Regular monitoring of records management, and an organisation-wide program for information governance (encompassing records, information and data), is beneficial for all public offices.
Beyond a mere assessment of conformity with requirements (compliance), monitoring can actively assist organisations to:
- embed good practices and processes
- identify maturity in records and information management which can be used to support records management initiatives across the organisation
- identify efficiencies in managing records
- identify and manage information risks, and
- understand the business benefits and value in investing in the quality of information assets.
Monitoring supports the organisation’s capacity to use records, information and data for decision-making, policy development and the delivery of high-quality public services and ensures that records are accurate, authentic and trustworthy evidence of the business of Government.
Monitoring of records and information governance programs is a shared responsibility between NSW State Archives and Records (SARA) and public offices. The State Records Act 1998 places a number of requirements on public offices regarding monitoring activities. See the new Regulatory Framework for further information on monitoring activities.
The Records Management Assessment Tool is a self-assessment tool designed to assist:
- Public offices to self-assess and report their alignment with the regulatory framework (the State Records Act 1998 and the standards issued under the Act).
- Public offices to identify areas for improvement, and possibly support a business case.
- SARA to have an overview of regulatory alignment across the sector.
- SARA to identify trends or key issues for targeted intervention, to support planning and the allocation of resources.
The questions in the self-assessment tool are focused on the management of records, information and data in NSW public offices, and how these practices align with requirements in the State Records Act. They highlight the links between records management and requirements for cyber security, privacy, data sharing, open data and information access (GIPAA).
The Records Management Assessment Tool consists of:
- Instructions for using the Records Management Assessment Tool
- RMAT WORD document
- RMAT EXCEL spreadsheet
You can use either the Word document or the Spreadsheet to do your assessment. The spreadsheet format includes support for automated scoring and results graphs. The document format can be more easily printed if required.
We have also prepared a Frequently Asked Questions page on the RMAT. We will be adding to this page as questions arise. If you have a question about the RMAT and it’s not on the FAQ page, contact us on firstname.lastname@example.org for a response.
The results of an assessment can be used for reporting on the:
- current status of the records and information governance programs
- planning for improvement in a particular business unit or information system
- justifying investment and measuring progress.
The assessment results can also support planning and reporting for cyber security, privacy, data sharing, open data and information access (GIPAA).
Public offices are also encouraged to use the RMAT assessment results for
- Internal or external audit exercises
- Annual or quarterly management reporting
- Work planning and budgeting
- Workforce capability planning
- Training needs analysis
- Staff development plans
- Organisation restructure or machinery of government (MOG) changes
- Digital initiatives to procure, decommission, or upgrade systems
- Measuring and reporting the impact of an IT or information management project.
- Formal request from SARA for information on the organisation’s records and information management practices and conformity with requirements.
During 2021 we encourage all public offices to use the RMAT, get familiar with the assessment questions, and start using the results of your assessments in your organisation to identify the current status of your records and information governance program and to identify improvements.
There will be no formal requirement for public offices to submit their completed results during 2021.
In 2022 there will be a formal monitoring activity when we will request copies of your assessment results. We will contact each public office with further information in early 2022 about the monitoring activity.
If you have queries about the assessment process or the results, please feel free to contact us on email@example.com .
Published July 2021