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Guideline 19 - Monitoring recordkeeping performance

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Summary: These guidelines cover the implementation of monitoring for records management programs and recordkeeping within a public office. They provide practical tools and examples to help public offices establish their own program that meets their own recordkeeping objectives.

Introduction | Monitoring activities | Stages in monitoring recordkeeping performance Stage 1: Setting performance objectives | Stage 2: Developing performance measures | Stage 3: Collecting the data | Stage 4: Analysing results | Stage 5: Implementing performance improvements | Stage 6: Reporting and review | How do you know if things are going well? | Appendix A: Examples of performance measures related to particular objectives | Appendix B: Using State Records' standards to monitor performance

Introduction

These guidelines cover performance monitoring of records management programs and recordkeeping within a public office. They provide practical tools and examples to help public offices establish their own monitoring program that meets their own organisation’s recordkeeping objectives.

Public offices should regularly monitor the management of records within the organisation to ensure the effectiveness and efficiency of recordkeeping systems and processes, and conformity with the State Records Act and associated standards and codes of best practice. Principle 5 of the Standard on Managing a Records Management Program requires all public offices to regularly review the organisational records management program against its performance objectives.

There is a great deal of literature on monitoring and measuring performance. These guidelines do not attempt to reproduce this but rather to provide some useful guidance and tools for using performance measurement in managing important information assets.

Monitoring activities

Generally, organisations undertake two types of monitoring activities to understand how the organisation is performing and to identify those areas which require further attention. The two types of monitoring activities are compliance monitoring and performance monitoring.

Compliance monitoring

Compliance is defined as 'adhering to the requirements of laws, industry and organizational standards and codes, principles of good governance and accepted community and ethical standards'. (AS 3806 - 2006: Compliance Programs, section 1.3.3)

Compliance monitoring and compliance auditing aim to establish whether a process or procedure is carried out in conformance with relevant external requirements, whether set through legislation, regulations or directions. It involves examining, at a fairly straightforward level, how organisations 'do something' and confirming 'compliance' with criteria. (CB029 - 2003, The Audit Skills Handbook, section 1.8)

Public offices should regularly assess their conformity with the obligations of the State Records Act and the associated standards and codes of best practice to ensure that the organisation is compliant and that issues of non-compliance are corrected.

Compliance monitoring activities can range from:

  • assessing compliance with obligations in the State Records Act
  • assessing the records management program
  • assessing recordkeeping
  • assessing the management of records, and
  • assessing records management system and business systems that create and capture records.

Documenting compliance monitoring activities is an important component in demonstrating the organisation's compliance with the State Records Act and associated standards and codes of best practice. Public offices may be asked about their monitoring activities by other organisations with an interest in good records management (eg. the Information and Privacy Commission, the Independent Commission Against Corruption) or when responding to follow up on a recordkeeping issue by State Records. Section 5.2.1 of the Australian Standard AS 3806 - 2006: Compliance Programs advises that:

'Accurate, up-to-date records of the organization's compliance activities should be maintained to assist in the monitoring and review process and demonstrate conformity with the [compliance] program.'

Organisations can monitor their compliance by:

  • using the Records Management Assessment Tool
  • assessing compliance against the requirements of each standard issued by State Records (there are compliance checklists at the end of each standard)
  • benchmarking against previous records management self assessment surveys or audit results to assess improvements or to identify issues of non compliance
  • undertaking a compliance audit using internal auditors or an external party to provide an independent assessment of the organisation's records management program, practices and systems, and
  • using the Information Asset Management (IAMS) Assessment Tool to undertake a 'health check' and assessment of levels of compliance with requirements.

Public offices may consider using the services of a consultant, internal or external auditors, or the Internal Audit Bureau to conduct compliance monitoring activities.

Performance monitoring

Performance monitoring involves an in-depth analysis of a process or project, to determine whether it is efficient and effective. It involves developing criteria, conducting interviews and examining documentation to determine how the process or project is conducted. This type of monitoring is also referred to as a process audit (CB029 - 2003, The Audit Skills Handbook, section 1.8).

