STATEMENT OF ETHICAL PRACTICE Preamble Records and information management (RIM) is the branch of the information professions primarily concerned with the efficient and systematic control of the creation, receipt, maintenance, use, and disposal of records. This includes managing processes and systems for capturing and maintaining evidence and information about business activities and transactions in the form of records (ISO 15489-1: Records Management). The Records Management Association of Australasia (RMAA) is a not-for-profit organisation representing the RIM profession. The RMAA is committed to ethical practices. The value of member reputation depends upon the ethical conduct of everyone affiliated with the RMAA. This Statement of Ethical Practice (the Statement) is based on the core values of RMAA members and, more broadly, of the RIM profession. It provides the ethical foundation of the RIM profession and sets the industry standard for professional practice. The Statement seeks to remind RIM professionals of their wider responsibilities to the law and the community, as well as of their responsibilities as managers, professionals and mentors. It is designed to assist individuals to assess and analyse their situations and behaviour, while at the same time communicating our professional values to new practitioners, stakeholders, and the public. Each of us sets an example for each other - as well as all RIM professionals - by our pursuit of excellence, professionalism and ethical conduct. This Statement is designed to be a useful guide for RMAA members as they carry out these ethical responsibilities. This By-Law was approved by the RMAA National Board on Day Month 2010. Ethical Practice The level of public trust RMAA members seek, as we serve the community and our employers, means we have taken on an obligation to operate ethically. Ethical practice entails: Protecting accountability and the public interest Preserving records of continuing value Maintaining integrity Protecting rights and privileged information Supporting equitable and appropriate access to information Being objective and independent Acting competently Continuing to develop your knowledge, skills and competencies Satisfying your responsibilities to your employer /client Promoting recordkeeping and information management Each of these is explained in more detail below.
Protecting accountability and the public interest RIM professionals ensure that public accountability is maintained and the wider public interest is protected. Accountability involves public expectations of actions and performance, morality and responsiveness to a broad range of people and institutions. Reliable and authentic records and recordkeeping systems are key elements in maintaining accountability. If the wider public interest and your employer /client s interests conflict you may be placed in a difficult position As a recordkeeping and information management professional you should always uphold the laws that relate to the management of information and you should not knowingly be party to unethical or illegal conduct, including the unethical or illegal destruction/corruption of records. You have a professional responsibility to safeguard the interests of your employer / client only so long as they do not conflict with the duties and loyalties owed to the community, its laws and social and political institutions. If you are forced to breach law or act in a manner contrary to the Code of Professional Conduct, then you are professionally responsible to make your employer / client aware of these consequences and agree to an alternative course of action. Preserving records of continuing value RIM professionals have a vital role to play in the preservation of society s cultural memory. The RIM profession ensures that relevant records of individuals, communities, organisations and society are preserved for future generations. Your work with current and historical records impacts the future of society, as you play a role in determining what information will be available to future users of information. When appraising records and setting up retention schedules you should apply objective criteria and best practice principles to ensure that appropriate records of continuing value are represented in archival collections for the generations to come. This includes putting in place appropriate strategies for the maintenance of, access to, and preservation of, technology dependent records over time. Identify and maintain records in your care which may be reasonably required to determine rights and entitlements of any person or corporation. You should ensure that these are maintained until any process by which a person is likely to seek or require access to the records has concluded. Maintaining integrity RIM professionals carry out all their professional decisions and actions with the utmost honesty and integrity. They do not breach public trust in the profession or the specific trust of your employer / clients and stakeholders. Integrity is fundamental to the records and recordkeeping systems that we manage, to you as a professional, and also to protect the interests of your employer / client and the profession.
