Planning a sentencing project
Sentencing records should be a regular part of every NSW public office’s records management program. These guidelines outline how to plan a project to address large accumulations of unsentenced records.
Sentencing should be an ongoing activity, ideally performed as records are created. However, unsentenced records may accumulate over time, requiring a structured approach to address them. This guide focuses on preparing a business case or project proposal for such situations.
Getting started
Planning is the most important part of any project. Insufficient planning can cause projects to fail, making it harder to secure support and funding for future efforts. A strong business case is essential for securing approval and ensuring project success.
To develop a business case for a sentencing project, consider these questions:
- Why does this project need to be done?
- Does my organisation have a current functional retention disposal authority?
- Do I know where the control records for the records are?
- Are there existing procedures or policies, that govern record disposal?
| 1 | Why does this project need to be done? | Any project undertaken needs to be of benefit to the public office. The project may need to be done for a variety of reasons - large accumulations held in off-site storage that are not sentenced could be a drain on resources to the public office, the office is running out of space, systems are being migrated and it is not cost effective to migrate records that are no longer required for current business, there are issues retrieving files as the public office does not know what records it has. Remember that it may not be realistic to believe that all records can be sentenced within one project. When your public office has a large accumulation of unsentenced records it is far better to concentrate on one area at a time. For example you may choose to concentrate on financial records as the financial records are in dire need of being cleared and cannot be moved until sentenced. |
| 2 | Does my organisation have a current functional retention disposal authority? | After you have surveyed the records for which the project is to be constructed, it is important that you check you have a current functional retention and disposal authority and/or the correct general retention and disposal authority. Retention and disposal authorities should be regularly reviewed to ensure they are still meeting the needs of the organisation. |
| 3 | Do I know where the control records are for the records? | This is an important question to consider as control records will need to be annotated throughout your project so that you can document what has happened to the records. |
| 4 | Are there procedures and policy already in place within my organisation that govern disposal of records? | Your public office should already have in place a policy and program for records management of which disposal should be included. It is a compliance requirement of the Standard on records management that policy, procedures and business rules direct how appraisal and disposal activities are undertaken in the public office (see minimum compliance requirement 3.6). Check these policies and add them to your business case as supporting documents. |
Addressing these questions will help you build a strong foundation for the project and demonstrate its value.
Preliminary survey
Conducting a preliminary survey of the records in question can:
- help estimate the project’s duration
- identify the level of experience needed for sentencers
- confirm whether correct disposal coverage is available
- determine the resources required.
Findings from the survey will strengthen your business case and help ensure realistic project planning.
Planning the project
The following factors should be included in the business case and project plan:
Size of the project
If the accumulation of records is large, consider dividing the task into smaller projects. For example, focus on a specific record type, such as financial records, to ensure manageable goals. Breaking the project into smaller components also helps prevent staff burnout.
Resources
The resources required will depend on the project’s size. These may include:
- additional staff with appropriate records training
- suitable facilities with adequate desk space, shelving, and equipment
- access to control records and disposal authorities
- tools such as trolleys, stationery, and boxes
- computers for managing electronic records and control systems
- air conditioning to preserve records and ensure staff comfort.
Selecting staff
Choose staff with knowledge of the organisation’s current and past functions. Contractors or new hires should receive training on the organisation’s history and records systems. Ensure the project manager has the skills to:
- assess retention and disposal authorities
- implement disposal processes effectively
- understand the organisation’s records and functions.
Creating the business case
When preparing the business case, keep the following in mind:
- tailor the proposal to decision-makers who may not understand recordkeeping terminology
- highlight financial benefits and compliance with legislation such as the State Records Act
- quantify the expected benefits using data and forecasts
- avoid vague statements like “makes retrieval easier” and instead provide measurable outcomes.
For example, “Sentencing and disposing of 20% of records will reduce retrieval time from 3 to 5 days to 1 to 3 days.” Use graphs or illustrations to support your points and make the benefits clear.
Tackling accumulated records without a project
If you cannot secure approval for a sentencing project, consider these steps:
- sentence records as they are retrieved from storage
- set aside time each month to process a few boxes
- implement and maintain policies for ongoing record disposal
- hold regular records clean-up days to prevent further accumulation.
Resources
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