What are the key elements of a successful records management policy?

1 Scope and objectives

The first element of a records management policy is to define its scope and objectives. The scope should specify what types of records are covered by the policy, who is responsible for managing them, and what are the legal and regulatory requirements that apply to them. The objectives should state what the policy aims to achieve, such as improving service delivery, reducing risks, enhancing performance, or preserving historical value. The scope and objectives should be aligned with the organization's mission, vision, and strategic goals.

3 Records lifecycle

The third element of a records management policy is to establish the records lifecycle. The records lifecycle is the sequence of stages that records go through from creation to disposal. The records lifecycle should include the following steps: identification, classification, retention, storage, access, use, disposition, and review. The policy should specify the criteria and procedures for each step, such as how to identify records, how to classify them according to their function and value, how long to retain them, where and how to store them, who and how to access them, how to use them appropriately, when and how to dispose of them, and how to review and update the policy periodically.

4 Records systems and tools

The fourth element of a records management policy is to define the records systems and tools that are used to manage records. Records systems are the applications, software, hardware, and networks that are used to create, store, access, and dispose of records. Records tools are the methods, standards, formats, and protocols that are used to ensure the consistency, reliability, and usability of records. The policy should identify and describe the records systems and tools that are used by the organization, as well as the requirements and best practices for using them.

5 Records security and privacy

The fifth element of a records management policy is to ensure the security and privacy of records. Records security refers to the protection of records from unauthorized access, modification, disclosure, or destruction. Records privacy refers to the protection of personal or confidential information that is contained in records. The policy should specify the measures and controls that are implemented to safeguard records from internal and external threats, such as encryption, authentication, authorization, backup, audit, and incident response. The policy should also comply with the applicable laws and regulations that govern the collection, use, and disclosure of personal or confidential information.

6 Records education and awareness

The sixth element of a records management policy is to promote records education and awareness among staff and stakeholders. Records education refers to the training and development that are provided to staff and stakeholders to enhance their knowledge, skills, and attitudes towards records management. Records awareness refers to the communication and engagement that are conducted to inform and motivate staff and stakeholders to comply with and support the records management policy. The policy should outline the methods and resources that are used to deliver records education and awareness, such as workshops, manuals, newsletters, feedback, and recognition.