Compliance overview
State Records NSW has developed a suite of products including policies, standards and resources 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 or deficiencies 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 requirements for monitoring 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: 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 and legal obligations. 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.
See Performance monitoring under Monitoring activities for further information.
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.
See Compliance monitoring under Monitoring activities for further information.
Public offices may be asked about their monitoring activities by organisations such as Independent Commission Against Corruption (ICAC), Cyber Security NSW or the NSW Ombudsman.