Manual for the Design and Implementation of Recordkeeping Systems (dirks)
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When should the policy strategy be used?
The policy strategy should be used when you want to:
- set rules and guidelines for the operation of recordkeeping systems
- establish a framework for consistent and accountable recordkeeping practices
- emphasize corporate ownership of records
- establish an official position on recordkeeping issues, and
- demonstrate how recordkeeping fits within information management and corporate programs.
Generally, the policy strategy should not be employed in isolation. Just having a policy in place will not ensure that people are making and managing records appropriately, in ways that meet your recordkeeping requirements.
Policy should be supported by other strategy when:
- a recordkeeping requirement must be satisfied
- there is likely to be resistance to the policy, or
- it introduces significant new responsibilities to employees.
| Tip: Policy and implementation strategies work in combination Policy and implementation strategies will usually work in combination. Policy statements often need to be supported by extensive training and education (this is part of the implementation tactic) to ensure employees are well informed about their recordkeeping responsibilities. It is important, however, to have a high level framework of rules in place, and this is what employing the policy tactic provides. |
Examples of the policy strategy
Examples of rules you may wish to codify using the policy strategy could include:
- records must be classified according to the corporate classification scheme before they are saved within a corporate data store or filed in the paper-based recordkeeping system
- employees must save electronic records into shared directory folders instead of personal files
- the appropriate disposal status must be linked to records at the time of creation or receipt
- all papers attached to files must be folio numbered
- employees must not destroy records unless such action is authorized by approved disposal procedures, or
- metadata must be captured during business transactions to describe the content, context and structure of records in both paper and electronic recordkeeping systems.
These types of rules would generally be codified in policies or procedures that support your recordkeeping system operation.
| ^ Example: Development of corporate policy to meet recordkeeping requirement An organization has determined it has a requirement to create and capture records documenting business conducted in monthly business meetings. It is currently not meeting this requirement. A corporate policy is developed that stipulates employees must create records that document decisions made at business meetings, and that these records must be captured into relevant recordkeeping systems. |
| ^ Example: Development of procedure statement to meet recordkeeping requirement In the course of evaluating their existing systems (Step D of the DIRKS methodology), an agency identified that many staff were not using a recordkeeping system correctly. They therefore developed a procedure statement that identified the specific records that must be made and registered in the system, who should make and register these records and the process by which these records should be registered into the system. By specifying the system rules in this way they were able to resolve the problems previously identified with the system. |
| ^ Example: Development of corporate policy and disposal project to meet recordkeeping requirements Your Step D research has revealed that record disposal is being poorly managed within current systems. The department/section has no functional retention schedule, there are no policies concerning record destruction or maintenance and staff are unaware of what their responsibilities are. In Step E you therefore decide to develop a corporate policy which will tell all staff that they must not destroy any records without the approval of the ARMS. You also initiate a new DIRKS project, with the objective of developing full disposal coverage for your records. This will involve doing Steps A, B and C and producing a retention schedule. |
| ^ Example: Value of creating policies According to Indiana University which undertook a major assessment of university business systems: “working more intensively on policies turned out to be a real plus in moving the records management agenda forward. One of the real deficiencies at [the university] is the lack of a solid foundation for recordkeeping, beginning with basic policies. Once I began writing the electronic records policy, I recognized how necessary it was to develop a whole suite of related policies. This meant actually stepping back from electronic records management and creating more fundamental documents on records management in general...I [also] needed to develop a group of related policies on imaging and e-mail.” [2] |