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Monitoring recordkeeping performance guidelines
Stage 3: Collecting the data
Keep it simple
Do not make obtaining information about performance an onerous task. It should be part of the routine management processes carried out as part of the records management program.
Where specific activities (such as customer surveys) need to be carried out, make sure that:
- the purpose of these activities is clearly defined and well understood
- they happen only as often as is necessary.
Collection methods
Choose a collection method that's relevant to the type of information you're collecting. The table below sets out some common methods of collecting data.
| Collection method | Data type | Outline methodology |
|---|---|---|
| Surveys | Qualitative Quantitative | There are different ways of gathering survey data, for example:
Surveys can be qualitative or quantitative or contain elements of both. Qualitative surveys are more likely to focus on perceptions, for example, 'How well ...' Quantitative surveys are more likely to focus on facts, for example, 'Do you have ..., How many ...' Note: Don't overuse this method. |
| Focus groups | Qualitative | Organised by records management staff. Useful to get feedback on services or service delivery, new ideas, post implementation reviews of new systems or tools. Be aware that staff may be reluctant to criticise services even when they are dissatisfied. |
| System monitoring | Quantitative | Use software capabilities to monitor errors and exception reports. Monitor numbers of files created, disposed of and records registered. Most records management software should be able to generate these statistics automatically. In smaller paper systems, this can be done manually. Check with ICT about size of shared workgroup folders, email and accounts. |
| Enquiries | Quantitative Qualitative | Quantity of enquiries received by the records management staff or help desk. Identify the types of enquiries (for example, about using the EDRMS, collaborative work software, disposal of records, managing emails, where to find records, retrieving records from storage, retrieving and supplying records for GIPA enquiries). Enquiries can be used to get feedback or to learn about where staff need further guidance or assistance. |
| Observation | Qualitative | Formal or informal. Check how records are being managed. Visit business units and look in filing cabinets. Monitor system logs and records entries. Observe staff doing recordkeeping tasks. |
| File audits | Qualitative | Sample files to check that the contents match the subject of the file as registered on the recordkeeping system. Check that files fully reflect the business transactions that have taken place. Check that files are in the correct location. Check that records are formally attached to files, not just stuck between the file covers. Check that documents in EDRMS are virtually attached to files if appropriate. Note: File audits can also be used in conjunction with Interviews. |
| Interviews | Qualitative | Structured interviews with a random sample of staff to find out what records they are creating/ receiving, what they do with them, and whether they understand the recordkeeping rules of the public office will help to identify any issues and gaps in knowledge. Module 7 of the Records Management Assessment Tool also provides useful questions for this type of data collection and assessment. Note: Also use with file audits. |
| Informal feedback | Qualitative Quantitative | Anecdotal evidence can be useful in identifying strengths and weaknesses. Training sessions in particular are a good source of feedback on systems and services. Note: This is in addition to feedback on the quality of training provided. On its own, it is no substitute for a planned program of monitoring. |