Compliance overview
State Records NSW has developed a suite of products including policies, standards, procedures and guidance for application across Government to assist public offices and officials meet the policy objectives and compliance requirements of the State Records Act 1998.
Monitoring Overview
Regular monitoring of recordkeeping is beneficial for all public sector organisations.
Monitoring can assist public offices to:
- embed good practices and processes
- identify maturity in records and information management
- support records management initiatives across the organisation
- identify efficiencies in managing records
- identify and manage information risks
- understand the business benefits in investing in the quality of information assets.
Monitoring supports being able to use records for decision-making and policy development. It ensures that records are accurate and trustworthy evidence of the business of Government. This helps public offices provide high-quality public services.
Monitoring is a shared responsibility between State Records NSW and public offices. The State Records Act places monitoring requirements on public offices.
Regulatory Framework
The State Records Act establishes State Records NSW as the regulator of records management and recordkeeping within NSW public offices.
The State Records Act provides State Records NSW with regulatory powers and enables us to:
- issue formal requirements
- provide records management services
- assist and support public offices in their compliance with the Act.
The Regulatory Framework describes our approach to regulating records management. It demonstrates how we intend to use the powers in the State Records Act to support our regulatory activities.
Public offices' role in monitoring records management
Public offices should regularly monitor the management of records. This ensures effective recordkeeping and compliance with the State Records Act.
Generally, public offices undertake two types of monitoring activities. These are performance monitoring and compliance monitoring. They show how the organisation is performing and any areas that need further attention.
Performance monitoring
Public offices should regularly assess the effectiveness of their recordkeeping systems and processes. This ensures they are meeting the public office’s business needs. One way to do this is through performance monitoring.
Performance monitoring is an in-depth analysis of a process or project to determine whether it is efficient and effective. It involves identifying and assessing procedures, undertaking interviews with relevant personnel and examining documentation to understand the process.
Activities include monitoring:
- performance of the organisation's records management program
- records management processes
- records management systems, 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 well.
The starting point for some performance monitoring may be the identification of a business issue. The organisation can analyse the problem using the relevant tool and develop a solution. This might involve updating processes or developing new processes.
Public offices may also measure performance to determine if a process is effective and if its objectives are being met. Measuring performance allows the organisation to understand how well an outcome is being achieved. In this way it is a 'qualitative' form of measurement.
Organisations can track 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 issued by State Records NSW
- assessing staff understanding and use of records management policies and procedures
- conducting an internal audit of recordkeeping and/or management of records
- using the Records Management Assessment Tool, conducting detailed reviews to confirm that records are being created and captured into the recordkeeping system.
Public offices may also seek independent or external performance monitoring of their organisation's recordkeeping. For example, auditors can undertake both performance and compliance monitoring.
Compliance monitoring
Compliance means: '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 helps to establish whether a process conforms with requirements. These may be set through legislation, regulations or directions. It involves examining how organisations do things and confirming compliance with selected criteria.
Public offices should regularly assess their conformity with the obligations of the State Records Act. This ensures that the organisation is compliant, and any issues are corrected.
Compliance monitoring activities include assessing:
- compliance with obligations in the State Records Act
- the records management program
- recordkeeping
- the management of records, and
- records management and business systems that create and capture records.
Documenting this audit helps to show compliance with the State Records Act. Public offices may be asked about their monitoring activities by organisations such as ICAC or the NSW Ombudsman.
Public offices can track their compliance by:
- using the Records Management Assessment Tool
- assessing compliance against the requirements in standards issued by State Records NSW
- benchmarking against previous Recordkeeping Monitoring Exercise results
- undertaking a compliance audit to provide an independent assessment
Public offices can use internal or external auditors to conduct compliance monitoring activities.
Monitoring tools
Check out our range of tools which help public offices with their monitoring exercises.
Other rules and guidance
It is important to be aware of the many other sources for 'rules' affecting recordkeeping in the NSW public sector.
Whole-of-Government polices and directives issued by the Premier's Department, Treasury, or Public Service Commission can also establish requirements with respect to the making, keeping and management of records.
For particular organisations, sectors or areas of activity (e.g. work health and safety) other legislative instruments, industry standards, codes and guidelines may also establish or define recordkeeping requirements to which an organisation (or parts of it) are subject.
Guidelines produced by other Government organisations such as the Independent Commission Against Corruption, NSW Ombudsman and the Information and Privacy Commission are additional useful resources.