Ensure that the records and recordkeeping systems under your care have integrity by maintaining reliable, accurate and up-to-date records and recordkeeping systems in accordance with recognised or mandated standards, laws and codes of best practice. Remember that your integrity as a professional may be viewed by others as a direct reflection on the integrity of records and information in your custody and care. Records and information have more authority and credibility when they are seen to come from a reliable and trustworthy source. Protecting rights and privileged information RIM professionals uphold the rights of privacy, confidentiality and intellectual property and maintain all other appropriate rights and laws relating to the management of information. Rights and privileges associated with information have received greater prominence with the advent of computers and the information society. Their protection forms some of the core values of all information management professionals. Do not disclose information acquired in the course of your professional work or use it for personal advantage except where consent has been obtained from the rightful legal owner, or where there is a legal or professional duty to disclose this information. Ensure that appropriate access controls are in place to protect personal and sensitive information. Be aware that many different rights and entitlements are recorded and protected in records and recordkeeping systems. Ensure these are created and maintained as credibly and as accurately as possible to protect the interests of those for whom and about whom this information is gathered. Supporting equitable and appropriate access to information RIM professionals support their colleagues, employers / clients, the public, and the community, to ensure that they have equitable and appropriate access to records and information. A key value of all information management professionals is that members of our society should have equitable access to information. This is especially important in a world where there is an ever increasing reliance on information. Inequalities in society can be created when access to information is denied. There are many justifiable constraints, legal and otherwise, placed around the use and disclosure of information. Therefore, it is very important that you exercise a balanced, objective and impartial view when making decisions on providing appropriate and equitable access to information. Part of your professional responsibility also involves using your specialist knowledge and skills to better educate your community of users / clients about how to successfully locate, access and retrieve information. Being objective and independent RIM professionals are objective, impartial and free of conflicts of interest in the performance of their professional duties. Objectivity and independence assists RIM professionals to not only maintain the balance between employer / client and public interests, but to maintain good systems and internal processes for their employers / clients.
In each professional assignment undertaken, you must be seen to be free of any interest which is incompatible with objectivity. Always make sure you are aware of your employer/client s objectives and the benefits they are looking for, and be careful not to lose objectivity created by the latest technological development or by the desire to promote your own product. In the situation where a conflict exists between two or more employer/client s, or between a client and the broader community, make a full and frank explanation and/or disclosure as soon as the conflict becomes known. Acting competently RIM professionals accept only such work as they believe they are competent to perform and do not hesitate to obtain additional expertise from appropriately qualified individuals where advisable. RIM professionals exercise due care and diligence in performing their professional duties. Be aware of your own limitations and do not knowingly imply that you have competence that you do not possess. This is distinct from accepting a task of which the successful completion requires expertise additional to your own. You cannot possibly be knowledgeable on all facets of Recordkeeping and Information Management but you should be able to recognise when you need additional expertise and information. Continuing to develop your knowledge, skills and competencies RIM professionals keep informed of relevant new technologies, practices and standards. To competently provide specialist skills and advice to others they must keep their knowledge, skills and technical competencies current. All Professional members of the RMAA must participate in the RMAA s Continuing Professional Development (CPD) Scheme. Professional development also involves guiding and mentoring others. Ensure that subordinates and colleagues are trained or mentored to be effective in their duties so that they can not only improve their own effectiveness but also become keen to advance their careers and take on additional responsibilities. Satisfying your responsibilities to your employer / client In performing work for an employer/client, RIM professionals satisfy their employer/client s needs and meet the specifications to which they are committed. RIM professionals actively seek opportunities for increasing efficiency and effectiveness to the benefit of the employer/client. Always be aware of the environment surrounding your engagement and whatever its precise terms, do not work solely towards completion of the defined task. Regard it as part of your duty to make your employer / client aware of other needs that may emerge, unsatisfactory procedures that need modification and benefits that might be achieved. As an innovator you should take into account the relevance of new methods and always look for additional benefits not foreseen when a project or system was planned. Promoting recordkeeping and information management The public image of the RIM profession is important. RIM professionals maintain a professional standard that improves and enhances the profession s image. Where possible
they also extend public knowledge, understanding and appreciation of recordkeeping and information management. Educate people as to the benefits that can be achieved through the application of recordkeeping and information management principles. However, only express an opinion on a subject within your level of competence and when it is founded on adequate knowledge and honest conviction. Oppose any untrue, inaccurate, exaggerated or misleading statement or claims.