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