Principles

1 Directed by policy | 2 Planned | 3 Staffed by skilled people | 4 Implemented | 5 Monitored and reviewed

1 Directed by policy

The records management program is directed by policy

Policy is essential for directing how records will be managed in a public office.  Policy establishes how records are created, captured, maintained and disposed of in accordance with the legal, regulatory and business needs of the public office.  It informs everyone of the place of records management in the public office, both strategically and operationally.

Policy may be specific to records management or policy for other organisational business may set out rules for recordkeeping.

Records management policy must be reviewed regularly to take account of changing business activities and priorities and to ensure that the records management program continues to fully support business needs.

Compliance requirements

1. Records management is directed by policy adopted at the corporate level 
2. Policy statements direct that records are made, captured, maintained and disposed of in accordance with the legal, regulatory and business needs of the public office
3. Policy defines the responsibilities of all personnel who manage records or carry out recordkeeping activities.

2 Planned

The records management program is planned

Records management planning ensures that records are made, captured, maintained and disposed of in accordance with organisational policy and that the appropriate infrastructure is in place to support this. 

Objectives and performance targets for both the long term and the day to day activity of the program are essential parts of records management planning.  These performance targets and objectives should support compliance with legal, regulatory and business needs.

Compliance requirements

1. Long and short term records management goals are identified and documented in the planning mechanisms of the public office
2. Adequate resources are allocated to achieve long and short term records management goals.

3 Staffed by skilled people

The records management program is staffed by skilled people

Access to skilled people is critical to the success of records management. 

Overall responsibility for the records management program should be assigned to a senior manager with organisation-wide influence and appropriate strategic and managerial skills. State Records uses the term 'Nominated Senior Officer' to describe this role.

The public office should be able to access records management skills internally through recruitment, training and development or, if not, externally through appropriately qualified consultants, networking with other public offices or liaison with State Records. In a medium-large public office, this will require skilled records management position/s, in a smaller public office, this may be a role with other responsibilities.

The skills required will vary according to the nature and complexity of the public office.  Skill levels should be appropriate to the complexity of the records management tasks for which staff are responsible.  

Compliance requirements

1. Overall responsibility for the records management program is assigned to a Nominated Senior Officer.
2. Specialist records management skills required to implement the records management program and its component recordkeeping systems are available to the organisation.
3. Staff undertaking records management have appropriate skills for their positions and responsibilities and these are kept up to date.

4 Implemented

The records management program is implemented

Successful implementation of policies and plans for records management is vital.  These must be implemented systematically throughout the public office throughthe deployment of recordkeeping systems, records management processes and tools, services and training.

Implementation should align records management processes with business processes so that they support effective business operations.  An understanding of organisational culture and attitudes towards recordkeeping and staff training can assist in the successful implementation of a records management program.

Note: Recordkeeping systems are not just records management software packages.  Many business systems, e.g. personnel and payroll databases, financial management systems, are also recordkeeping systems as records are made by and kept in these systems. Systems do not have to be technology based - some public offices use paper-based recordkeeping systems.  

Compliance requirements

1. Records are made, captured and maintained in official recordkeeping systems in accordance with legal, regulatory and business needs.
2. Business systems meet identified requirements for making and maintaining records.
3. Current retention and disposal authorisation is in place for all records, regardless of format, of the public office.  
4. Records are disposed of in accordance with authorised retention and disposal authorities and appropriate processes. 
5. Staff are trained in recordkeeping practices and procedures, and training is appropriate to their positions.  
6. Staff use official recordkeeping systems and services and have access to appropriate advice.

5 Monitored and reviewed

The records management program is monitored and reviewed

Monitoring and review is a key principle in ensuring that records management continues to support the objectives of the public office.  Monitoring must be done regularly to be of value to the public office and to maximise opportunities for improvement.

Planning documentation for a records management program offers useful indicators against which the operational effectiveness of records management policies, processes, training and services can be reviewed.Performance targets and indicators must be reviewed regularly to ensure that they are still relevant to the way records management operates and the public office conducts its business.

Compliance requirements

1. All aspects of the records management program are regularly reviewed against performance objectives.
2. Opportunities are identified for improving the effectiveness, efficiency and quality of records management systems, processes and tools through regular monitoring and review.
3. Areas for improvement are addressed in records management planning.