Organisations typically measure performance to determine if a process or practice is effective and whether objectives or targets are being met, and thus satisfactory performance. Measuring performance allows the organisation to not just measure whether an outcome is being achieved, but how well or the degree of satisfaction of the outcome; in this way it is a 'qualitative' form of measurement. Performance measurement can also assist the organisation in determining how capable it is whether current practices and whether the organisation’s capability can be extended to new practices or processes.

Public offices should regularly assess the effectiveness and efficiency of their recordkeeping systems and processes to:

  • ensure that they are satisfactory and meeting the public office's business needs
  • support continuous improvement in line with the organisation’s business objectives
  • identify achievements and successes
  • comply with standards issued by State Records, and
  • plan for new services and upgrades to existing tools and services.

This type of monitoring can be undertaken as part of an internal audit process or may be undertaken in cases where there are suspicions of maladministration or fraud.

Performance monitoring activities can range from monitoring:

  • overall performance of the organisation's records management program
  • recordkeeping by business units, workgroups or individuals
  • records management processes
  • records management systems
  • delivery of records management services by service providers, and
  • assessing the records management capability of the organisation.

Performance monitoring can also include targeted assessments of recordkeeping, for example assessing high risk business areas to ensure that records are being created and captured, and that records are adequate (ie. are the records being created and captured adequate for providing evidence of the business of the organisation?).

The starting point for some performance monitoring activities may be the identification of a business issue/problem. The organisation can analyse the problem using the relevant tool and develop a solution which may involve updating processes or developing new processes.

Organisations can monitor their performance by:

  • conducting assessments using the plans, goals and objectives of the records management program
  • assessing feedback from clients of the services provided by the records management program
  • benchmarking against standards such as AS/ISO 15489 and standards issued by State Records
  • assessing the level of understanding and use of records management policies and procedures by staff
  • assessing progress against the organisation's storage and disposal plan
  • using the Information Asset Management (IAM) Assessment Tool to assess the maturity, capability and healthiness of records management in the organisation
  • conducting an internal audit of recordkeeping and/or management of records
  • using Steps B and C of the Designing and Implementing Recordkeeping Systems (DIRKS) methodology to assess the adequacy of records and recordkeeping
  • using the Records Management Assessment Tool, and
  • conducting detailed reviews of high risk business areas to confirm that records are being created and captured into the recordkeeping system.

Organisations may also seek independent or external performance monitoring of their organisation's recordkeeping and management of records, for example, auditors can undertake both performance and compliance monitoring.

Who are the guidelines for?

The guidelines will be useful for records managers or other staff with responsibility for managing the records management program or those responsible for implementing a monitoring program for recordkeeping.

Monitoring should be scalable to your organisation’s needs and resources. If necessary, prioritise areas of concern, eg. target high risk business unit/s, and/or target high risk recordkeeping processes, such as disposal or capturing records.

Monitoring will only be useful if a number of criteria are met. These are:
* Clearly defined objectives
* Adequate resources to carry out the monitoring
* Appropriate performance measures
* Senior management support for using results to improve performance
* Regular review of objectives and indicators to make sure they remain relevant.

Stages in monitoring recordkeeping performance

The table below sets out the stages for establishing a monitoring program for recordkeeping. While the stages are generic to any performance monitoring program, the explanation of each stage gives advice and examples specific to recordkeeping.

Stage
Description
1 Setting performance objectives
2 Developing performance measures
3 Collecting the data
4 Analysing results
5 Implementing performance improvements
6 Reporting and review

Recordkeeping failures

Usually performance monitoring should be incorporated into regular activities of the organisation’s records management program and the objectives for monitoring should dovetail with the objectives of the program and the organisation’s business plans and are set at the start of the yearly planning cycle.

However, there may also be times when particular recordkeeping events, for example, work to address critical recordkeeping failures, create the need for special monitoring. These events may be due to State Records’ monitoring processes, audit reports by the Audit Office, investigation reports by the ICAC, failure to provide records as part of a GIPA enquiry and subsequent investigation by the Ombudsman or the Information and Privacy Commission, or matters raised informally by staff or members of the public.

The performance monitoring stages outlined below can be followed in these instances.  Whether part of regular monitoring activities or special purpose monitoring, it is important to target your objectives and measures at the issue to be addressed.

