On Record Management

On Record Management

As part of my series on devising systems to create logs to protect an organisation and its staff against charges of criminality, I posted an article on my linkedin blog called “Doing Record Management well”. It doesn’t surprise me that there is an ISO Standard (ISO 15489) on the subject, but it does surprise me that I hadn’t heard of it until I started to research some of the articles in this series.

I have a research note on my wiki, which links to the Bank of England policy and also quotes Deutsche Bank’s policy, which is available because they post it on internet. I quote it here,

Deutsche Bank’s code of conduct, see page 25, says, among other things,

“Maintaining accurate books and records is fundamental to meeting our legal, regulatory and business requirements. You are responsible for maintaining accurate and complete records and for complying with all the controls and policies our bank has in place. You should never falsify any book, record or account that relates to the business of our bank, its customers, employees (including your own activities within our bank) or suppliers. You must never dispose of records or information that may be relevant to pending or threatened litigation or a regulatory proceeding unless you are authorised to do so by the Legal Department. You must also comply with applicable record retention policies.”

DB Code of Conduct