Selling Your Service – Creating and promoting your Records Management Policy James Sparrock Tuesday 19 th March 2013

Why have an RM policy? ISO Clause 6.2 “Organisations should define and document a policy for records management. The objective of the policy should be the creation and management of authentic, reliable and useable records, capable of supporting business function and activities for as long as they are required” “The policy should be adopted and endorsed at the highest decision-making level and promulgated throughout the organization”

Why have an RM policy? Lord Chancellor’s Code of Practice on the management of records issued under section 46 of the Freedom of Information Act 2000 “Authorities should have in place a records management policy, either as a separate policy or as part of a wider information or knowledge management policy.” “The policy should be endorsed by senior management, for example at board level, and should be readily available to staff at all levels.”

Why have an RM Policy?… A good Records Management Policy can help ensure:  Compliance with legislation - protecting the organization, its interest and its staff;  Records are stored appropriately, and are safe from unauthorised access;  Disaster recovery policies and procedures are in place;  Uniformity when classifying, referencing, titling, and protectively marking records;  Efficient and appropriate use of information;

Why have an RM Policy?… A Records Management Policy isn't just the document itself It is the good practice it is encouraging

Writing your policy Things to consider when writing your policy:  Know your Legal/Statutory environment  Review existing Policies and Procedures  Consult with relevant services within your organisation (Legal Services / Internal Audit)  Understand Records Management in your organisation  Know the wider ‘Policy Framework’

Writing your policy  The policy does not need to be long and does not need to contain all the details of how records and information should be managed  Guidance can be included in procedural documents  This will enable you to review and update Records Management best practice, without rewriting your policy  Makes the policy a much less daunting and intimidating document

What to include in your policy The Lord Chancellor’s Code of Practice:  Commitment to Records Management  The role of records management in the organisation  Identify and make appropriate connections to related policies  Define roles and responsibilities  Compliance monitoring

What to include in your policy… In addition the policy could include:  Legislative/Legal environment  Records Storage, Security and Maintenance  Data Quality Assurance  Document Retention/Destruction  Historical/Archival Records The content of your policy will depend on your organisation

WMBC IG Policy Framework

Promoting your RM policy For a policy to be successful  Brought to the attention of staff who need it;  Understood by staff who need it;  Accessible to the staff who need it. If no one is aware of it, no one understands it, or no one can find it – then the policy cant fully succeed

Engaging with Staff Raising awareness  Promoting the issue/release of your Policy  Raising awareness will be an ongoing process  Creating ‘Information/RM Champions’  Records Management visibility in corporate induction

Engaging with Staff Tools for publicising your policy  Internal Website news page  Pay slip communications  Core Briefings  Staff Magazines/publications  Screen Saver Messages

Engaging with Staff Encouraging understanding Staff should understand the policy and be their personal responsibilities for records management  The policy should be written with all staff in mind  Training should be available This can be difficult in large organisations  e-Learning systems to train staff  ‘Information Champions’ points of contact

Engaging With Staff… Ensuring accessibility  The policy should be published so that all staff can find it  The policy should be easy to read and understand  The Lord Chancellors code of practice and IC guidance recommend publishing your Records Management Policy  Promotes transparency, assists the public with access to information

Engaging with Staff Avoid ‘negative encouragement’ “You have to comply with this or….” The policy should be mandated, but should be seen as a tool to be used, not something being ‘done to’ staff “These policies and procedures will help you to….”

Gaining Support  Support from senior management is crucial for the success of your policy  Policies will need to be approved at senior level  Support should ‘believe in’ and ‘back’ the policy, not just ‘sign it off’  SIRO, Information Asset Owners, Council Members  Forum for Information Governance and Assurance (FIGA)

Gaining Support Organisational benefits of a Records Management Policy  Improved efficiency and service delivery  The importance of Records Management in the wider sphere of Information Governance & Security  Possible savings The support isn't just for the policy - but for Records Management as a whole

Questions… James Sparrock