Electronic Records Research 1997: Resource Materials

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Article Copyright, Author
Records Management Survey 1996

Table of Contents
INTRODUCTION......................................................................................................................1BACKGROUND
...................................................................................................................................................................................1
EXECUTIVE SUMMARY..........................................................................................................................................1
RECORDS MANAGEMENT FUNCTIONS AND RESPONSIBILITIES........................................................1
RECORDS MANAGEMENT PROGRAM.....................................................................................................................1
CREATION AND CAPTURE......................................................................................................................................1
STORAGE...............................................................................................................................................................1
DISPOSAL..............................................................................................................................................................1
CONTROL..............................................................................................................................................................1
TRAINING..............................................................................................................................................................1
RECORDKEEPING...................................................................................................................................................1
ELECTRONIC RECORDKEEPING..............................................................................................................................1
RECORDKEEPING SYSTEMS....................................................................................................................................1
ELECTRONIC DOCUMENT MANAGEMENT.............................................................................................................1
ISSUES...................................................................................................................................................................1
REPORT..................................................................................................................................................................1
RECORDS MANAGEMENT FUNCTIONS AND RESPONSIBILITIES........................................................1
RECORDS MANAGEMENT PROGRAM......................................................................................................................1
CREATION AND CAPTURE......................................................................................................................................1
STORAGE...............................................................................................................................................................1
DISPOSAL..............................................................................................................................................................1
CONTROL..............................................................................................................................................................1
TRAINING..............................................................................................................................................................1
RECORDKEEPING...................................................................................................................................................1
ELECTRONIC RECORDKEEPING..............................................................................................................................1
RECORDKEEPING SYSTEMS....................................................................................................................................1
ELECTRONIC DOCUMENT MANAGEMENT.............................................................................................................1
ISSUES...................................................................................................................................................................1

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Introduction
The 1996 Records Management Survey is the first in a series of annual records management
surveys to be conducted by the Archives Authority of New South Wales. The primary
purpose of the surveys are to acquire empirical data to enable the Archives Authority to
measure its performance in achieving one of its key objectives — to improve the quality and
keeping of official records so that they facilitate the transaction, monitoring and auditing of
official business — across the New South Wales Government over time.
Background
A Masters of Information Management - Archives/Records student from the University of
New South Wales, Ms Dorit Beck, designed and tested the survey questionnaire as the project
for her practicum attachment with the Records Management Office during June and July
1996. The questionnaire was thoroughly tested with a pilot group comprising a cross section
of agencies, including large and small, and centralised and decentralised, agencies. The
survey was distributed in December 1996 to 160 agencies. The covering letter was addressed
to the CEO of each agency, which may explain the high rate of return (65%).
The survey was not intended to measure compliance with the draft standards and policies,
although some components of the questionnaire drew on these documents, nor was it intended
to collect detail about specific agencies’ systems and processes. It was designed to gain a
general quantitative overview of programs and practices, which could be analysed
statistically. In addition to providing a basis for measuring our own performance, it was
intended that the survey would enable us to identify trends in aspects of records management
across Government over time and would provide valuable intelligence for planning the
development of guidance, training and other products and services.
The questionnaire covered an extensive range of issues organised into 12 themes:
1. records management functions and responsibilities
2. records management programs
3. creation and capture
4. storage
5. disposal
6. control
7. training
8. recordkeeping
9. electronic recordkeeping
10. recordkeeping systems
11. electronic document management
12. issues.
Despite extensive testing, some agencies still experienced problems in completing the survey.
The main problems were that:

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·1 the terminology used was occasionally regarded as confusing
·2 the multiple choice boxes did not always allow for the full range of answers.
In addition, many respondents found their surveys difficult to complete because their agencies
had decentralised and divergent practices or because their information technology divisions
were often responsible for issues relating to electronic records. As far as possible, these kinds
of problems will be remedied prior to future surveys.
The Authority intends to undertake a similar survey each year, although the content in some
areas is likely to change in conjunction with the establishment of compliance monitoring and
reporting arrangements under new State records legislation, currently being drafted.

