Standard on records
management
Catherine Robinson
Senior Project Officer, Government Recordkeeping
Records Managers Forum, 26 November
Overview
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Background
Drivers for the review of standards
Review of 5 standards
New Standard on records management
Implementing the new standard in 2015
State Records Act 1998
• State Records Authority of NSW has a defined role
in approving standards and codes of best practice
for records management
• Records management is defined in s.13(1) as “all
aspects of the making, keeping and disposal of
records”
• Requirements to consult on proposed standards,
they must be approved by the Board, and reviewed
Standards and Codes of best practice
• Standard on counter disaster strategies for records and
recordkeeping systems (2002)
• Standard on full and accurate records (2004)
• Standard on managing a records management program (2004)
• Standard on digital recordkeeping (2008)
• Standard on the appraisal and disposal of State records (2007)
• Standard on the physical storage of State Records (2012)
Code of best practice
• AS/ISO 15489 – Records Management
Drivers for review
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Age of standards
Concerns that some standards didn’t assist us in the current
recordkeeping environments
Issues raised in our 2013 monitoring activity
IM Framework in NSW
 http://finance.nsw.gov.au/ict/information-management-framework
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Digital transformation!
 http://finance.nsw.gov.au/ict/accelerating-digital-government-taskforce
Review process
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Review 5 standards rather than just one or two
Consultation with public offices about the current standards
 5 online surveys in 2 months!
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Feedback:
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Supportive of standards and many organisations have implemented them
Support for a single standard, rather than 5 standards
Duplication of requirements across several standards
Request to streamline requirements
Request for better connections to NSW ICT Strategy
Counter disaster strategies standard is out of date
Use of plain English, less jargon and should be written for a wide audience
Development of a new standard
Basis for the next standard
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One standard, not five!
Support both physical & digital records AND support digital records
and information management as Government business transitions into
fully digital operations
Support good information practices in complex business and
information environments
Build on a strong foundation in the 1st and 2nd generation of standards
Consolidate and streamline requirements: 61 minimum compliance
requirements have been reduced to 21 minimum compliance
requirements
New standard has 3 Principles, minimum compliance requirements,
and examples of how a public office can demonstrate compliance with
requirements.
Principle 1: Organisations take responsibility for records and
information management
Establish governance frameworks:
• policy directing how records and information shall be managed
• assigning responsibilities
• establishing provisions for records and information in outsourcing and
service delivery arrangements, and
• monitoring records and information management activities, systems
and processes.
New requirements
• Responsibility for ensuring that records and information management
is integrated into work processes, systems, and services is allocated
to business owners and business units.
• Records and information management responsibilities are identified
and addressed in outsourced, cloud and similar service arrangements
Principle 2: Records and information management
support business
Taking a planned approach to RM/IM:
• undertaking assessment of records and information needs so that the
organisation can define key business information
• using the assessment to design records and information into
processes and systems
• considering all operating environments, so that creation and
management of records and information needed to support business
are considered in all system and service arrangements.
Principle 2 contd
New requirements
• High risk and high value areas of business and the systems, records
and information needed to support these business areas are
identified.
• Records and information management is a designed component of all
systems and service environments where high risk and/or high value
business is undertaken.
• Records and information are managed across all operating
environments.
Principle 3: Records and information are well
managed
Effective management of records and information:
• underpins trustworthy, useful and accountable records and
information
• records and information are accessible and retained for as long as
they are needed
• management extends to records and information in all formats, in all
business environments, and in all types of systems.
New requirement:
• Records and information are kept for as long as they are needed for
business, legal and accountability requirements.
How will this standard help you?
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A tool which will support information assets and resources across the
entire organisation
Increase visibility of information assets regardless of system (EDRMS,
ECM, business systems) and storage location (in the Cloud, in a
storage repository)
Promote collaboration with ICT
Senior Management interest in RM/IM
Implementation
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New standard will be launched in early March 2015
All public offices will be contacted about the launch of the new
standard
Implementation guide and updated/new guidance will be available to
assist you in implementing the requirements
Requirements that have been carried over from the current standards
will be mandatory from March 2015; 6 new requirements will
commence from December 2015
Thank you!
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catherine.robinson@records.nsw.gov.au
tel. 8257 2991