aligning with the business’s needs and overarching goals. It should detail who is responsible for record-keeping, what records are necessary, how they will be captured, and where they will be stored. Ensuring quality, accuracy, and completeness is crucial, as is defining protocols for protection, preservation, and accessibility. This policy serves as a cornerstone for maintaining the integrity and usability of records, supporting the organization’s accountability and operational efficiency.

Having a well defined policy is just but one factor of many when it comes to its implementation. All stakeholders not only need to understand the reason behind records capture and creation but also master the process and own the conversation. User centered model should be employed to gather as much views on the best practices regarding policy implementation and continuous review of this policy should be conducted.

To implement a records capture and creation policy effectively, it’s crucial to have a clear plan and open communication. Engage with staff and stakeholders by clearly articulating the policy’s benefits and requirements. Provide comprehensive training and resources to ensure everyone understands how to capture and create records accurately. Utilize monitoring tools to assess policy adherence and identify areas for improvement. Regularly update the policy to reflect new insights and changes in best practices. This approach ensures a smooth integration of the policy into daily operations, fostering a culture of meticulous record-keeping and compliance.

Enhancing the records capture and creation process is vital for efficiency and accuracy. Streamlining workflows and automating systems can significantly reduce time and resource expenditure. Opting for the right record formats and implementing quality control are key to ensuring the integrity of records. Regular feedback from staff and stakeholders further refines the process. A clear policy provides a framework for consistent documentation, compliance, and preservation of organizational history, making it an indispensable aspect of records management.

A records capture and creation policy is crucial for effective information management. Key components include defining scope, ensuring legal compliance, assigning responsibilities, specifying record types and capture methods, establishing metadata and classifications, addressing formats, setting retention guidelines, securing access, promoting training, monitoring compliance, planning for disaster recovery, and maintaining version control. This policy provides a structured framework for systematic and compliant records management within organizations.