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Executive Summary
The following is a basic summary of findings. The main report contains more extensive
analysis and graphical information.
Records Management Functions and Responsibilities
This part of the survey sought to ascertain whether responsibility had been assigned for
records management programs and whether agencies have programs which are identifiable.
80% of respondents reported that they have an identifiable program and most named the staff
responsible.
Under the draft new State records legislation, as currently drafted, ‘each public office must
establish and maintain a records management program…in conformity with standards and
codes of best practice approved by the Authority.’ On this basis, 20% of agencies would not
currently be able to meet a fundamental obligation of the new legislation.
Records Management Program
Most records management programs are located within the area of Corporate Services or
Administration. 5% reported that their programs were in the ‘corporate governance’ area,
while a significant number are located in an information technology or information
management area.
Only approximately one third of agencies have produced policies and strategic plans for their
records areas, although 62% have documented user procedures and guidelines. Policies,
procedures and guidelines for electronic records are often not compiled. The Archives
Authority is developing a range of guidance to help agencies in this area.
Only 37% of agencies conduct regular performance audits of their records management
programs, 23% within the last year.
Creation and Capture
It is important that agencies ensure that adequate evidence of business activity is made, both
to support efficient business operations and to ensure accountability. However, most agencies
do not have policies or guidance in place for documenting business conducted orally, rather
than by written communication. 48% reported that they do not have policies or guidelines for
meetings and the figure rose to 60% for telephone discussions, 60% for oral decisions and
commitments and 62% for voice mail. Only a small percentage reported that they have
policies and guidelines in preparation.
The results in this area are of serious concern, given the range of clear requirements applying
here. The Archives Authority needs to provide more guidance in this area.
Storage
66% of agencies have identified their vital records: those records which are necessary for the
agency to function effectively. However, only 34% have developed a disaster recovery plan
and 39% reported that they have disaster provisions for electronic records.
It appears that most agencies are taking measures to protect the integrity of paper based
records, with 88% maintaining them with appropriate security or access restrictions and 68%

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ensuring that paper records of known or likely long term retention are maintained in
controlled environments.
Disposal
Only 54% of agencies regularly cull and dispose of their own records using authorised
disposal schedules and 74% reported that their records are not totally covered by schedules.
The Archives Authority therefore needs to improve the guidance provided in this area.
Encouragingly, however, 40% of respondents indicated that the disposal status of their paper
based files were decided at creation and 15% reported the same trend for their electronic
records.
71% have documented procedures in place for the disposal of records and 81% document
disposal actions. While superficially high figures, the lack of documented procedures in the
remaining agencies, with the greater risk of unmanaged or unauthorised disposal, is a cause
for concern.
Control
Classification assists many of the processes involved in records management. Business
classification schemes focus on the function, activities and transactions of an organisation.
58% reported that they have a classification scheme in place derived from an analysis of their
business activities and 2% reported that they are preparing this. 78% of responding agencies
have a controlled vocabulary for paper-based records, and 29% for electronic records. 65%
reported that they use some form of thesaurus in the classification of their paper based records
and 13% for their electronic records.
Only 35% of agencies could claim that their procedures allowed them to know who had
access to all their records.
Training
Training in practices and systems is vital to the success of a records management program.
51% of agencies recorded that staff are trained in recordkeeping practices. Of those who do
train, 35% do so by the use of records management tools, 30% by presenting briefing
sessions, 24% via the agency’s induction program and 25% by software training in office
systems. Skills audits of records management staff are conducted regularly or annually by
32% of agencies.
Recordkeeping
80% of agencies have identified authoritative sources such as legislation and business rules
that affect recordkeeping. While this is a positive figure, the remaining agencies represent a
significant area of risk for the Government as a whole. Far fewer agencies have applied these
rules to designing or redesigning recordkeeping systems, documenting recordkeeping
systems, training records practitioners and other employees, converting records to new
recordkeeping systems, and setting standards and measuring compliance.
Only 30% of agencies are incorporating the Australian Standard AS 4390, Records
Management into their records management practices, despite its adoption as a benchmark by
the Archives Authority in February 1996.

