AS 4390.3-1996

1 - AS 4390.3-1996 RECORDS MANAGEMENT - STRATEGIES
4 - PREFACE
5 - CONTENTS
6 - FOREWORD
7 - 1 SCOPE
7 - 2 APPLICATION
7 - 3 REFERENCED DOCUMENTS
7 - 4 DEFINITIONS
7 - 5 STANDARDS FOR GENERAL APPLICATION
7 - 5.1 General
8 - 5.2 Make and capture records
8 - 5.3 Full and accurate records
9 - 5.4 Strategies
9 - 5.4.1 General
9 - 5.4.2 General
9 - 5.4.3 Policies, business rules and standard operating procedures
9 - 5.4.4 Business processes and systems
10 - 5.5 Identifying recordkeeping requirements
10 - 5.6 Sources of external authority for recordkeeping requirements
10 - 6 IMPLEMENTATION
10 - 6.1 General
11 - 6.2 Designing recordkeeping systems
11 - 6.2.1 General
11 - 6.2.2 Design methodology
12 - 6.3 Implementing a project
12 - 6.4 Documenting practices and processes
13 - 6.5 Conversion
13 - 6.6 Records management training
13 - 6.6.1 General
13 - 6.6.2 Scope of the training program
13 - 6.6.3 Methods of delivery
14 - 7 MONITORING AND COMPLIANCE
15 - 8 CASES
15 - 8.1 General
15 - 8.2 Types of transactions
15 - 8.2.1 Oral decisions and commitments
15 - 8.2.2 Decisions and recommendations
15 - 8.2.3 Meetings
15 - 8.2.4 Drafts and versions
16 - 8.2.5 Precedent cases
16 - 8.2.6 Individual actions
16 - 8.2.7 Records of correspondence
16 - 8.2.8 Policies and procedures for records of correspondence
16 - 8.3 Recordkeeping systems based on paper files
16 - 8.3.1 Documenting matters on files
17 - 8.3.2 Order of adding records to files
17 - 8.3.3 File reference
17 - 8.4 Electronic recordkeeping systems
17 - 8.4.1 Electronic mail
17 - 8.4.2 Electronic documents
17 - 8.5 Quality records
18 - 8.6 Outsourced functions
18 - 8.7 Media and formats for making records
18 - 8.7.1 Papers for making records
18 - 8.7.2 Storage media for electronic records
18 - 8.7.3 Formats for electronic records
19 - 8.7.4 Standardized documentary forms
19 - 8.7.5 Records required as evidence in court
20 - APPENDIX A - MODEL IMPLEMENTATION PLAN
20 - A1 GENERAL
20 - A2 MODEL IMPLEMENTATION PLAN
20 - A2.1 Phase 1: Preparation
20 - A2.2 Phase 2: Collection of information
20 - A2.3 Phase 3: Analysis
21 - A2.4 Phase 4: Design
23 - A2.5 Phase 5: Implementation
24 - A2.6 Phase 6: Post-implementation review
26 - APPENDIX B - CONVERSION OF RECORDS MANAGEMENT SYSTEMS
26 - B1 GENERAL
26 - B2 SCOPE
26 - B3 PHASES OF CONVERSION
26 - B4 ISSUES RELATING TO PHASES OF CONVERSION
26 - B4.1 Selection
27 - B4.2 Pre-conversion
27 - B4.3 Testing
28 - B4.4 Training
28 - B4.5 Implementation
28 - B4.6 Follow-up
29 - APPENDIX C - CHECKLIST FOR PERFORMANCE TESTING OF RECORDS MANAGEMENT SYSTEMS

Sets out the strategies that should be adopted by organizations to ensure that adequate evidence of business activity to meet the needs and protect the interests of the organization, its clients and other people affected by its actions and decisions are made as records and that those records are captured into recordkeeping systems.

This Standard covers strategies that should be adopted by organizations to ensure that adequate evidence of business activities, to meet the needs and protect the interests of the organization, its clients and other people affected by its actions and decisions, are made as records and that those records are captured into recordkeeping systems. This Standard covers the making of records in all forms, including records that are to be captured and maintained in electronic form.

First published as AS 4390.3-1996.