Using risk analysis to prioritise activities

Assessing the business of your organisation, determining the high risk business processes and the records created as part of these processes, could be a good starting point for identifying performance objectives and for determining what performance measures you need.  Alternatively you may prioritise monitoring activities by identifying areas of possible risk of recordkeeping failure, such as failure to create records or unauthorised disposal.

Stage 1: Setting performance objectives

Clearly define performance objectives and their relationship to the objectives of the records management program. Planning documentation for the records management program (Ie. the action and strategic planning documentation) should set out the objectives of the program for the period of time covered by the plans. These objectives could relate to very different aspects of the program, including the quality of records management services, to ensuring the creation and capture of records across the organisation.

Some examples of performance objectives are given below.

Examples of performance objectives
* All staff create and keep full and accurate records
* All staff can find records when they need to
* All staff are aware of the organisational policy/rules for managing email, for managing corporate data on mobile devices or storing data on removable storage devices
* Records are stored securely and protected from unauthorised access, alteration, deletion or loss
* Records in both paper and digital systems are disposed of accountably
* Records are captured into official recordkeeping systems
* All recordkeeping requirements for high risk business processes are identified and documented
* All business systems that create and keep records have been identified
* All business systems that keep records of high risk business processes have been assessed for recordkeeping functionality.

The performance of new recordkeeping systems, tools and processes could be targeted in performance objectives and measures. Project plans could provide useful performance measures for new systems.

Deciding what is good practice

To establish what is good practice for recordkeeping and records management in your public office, you need to know what is good practice in the industry and in NSW Government, and also what your organisation can achieve.

There are a number of ways of determining what is good practice for your public office. The table below sets out some useful resources and the reasons why they may be useful in establishing good practice.

ResourceReason for use
Standards issued by State Records Compliance with the standards is mandatory for NSW public offices. See Appendix B for more advice on using the standards as a benchmark.
International best practice, eg. AS ISO 15489 Records Management The international records management standard is endorsed as a code of best practice in NSW. Compare performance to the international standard. Handbook HB 278-2009 Recordkeeping Compliance will also assist in developing performance assessment criteria.
Benchmarking within the public office Compare the records management services to expectations within the public office. There may be like business units against which you can compare aspects of service delivery.
Benchmarking outside the public office Compare the records management program with programs in similar public offices, eg. departments of similar size, councils of similar demographic/geographic mix, or public offices with the same function in other states.

Stage 2: Developing performance measures

Performance measures are the yardsticks by which you assess whether you have met, or have gone some way towards meeting, your objectives. They can be a mixture of quantitative and qualitative measures but should be scoped to fit your objectives and resources for monitoring. It is no use having 25 measures requiring daily data collection if you don't have the time to collect the data or to analyse and make use of the results. Don't waste resources collecting elaborate statistics that are never used.

Information Tips to remember:
* Measure what you need to know, not what you would like to know
* What gets measured gets done - a favourite management slogan
* Incorporate monitoring into routine operations
* Don't set too many performance measures - it becomes too much and you do not have time to properly analyse information.

Different types of performance measures are used to measure:

  • economy
  • efficiency, and
  • effectiveness.

What you measure will depend upon the objectives you have set. Usually, it's good to have a mixture of measures that cover the three 'E's above. What you measure will also depend upon the level at which you want to do this, eg. the high level records management program, a business unit, a particular recordkeeping process or service.

If you are measuring…Then some examples of relevant measures could be…

Economy

  • Cost per record retrieval COST = (Storage contract + salaries + RM unit office costs) ÷ no. of boxes/items retrieved. [Note: Decide which cost elements you wish to include. Keep it simple and be consistent.]
  • Cost per file created
  • Cost per record managed
  • Demonstrating value for money in outsourced service provision

Efficiency

  • Speed of retrieval and delivery of records from storage
  • Enquiries completed within x hours
  • Number of complaints
  • Is there records management policy, procedures, disposal authority, etc.?
  • Service level agreements in place for outsourced information and records management service provision and measures identified

Effectiveness

  • Satisfied customers
  • Proportion of business units using the records management service
  • Proportion of new users
  • Whether staff use records management tools, follow procedures, save emails into the EDRMS etc.
  • Audit queries that relate to recordkeeping able to be satisfied
  • Recordkeeping system/s and business systems meeting recordkeeping requirements
  • Ability to meet external enquiries for records (GIPA requests, subpoenas etc).
  • Outsourced service providers meet performance requirements and deliver effective information and records management services

