The requirements in this principle lay the groundwork for making and keeping fit-for-purpose records of business activity, and for maintaining them for as long as required.The requirements in this principle lay the groundwork for making and keeping fit-for-purpose records of business activity, and for maintaining them for as long as required.
Effective and efficient records management begins with an analysis and understanding of internal requirements and external obligations relating to the creation and maintenance of records. The next step is to create and maintain records in order to meet those requirements and obligations.
When making records of business activity, it is important to ensure the information they contain is authentic, reliable and has integrity. Making them in a timely manner and as a normal part of the business processes they support and document improves their authenticity and reliability. Fixing their content establishes their integrity and preserves it over time.
REQUIREMENTS
1.1Internal requirements and external obligations to create and maintain records of business activity must be identified and documented
Guidance
Ensure that your organisation understands its records management requirements and obligations. Document those requirements and obligations appropriately in, for example:
• strategic plans
• contracts and service level agreements
• operational policies
• IT policies
• business process maps
• design documents and implementation and configuration guidelines for electronic systems
• records and information management policies
• retention and disposal schedules
• a vital records register.
When identifying and analysing internal requirements and external obligations, assess:
• operational, reporting and audit needs
• the likely need to submit records as evidence in court
• legislative and regulatory responsibilities
• the need to protect citizens' rights and entitlements
• stakeholder expectations
• Iwi Māori expectations, and
• current and future research interest in your organisation's activities.
1.2 Records must be created and maintained to meet internal requirements and external obligations
Guidance
Operational teams have primary responsibility for creating records as outputs of business processes, but records management staff should monitor these processes across the organisation as a whole.
Problems in delivering services, reporting on objectives, meeting audit and monitoring requirements, answering Parliamentary Questions, responding to Official Information Act Records Management Standard for the 10 New Zealand Public Sector requests, and so on, may indicate that records are not being created and maintained to meet requirements and obligations.
Ensure that existing records are fit-for-purpose as evidence of business activity. Carry out a records stock-take periodically. Include records held in:
• corporate records management systems
• line of business systems
• email folders or vaults
• personal or shared drives
• databases or data-warehouses
• cloud-based applications
• website content management systems
• social media sites
• filing cabinets and store-rooms
• off-site storage.
Use the principles and requirements in this standard as a benchmark to assess the authenticity, reliability, integrity and usability of your organisation's existing records. Prioritise the analysis of high-value or high-risk records.
1.3The content and structure of records must fit their purpose and audience
Guidance
Document your organisation's activities in sufficient detail to meet internal requirements and external obligations. Meet any specific legal or other requirements relating to the format, layout or wording of your organisation's records.
Compile records in such a way that later users, who may not have key contextual information, can understand them. Cite references within records to help users understand their content and context.
Standardise your organisation's records to improve their accuracy, strengthen their credibility and make them easier to understand. Where possible, use forms, templates, style sheets and a house style. Quality assure data entry and digitisation work (see Archives New Zealand's Digitisation Toolkit ).
1.4 Records must be created in a timely manner
Guidance
Create records as a normal part of business activities. Automate or trigger their creation as outputs of those activities or make them as soon as possible after the activities have finished. Encourage the people best-placed to make records to do so.
1.5 The content of records must be fixed
Guidance
Capture records into a formal records management system or manage them in-place in line of business systems with appropriate records management functionality (see the Records Management Standard for further information). After a business activity has ended and a suitable period of time has passed, prevent unauthorised changes to records documenting that activity.
Set and follow business rules for altering the content of fixed records, for example to correct personal details under Principle 7 of the Privacy Act 1993 . Track changes to fixed records by assigning records management process metadata to them (see principle 3 ). Continue to provide managed access to fixed records (see requirement 4.1 ).
For further information refer to the following pages: Public Records Act , Local Authorities and Resources and Guides .