Stages in monitoring recordkeeping performance

Overview of the stages

The table below sets out the stages for establishing a monitoring program for recordkeeping. While the stages are generic to any performance monitoring program, the explanation of each stage gives advice and examples specific to recordkeeping.

Regular and special purpose monitoring

Performance monitoring will usually be incorporated into the regular activities of the organisation’s records management program. The objectives for monitoring should correspond with the objectives of the program and the organisation’s business plans and are set at the start of the yearly planning cycle.

There may also be times when certain recordkeeping events create the need for special monitoring. For example, addressing critical recordkeeping failures.

These events may be due to:

• State Records NSW’s monitoring processes
• audit reports by their Audit Office of NSW
• investigation reports by the ICAC
• failure to provide records as part of a GIPA enquiry and subsequent investigation by the Ombudsman or the Information and Privacy Commission
• matters raised informally by staff or members of the public.

The performance monitoring stages outlined still apply in these instances.

Whether part of regular monitoring activities or special purpose monitoring, it is important to target your objectives and measures to the issue to be addressed.

Using risk analysis to prioritise activities

Assessing the business of your organisation, to determine high-risk business processes and the records created as part of these processes, could be a good starting point for identifying performance objectives, and for determining what performance measures you need.

Alternatively, you may priorities monitoring activities by identifying areas at risk of recordkeeping failures, such as failure to create or capture records, or unauthorised disposal.