To ensure the effectiveness and efficiency of your recordkeeping systems and processes public offices and local authorities should regularly monitor the management of records. There are two types of monitoring – compliance which is normally covered by your internal audit function or legal compliance survey and performance monitoring which assesses how your policy, procedures and processes are being implemented.
Monitoring should form part of normal business and recordkeeping processes. Principle 7 of the Records Management Standard for the New Zealand Public Sector (the Standard) requires all public offices and local authorities to “Manage Records Systematically.” Section 7.6 states that “Records management policies and processes must be implemented, monitored and regularly reviewed”. The guidance given for section 7.6 is that monitoring and review ensures that “your existing processes are comprehensive and your electronic records management systems operate reliably. Embed records management capabilities in new line of business systems.” Documenting your monitoring activities also assists in demonstrating your compliance.
How to monitor? First establish what you need to measure – here are some tips.
• 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 1
Starting at the top, records management objectives included in your ICT strategic plan should be reported on and reviewed at least every three months. Risk registers should include recordkeeping risks and form part of an organisation’s high level register and be reviewed.
An organisation’s records/information management policy should include monitoring requirements and assign responsibilities. Once the policy has been approved and promoted, staff compliance with it needs to be monitored regularly. Periodic checks are useful to determine staff awareness and understanding of the policy, and to test whether recordkeeping practices comply with your own policy objectives and are being followed correctly by all employees.
What measures have you established for monitoring the performance of your digital systems that manage records? How do you know they are performing well and fit for purpose? This involves the system functionality and staff operation of the system. Encourage staff to provide feedback on how the records management system is working and how it could be improved; you may gain valuable suggestions for continuous improvement.
Work in with internal audit processes to include some recordkeeping measures. Every two or three years do an information management audit of the organisation. Regularly report on your monitoring so that others understand what is happening and future improvements can be planned.