Using other business performance measures to monitor recordkeeping

Many business processes are underpinned by good recordkeeping and poor performance in these areas can sometimes indicate that there are recordkeeping issues to address. Examples of areas where it may be worth monitoring include financial management and procurement, GIPA responses, customer services and customer complaints. A high risk area where poor performance is often related to recordkeeping is the ability of the public office to manage any legal challenges (for example, locate subpoenaed records). Note: Not all failures in performance will be caused by recordkeeping.

Establishing the baseline

Baseline data is an example of the close link between planning and monitoring. If you don't know where you are, how can you plan for where you need to get to?

You need to understand where the program, service or system under scrutiny is at in order to monitor any improvements. This 'baseline' should be assessed before you implement any new activities and start program monitoring. This gives you the starting point for setting appropriate targets and for assessing how effective changes have been. The baseline data you collect will depend upon the performance measures you have decided upon.

Example:
Baseline data may be an assessment that 50% of business units are using the corporate records system at the start of the financial year. The objective would be to ensure that this percentage was increased to 70% of business units by the end of the year.

Set performance targets

Set performance targets against the objectives that are achievable, measurable and time-limited. Performance targets should reflect where the organisation is currently and where it needs to go. For example, it is unlikely that a performance target of 100% of staff receive training in a year will be achieved if the number of staff in your public office is large, there is a high staff turnover and your training program has limited resources.

Some examples of performance targets are given below.

Examples of performance targets
* 95% customer satisfaction
* X% GIPA requests for records provided to the Right To Know officer in X amount of time
* X% hardcopy records provided to the user in X amount of time
* X % of recordkeeping systems meeting recordkeeping requirements
* X% of business systems that create and capture records have been identified
* X% of business systems that keep records of high risk business processes have been assessed for recordkeeping functionality
* X boxes of hardcopy records sentenced
* X records sentenced in the EDRMS
* $X reduction in storage costs due to the disposal of hardcopy records
* X% of staff receive training appropriate to their knowledge needs
* All user permissions reviewed and updated
* Business units have rules and procedures that identify business processes that must be documented and/or records that must be made and captured into business and recordkeeping systems.

Stage 3: Collecting the data

Do not make obtaining information about performance an onerous task. It should be part of the routine management processes carried out as part of the records management program. Where specific activities do need to be carried out, eg. customer surveys, make sure that the purpose of these activities is clearly defined and well understood, and that they happen only as often as is necessary.

Collection method

The method chosen should be relevant to the type of information you are collecting. The table below sets out some common methods of collecting data.

Collection methodData typeOutline methodology
Surveys Qualitative
Quantitative
There are different ways of gathering survey data, eg:
  • self-completion by service users,
  • completion by records management staff or third party (.g. consultants) in interviews with users and observing staff.

Surveys can be qualitative or quantitative or contain elements of both.  Qualitative surveys are more likely to focus on perceptions, eg. 'How well ...'

Quantitative surveys are more likely to focus on facts, eg. 'Do you have ..., How many ...'

Note: Don't forget that the more people you survey and the more questions asked, the longer it could take to collate and analyse the results.  Don't overuse this method.  You are unlikely to be the only unit surveying staff and they can get fed up.

Focus groups Qualitative Organised by records management staff. Useful to get feedback on services or service delivery, new ideas, post implementation reviews of new systems or tools, etc. Be aware that staff may be reluctant to criticise services even when they are dissatisfied.
System monitoring Quantitative

Use software capabilities to monitor errors and exception reports.

Monitor numbers of files created, disposed of, records registered, etc. Most records management software should be able to generate these statistics automatically or in smaller paper systems it can be done manually.

Check with ICT about size of shared workgroup folders, email accounts, etc.

Enquiries

Quantitative

Qualitative

Quantity of enquiries received by the records management staff or help desk.

Identify the types of enquiries (eg. about using the EDRMS, collaborative work software, disposal of records, managing emails, where to find records, retrieving records from storage, retrieving and supplying records for GIPA enquiries).