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Electronic recordkeeping
Electronic records present a wide range of challenges for agencies. Only 17% of agencies
have developed policies, 29% guidelines and 18% procedures for dealing with electronic
records. Many agencies maintain their records by printing and filing them into paper based
systems (26%), although there are 20% who retain them within the original system. With
electronic messages, 27% of agencies are ‘printing and filing,’ while only 12% are capturing
messages directly into an electronic recordkeeping system.
31% of agencies have developed strategies for maintaining electronic records of continuing
value, while 41% have started to forge partnerships with their IT areas for the management of
electronic records.
The Authority has established a project to help agencies apply sound strategies for making
and maintaining records generated in the electronic environment.
Recordkeeping systems
The survey revealed that the majority of agencies have identified their recordkeeping systems
for paper (95%) but only 46% have identified systems for electronic records.
Measures adopted to maintain reliable paper based recordkeeping systems include security
controls (73%), training of staff (68%) and the development of standard procedures to report
system failure (43%). Again audits and testing of guidelines are not common.
Electronic Document Management
Electronic document management (EDM) tools and techniques enable agencies to manage
electronic documents effectively as a corporate information resource. Unfortunately the
terminology tends to cause confusion and 50% of respondents chose not to answer our
question as to what document management products are in use. Others confused electronic
document management products with records management products. PC Docs was the
highest percentage for EDM products (9%). The majority of agencies (66%) have not
developed procedures for electronic document management.
Issues
The issues section of the survey sought to discover what agencies saw as the challenges in
recordkeeping, what their goals are for the next five years, what they regard as their major
strengths and what pilot projects they would like to see developed by the Archives Authority
of New South Wales. Electronic recordkeeping issues featured prominently in the challenges,
5 year plans and pilot projects sections. The skills and efficiency of staff and the support of
management were regarded as the major strengths.

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Report
The following report includes discussion of each survey question, information as to why
questions were included, results and an analysis of what these results indicate about records
management practices in the New South Wales public sector.
Records Management Functions and Responsibilities
Please nominate who should be the primary contact for the Archives Authority and
central agencies about records management matters.
It is often the case that several different employees from the same agency contact us regarding
similar records management issues. We also need to contact your agencies on occasion, and
this need will increase as we prepare for the introduction and implementation of the new State
records legislation. Therefore, it is useful to have a nominated person as the primary contact.
1. Who is filling in this questionnaire?
This question was included in case we needed to clarify the survey responses received.
2. Does the agency have an identifiable records management program?
Under the draft new State records legislation, as currently drafted, ‘each public office must
establish and maintain a records management program…in conformity with standards and
codes of best practice approved by the Authority.’
Principle 1 of our draft Standard on Records Management Programs indicates that ‘a records
management program should be identifiable from all other corporate programs.’ It should be:
·3 distinguished from all other programs by having a separate policy statement adopted at
the corporate level
·4 recognised by inclusion as a result area in corporate plans
·5 allocated appropriate resources to enable the program to be established and maintained
·6 managed by a suitably qualified recordkeeping professional
·7 staffed by personnel who possess the skills necessary to carry out the program.
80% of respondents indicated that an identifiable program existed in their agency and 20%
said that no program existed. On this basis, 20% of agencies would not currently be able to
meet a fundamental obligation of the new legislation.
3. Who has responsibility for the records management program within the agency?
We wanted to see if agencies had allocated the formal responsibility for records management
programs to someone within the agency. The Australian Standard AS4390, Records
Management indicates that records management responsibility must be formally assigned and
articulated and the Authority’s draft standards reflect this. Principle 4 of the draft Standard
on Records Management Programs, for example, says that formal responsibility of the
records management program should be appropriately assigned.
Most responding agencies provided a contact and these will be recorded in a database to be
used for formal communication with agencies on records management matters. If the person

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within an agency with the designated responsibility changes, we would appreciate being
informed so that we can keep this database up to date.
Records management program
4. Where is the records management program located within the agency?
One of the issues facing an organisation establishing or reviewing its records management
program is where it should be located in the organisational structure. In records management
literature, the two areas commonly discussed are the Information Management or Information
Technology areas, reflecting the role of records as an information resource, and ‘Corporate
Governance’ (audit, legal areas), reflecting the role of records as evidence and an essential
support for accountability.
Most records management programs are located within the divisions of Corporate Services or
Administration (see Graph 1), probably due to the fact that records management is often seen
as synonymous with registry activities. Corporate Governance was included as a suggested
location, where support for the primary role of the records management program — to capture
and maintain evidence of the agency’s business activities — might be highly relevant.

