Recordkeeping Protocol Instructions

 Recordkeeping Protocol Template and Instructions (PDF, 95 KB)

 Recordkeeping Protocol Example (PDF, 526 KB)

These instructions are to assist units when filling in a recordkeeping protocol document. Each section of the protocol is detailed, with a brief description of the information that should be recorded in that section.

Recordkeeping Protocol Number: This is the means of uniquely identifying a Recordkeeping Protocol. It should include the unit name or an abbreviation of the unit name and numbered sequentially. For example, the Records Management and Privacy Office’s first Recordkeeping Protocol would be RMPO-001 followed by RMPO002 for the next Recordkeeping Protocol and so on.

Recordkeeping Protocol Name: This is the common means of identifying a Recordkeeping Protocol. It should be clear and concise name and accurately represent the Recordkeeping Protocol’s content.

Approval Authority: This authority is responsible for final approval of a new or revised Recordkeeping Protocol. Ideally, this approval would come from the most senior position in the unit.

Contact: Specify a contact individual or position who will serve as a focal point for responding to inquiries about the Recordkeeping Protocol. Provide an email address and telephone number.

Adopted: Date the Recordkeeping Protocol was first approved by the Approval Authority and shared with the unit it is intended to guide.

Reviewed: Date the Recordkeeping Protocol was last reviewed.

Revised: Date(s) of revisions made to the Recordkeeping Protocol.

1.0 Rationale

This section should state the purpose and justification, citing any legal, regulatory, or business reasons for this Recordkeeping Protocol. Business reasons should articulate a practical basis for the recordkeeping procedure to exist if no legal or regulatory rationale exist.

2.0 Applicability

In this section, list the unit(s) to which the Recordkeeping Protocol applies. This list should take account of all individuals who should comply with the Recordkeeping Protocol requirements.

3.0 Protocol

Write out the full details and specifics of the Recordkeeping Protocol. Recordkeeping Protocols should be easy to understand, consistent, and practical. This section should be as long as necessary to encompass every aspect of the Recordkeeping Protocol that the unit wants documented.

4.0 Responsibilities

Identify the roles or persons responsible for carrying out any portion of the Recordkeeping Protocol. (If applicable).