Enquiries can be used to get feedback or to learn about where staff need further guidance or assistance.

Observation Qualitative Formal or informal. Check how records are being managed. Visit business units and look in filing cabinets. Monitor system logs and records entries. Observe staff doing recordkeeping tasks.
File audits Qualitative Sample files to check that the contents match either what is registered on the recordkeeping system, or fully reflects the business transactions that have taken place.
Check that files are in the correct location.
Check that records are formally attached to files, not just stuck between the file covers.
Note: File audits can also be used in conjunction with Interviews. 
Interviews Qualitative

Structured interviews with sample of staff to find out what records they are creating/ receiving, what they do with them, and whether they understand the recordkeeping rules of the public office. Helps to identify any issues and gaps in knowledge.

Module 7 of the Records Management Assessment Tool also provides useful questions for this type of data collection and assessment. 

Note: Also use with file audits.

Informal feedback Qualitative
Quantitative
Anecdotal evidence can be useful in identifying strengths and weaknesses. Training sessions in particular are a good source of feedback on systems and services. (Note: This is in addition to feedback on the quality of training provided). On its own, it is no substitute for a planned program of monitoring.

Stage 4: Analysing results

Having carried out the monitoring, you need to analyse the information you have collected. Check results against current performance targets. It is useful to also review performance against the performance of the records management program in previous years so that you can monitor trends in your services.

If you are getting poor performance results, analyse the records management program elements to find out the cause. Be aware that sometimes the real causes can be beyond the control of the program.

Stage 5: Implementing performance improvements

This is an important stage in the performance measurement process – there is no point monitoring if you are not going to do anything with the results.

Having identified the gaps and the causes of problems then develop strategies to fix these. These may be 'quick wins' or may need to be factored into your longer term planning.

Use the information to report to management and to feed into future planning and review cycles. This is where 'soft' factors may come into play with issues of change management, influencing senior managers to secure adequate resources, to support necessary changes or to upgrade tools.

Having the hard data to back up your analysis will be useful in securing management support. This also reinforces the link to planning, as objectives for the records management program should be closely aligned to higher-level corporate objectives.

Stage 6: Reporting and review

Don't forget this stage. As with any part of a program, you need to make sure that your monitoring activities are focused on the aspects of recordkeeping and the records management program that you need to know about. Do not monitor something just because you always have done in the past. As your public office changes and the records management program develops there will be other aspects about which it becomes more critical to obtain performance data.

Note: Trend data is very useful in demonstrating improvements over time or causes for concern over time. This relies on consistently measuring the same activity over time using the same criteria. Keep these long term measures under review to ensure that they are still relevant to your performance planning.

How do you know if things are going well?

How do you know if individuals are following recordkeeping policy and procedures?

Individuals, workgroups and business units within your organisation are responsible for:

  • being aware and understanding organisational policy and rules for managing records
  • creating records as part of their work
  • capturing records into official recordkeeping systems
  • handling hardcopy records with care
  • only destroying records when authorised to do so, and
  • protecting records from unauthorised access.

Assessing whether individuals are following recordkeeping policy, practice, and the above list of responsibilities can be difficult.  State Records recommends including a statement about the need to create full and accurate records in staff position descriptions and/or in the public office code of conduct. But how do you check whether staff  are meeting policy, practices and responsibilities in regard to recordkeeping?

Some ways of systematically monitoring the recordkeeping performance of individuals are set out below.

For records management staff

The records management staff are responsible for making sure that the systems and tools needed to support individual recordkeeping are in place and operating. In addition, they can:

  • Conduct file audits - periodic checks of desks for working files, files not checked out to them, emails printed out and added to files or registered electronically, etc.
  • Monitor file creation and document registration statistics - usually for business units but if there are particular problems, then look at individual performance.
  • Check sample of file and document titles (if created by the user) to check understanding and appropriate use of corporate language tools.
  • Conduct surveys of staff (including records management staff) to identify any training needs, new tools or revisions to existing tools required, etc.
  • Confirm that digital records are being captured into recordkeeping systems and business systems that keep records
  • Monitor that emails are being captured into the EDRMS (this could include monitoring the size of email accounts and random/selected audits of email users to ensure conformity with organisational requirements to capture email into the recordkeeping system)
  • Confirm that digital recordkeeping systems capture read-only versions of records (ie that records cannot be tampered with or altered)
  • Confirm that records can be retrieved from digital recordkeeping systems and presented in formats which allow an individual to view and understand the record
  • Confirm that access controls on the recordkeeping system, information security and protection mechanisms are in place and working
  • Confirm that digitisation processes are resulting in authentic, complete and accessible images of hardcopy records

