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Subject: Re: Third party record holders
From: Andrew Warland <[log in to unmask]>
Reply-To:Records Management Program <[log in to unmask]>
Date:Thu, 23 Oct 2003 10:37:01 +1000
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Alicia

Some more information from the Australian perspective that might be 
helpful. 

Some examples of the wording that we might see in contracts are as 
follows:

"(The State Government agency) will retain ownership of all records 
created and/or managed during the operation and delivery of the service."

Under 'Responsibilities':  The outsourcer is responsible for ensuring that 
its staff abide by records management (RM) policies, guidelines or 
procedures for the management of (the agency)'s records; and for handling 
State archives in accordance with guidelines issued by (the State 
Government authority).

Under 'Full and Accurate Records':
In accordance with (the State Government's) Standard on Full and Accurate 
Records, the Contractor must create and make available to (the agency) 
records that fully document the operation and delivery of the agreed 
service, including but not limited to:
- Financial records
- Databases
- Reports as defined in this contract
- Correspondence (except for correspondence with the Contractor's 
organisation).  Correspondence includes e-mails.
- Minutes, memoranda and notices.
- Files notes of conversations.
- Procedures for the delivery of the services. 
The Contractor is to create and store such records in (the agency)'s 
corporate record keeping system. 
All records in existence prior to the commencement of the agreement are to 
be maintained in compliance with the above.  All records in existence 
prior to the commencement of this agreement, or created in the performance 
of this agreement, remain the property of (the agency) and are to be 
returned to (the agency) in an accessible and indexed format at the 
conclusion of this agreement. 

Generally we work closely with the organisation to ensure that (a) we 
understand the organisation's requirements for keeping records and (b) the 
organisation understands that it retains responsiblity for these records, 
and what this means. 

Regards

Andrew Warland
Senior Consultant, Information Management
Outsource Australia Pty Ltd

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"Mallory, Alicia" <[log in to unmask]>
Sent by: Records Management Program <[log in to unmask]>
23/10/2003 07:35 AM
Please respond to Records Management Program

 
        To:     [log in to unmask]
        cc:     (bcc: Andrew Warland/OSA)
        Subject:        Third party record holders


Chris wrote: "Lurkers of the of the list Rise! Unite! Post!"

I'm usually lurking, so I'll outdo myself and post twice in one day.

This question may apply to both the public and private sector; I'm looking
at this from a state government perspective.  What sort of language does
your organization use in contracts where records may be held by a third
party?

For example, some of our services are managed by separate providers, and
they maintain our records.  Contracts I've run across so far use language
such as "XYZ company will maintain books and records for the term of the
contract and copies of such books and records for the seven year period
following the end of the written term of the contract."

(Chris, I wasn't the one who put the word "copies" in there, no fair 
flaming
:) )

Our Legal dept. has asked for our input on this issue, and are also 
curious
how other organizations handle this.

Thanks in advance,
Alicia Mallory
Records Retention Analyst
Teacher Retirement System of Texas

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