A Recordkeeping Plan (RKP) will comprise one or more documents which, when assessed as a whole, provides an accurate reflection of the recordkeeping program within an organization.

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More specifically, documentation regarding an organization’s recordkeeping system/s, disposal arrangements, policies, practices and processes are essential components of the RKP. The inclusion of such documentation constitutes evidence of compliance. Documentation may take the form of:

• Inclusion of a detailed description of current practices within the body of the RKP, supported by extracts from manuals, plans, etc., the contents page of the policy and procedures manual; or

• Inclusion of a brief description of current practices within the body of the RKP including a reference to copies of complete documents included as attachments to the RKP as evidence policy and procedures manual, disaster management plan, staff induction manual etc.

All government organizations are encouraged to submit their draft/revised RKP to the Director of State Records before the required date for submission (as advised by the State Records Office).

    The Checklist is to be used by all local government organizations in preparing their draft/revised Plans for submission. The Checklist is to be completed as part of the preparation of the organization’s draft RKP and must be submitted with the draft Plan to the Director of State Records.

  Generally, if an organization is unable to demonstrate that it has met the minimum compliance requirement/s (i.e. the assessment of any aspect is “Inadequate” or “Acceptable but Requires Development”), the organization is to state in the RKP: a) the reasons for non compliance; b) the strategies or actions it intends to undertake to meet compliance; and c) the proposed timeline for completion.

  Government organizations ensure that records are created and kept which properly and adequately record the performance of the organization’s functions and which are consistent with any written law to which the organization is subject when performing its functions.

 The organization must provide: 1) the reasons for non compliance; 2) the strategies or actions it intends to undertake to meet compliance; and 3) the proposed timeline for completion.

Government organizations ensure that recordkeeping programs are supported by policy and procedures. Policies and procedures are to cover  records  in  all  formats  and  all  aspects  of  their management,

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including: the creation of records, their capture and control, their

security and protection, access to them and their appraisal, retention and disposal.

Evidence of formal authorization or certification that the policies and procedures are in place and promulgated throughout the organization. Where the organization does not have a formal Policies and Procedures Manual for recordkeeping, individual, certified/authorized policy and procedure documents may be provided

as evidence. In the absence of either a manual or individual policy and procedure documents, the organization may adopt the RKP as the “manual” and must include statements addressing the following, demonstrating that: 1) the policies and procedures have been established; 2) the roles and responsibilities for all employees are defined; 3) the organizational scope of the policies and procedures has been addressed e.g.; their applicability to regional branches or outsourced contractors; and 4) they have been authorized at an appropriate senior level and are available to all employees.  

An evaluation of how well the policies and procedures are operating in the organization including possible areas for improvement and the date the document is due for review.

Exercises