For business managers

Business managers and superviors are well placed to monitor that business rules, procedures and responsibilities are being followed.  This can occur as part of routine management and performance management processes

Module 7 of the Records Management Assessment Tool has been designed to assist business managers and organisations in monitoring recordkeeping within workgroups and business units to determine whether staff are conforming with organisational policies and rules, and meeting the organsiation’s requirements.

Additionally, records can be checked for completeness and accuracy.  Note: Unless particular problems have been identified, the checking of records is likely to be at an aggregate level, eg. monthly accounting reports, complaints management reports.

How do you know if recordkeeping systems are performing well?

  • Check that the recordkeeping requirements of all recordkeeping systems have been identified
  • Assess systems against recordkeeping requirements and defined functionality, i.e. is the system capturing records of [name of function] transactions, are unique identifiers assigned to records, etc. Note: This is likely to involve interviews with both system managers and business managers.
  • Monitor system downtime (electronic systems)
  • Check that records have unique identifiers in the system. Check that the metadata automatically applied by systems are correct, eg. date and time, record creator information, unique transaction numbers, etc.
  • Check that records are able to be accessed and retrieved from the system
  • Confirm that migrations of records from one system to another are controlled and documented, and that metadata remains  linked to the record when it is migrated
  • Check that records managed, stored or returned by outsourced service providers are complete and accessible
  • Confirm that recovery and restoration processes for digital records and recordkeeping systems function correctly and that records can be recovered and restored after a disaster

See Step D: Assessment of existing systems of Strategies for Documenting Government Business: The DIRKS Manual for more help with this.               

How do you know if you are providing quality records management services?

  • Set up a user group to gather feedback on program performance, eg. the records management software system, tools such as the thesaurus, training courses or material.
  • Monitor levels of use of the services. If these drop, it may indicate a problem either with the service itself or promotion of the service.
  • Survey customers regularly. Make these purposeful and concise so as not to annoy users.
  • Set and monitor service delivery targets.

What if staff aren't using the systems and tools?

Feedback from organisations indicates that a fundamental problem in recordkeeping is that staff do not use the systems and tools provided for them, despite best efforts to make these fit business needs. Performance measures for system use will identify if this is an issue for you.

Fixing this problem requires a number of different strategies including:

  • promotion of recordkeeping rules and toolsand explain the benefits of the rules and tools for users (eg. using the new collaborative work space means that all team members have access to the information and decisions about the project)
  • training programs for management and staff
  • providing a help desk service to assist users
  • reviewing systems and tools to ensure that they are user-friendly, and
  • integrating recordkeeping systems and tools into work processes, so that they aren't seen as an onerous 'add-on' to work tasks.

See Recordkeeping in Brief 32: Promoting better recordkeeping for more information on getting the recordkeeping message heard in your public office.

Appendix A: Examples of performance measures related to particular objectives

Do not use the following table as a checklist – it contains examples which organisations can use to develop their own performance measures. The objectives, activities and performance measures adopted in your organisation must be relevant to your corporate objectives and the services you provide.

See Step H: Post-implementation review of Strategies for Documenting Government Business: The DIRKS Manual for more information on measuring the performance of recordkeeping systems.

Core objective eg.Eg. of performance measureTarget

To capture all corporate records into official recordkeeping systems in a timely manner

Policy/procedures developed and issued – yes/no

Yes

Recordkeeping requirements for recordkeeping systems are identified.

% of systems

Recordkeeping requirements for recordkeeping systems are met.

% of systems, % of requirements

Staff trained to use the recordkeeping system

% of total

Hours of staff trained

x hours

Records registered during financial year

--

Files created during financial year

--

To ensure records of high risk business are created and managed

Identified high risk business and determined what records must be retained (system analysis)

All

Records captured into recordkeeping system (file audits, surveys, interviews)

All

To dispose of corporate records accountably

Does the public office have a retention and disposal authority – Completed? In preparation? Planned for? Reviewed?

Completed

Are digital records destroyed in accordance with disposal authorisation?

%

Do staff understand the rules about disposal of records? (Survey, random sample for interview)

%

Proportion of physical records awaiting destruction as proportion of whole.

%

Proportion of physical records destroyed as proportion of those awaiting destruction.

%

To provide access to records in accordance with corporate policy

Storage facilities pass regular inspection (whether in-house or outsourced)

%

User permissions for recordkeeping systems reviewed regularly

--

Systems tracking the location of records are used all of the time

--

Records available to meet [business area] targets

Note: Examples of business area could be GIPA, audit, customer services.

--

To provide quality records management services

Proportion of business units using records management services

%

Number of new customers

%

Number of complaints

Reduce by %

Percentage of satisfied customers

%

System downtime

%

Time to deliver record to requester

% meeting target time

To provide efficient record management services

Cost of service/record stored

$

Cost of service/record retrieved from outsourced storage

$

To provide user-friendly records management tools, eg. retention and disposal authority, thesaurus

Tools reviewed and updated in the last year

x of y, %

Is a [records management tool] in use? - Yes/No

Yes

Customer use: Do you use [tool]? Was [tool] easy to use? Would you use [tool] again? If not, why not? (Concise survey)

(% satisfied)

To comply with the State Records Act

Policy, plans and procedures developed and implemented

Yr 1 - Planned and In progress; Yr 2 - Completed

Compliance with [standard/s] (survey of relevant standard/s)

%

Records Management Assessment Tool used to assess compliance in organisation Assessment of modules 1, 2, and 4 completed: Framework for records management (Module 1); Make and keep full and accurate records (Module 2); Digital recordkeeping (Module 4)

Appendix B: Using State Records' standards to monitor performance

Compliance with State Records' standards is mandatory for all public offices in NSW.  All standards include a compliance checklist that can be used by records management staff to identify gaps in compliance.  The  standards also provide some advice on identifying compliance gaps by giving examples of the sorts of records management tools and activities to look for in relation to each minimum compliance requirement.

The Records Management Assessment Tool can also be used to monitor performance and compliance.  The Tool incorporates performance criteria which establish if the organisation has achieved a higher degree of maturity and capability in the records management areas of practice, by working beyond the minimum compliance requirements set in records management standards and the State Records Act.  Brief descriptions of the standards are given below.  

Standards

Standard on digital recordkeeping, 2008 (No. 10)

This standard sets out the minimum compliance requirements for NSW public offices for defining their digital records, digital recordkeeping system functionality and the creation and management of recordkeeping metadata for digital records.

Standard on counter disaster strategies for records and recordkeeping systems, 2002 (No. 6)

This standard covers the requirements for planning and preventing disasters to records and recordkeeping systems. The standard contains a compliance checklist, comprising a series of questions directly relating to the compliance requirements and check boxes for indicating compliance.

Standard on full and accurate records, 2004 (No. 7)

This standard covers the principles for making and keeping full and accurate records, that is what are the characteristics of a full and accurate record. The standard contains a number of principles and compliance requirements and an appendix providing advice on how to comply.

Standard on managing a records management program, 2004 (No. 8)

This standard covers the infrastructure needed in a public office to support good recordkeeping, that is policy, planning, staffing, implementation and monitoring. The standard contains a number of principles and compliance requirements and an appendix providing advice on how to comply with these.

Standard on the appraisal and disposal of State records, 2007 (No. 9)

This standard sets benchmarks to guide public offices in conducting appraisal and disposal processes, including the development of records retention and disposal authorities and the implementation of these authorities in the public office.

Standard on the physical storage of State records, 2012 (No. 11)

This standard covers the storage of physical or hardcopy State records in the custody of public offices.  It covers the storage of active and semi active records, records created and maintained by contractors on behalf of public offices in the course of outsourced government business, and the storage of State records by service providers on behalf of public offices.  The standard contains a number of principles and compliance requirements and an appendix providing advice on how to implement and comply with these principles.

© State of New South Wales through the State Records Authority, 2003. Revised 2009 and 2012.
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ISBN 0-9750563-8-7