Graph1
40%
 - C orporate Governanc e
35%
 - C orporate Servic es (C S)
30%  - Administration
25%  - Information Tec hnology (IT)
 - Information Management unit
20%
 - No answer
15%
 - C S + IT
10%  - C S + administration
5%  - Administration + IT
 - C S + administration + IT
0%

Location of Rec ords Management Program

Only 5% of respondents actually have their programs in the Corporate Governance area. This
figure may be low because the terminology is too new, and it confused those filling out the
survey, or because in some agencies the functions of Corporate Governance such as strategic
management are actually carried out within the Corporate Services or Administration areas.
Alternatively, records management programs may not have achieved this sort of profile in
agencies.
5. Does the records management program produce: a documented policy statement? a
documented strategic plan? documented user procedures or guidelines?
This question was formulated to discover whether records management units had produced
documentation such as policies, strategic plans and user procedures and guidelines to support
the records management activities within the agency. The Australian Standard AS4390,
Records Management indicates that these documents should be in place. The standards drafted

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by the Archives Authority reflect the same thinking and these documents are key compliance
requirements in the draft Standard on Records Management Programs.
Policies, plans and procedures support the process of records management and its activities.
Their existence or otherwise is a concrete indication of a functioning records management
program. Documentation should cover all formats of records (that is, paper based and
electronic) and be updated regularly to keep abreast of current trends.
32% of respondents indicated that their agencies have documented policy statements, 32%
have a documented strategic plan, and 62% have documented user procedures and guidelines.
A small percentage (15%, 8% and 18% respectively) are in the process of preparing them.
These figures can be expected to improve with time.
6. Does the above documentation cover the following formats: filing systems? other
non-file records? electronic records? electronic messages specifically?
As expected, most agencies have developed documentation for their filing systems but
policies, procedures and plans for electronic records and messages have not been developed
(see Graph 2).

Graph 2
80%

70%

60%
Yes
50%
No
40%
Unanswered
30%

20%

10%

0%
Filing Other Electronic Elec tronic
systems non-file rec ords messages
rec ords spec ific ally

Without advice and documentation, it is unlikely that staff will manage their electronic
messages and records with consistency and accuracy. Therefore, it is a priority of the Archives
Authority to provide guidance to assist agencies. The Authority’s draft Policy on Electronic
Records as Messages is already being used in the Commonwealth Government as a model and
it, together with our draft Policy on Electronic Recordkeeping, provides a basis for agencies to
develop their policies in this area. Guidance on implementing these policies is being
developed as part of the Authority’s Electronic Recordkeeping Project.
7. When was the strategic plan last updated?
A strategic plan for the records management program allows for long term future planning. A
well devised strategic plan will help ensure that realistic and achievable goals for the program

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are set and can be measured. The performance and objectives of the agency should be
regularly reviewed in light of current management standards, policies and guidelines.
18% of respondents indicated that their strategic plan was updated within the last year (see
Graph 3). 42% did not answer, suggesting that strategic plans for the records management
program are not widespread.

Graph 3
42%
 - 1996
35%
 - 1995
30%  - 1994
25%  - 1993
 - 1992
20%
 - 1991
15%
 - No Plan
10%  - Unanswered
5%  - Review/ development stage
 - N/A
0%

Last update of strategic plan

8. How regularly is the strategic plan updated?

This question was included to give us an idea of agency planning cycles (see Graph 4). Again
a high percentage of agencies (32%) did not answer.

Graph 4
40%
 - 1-3 years
35%
 - 4-6 years
30%  - 7-10 years
25%  - In preparation
 - Initiated 1996
20%
 - To be determined
15%
 - In preparation
10%  - Don’t know
5%  - Unanswered
 - N/A
0%

How regularly agenc y strategic plans are updated

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9. Are there regular performance audits of the records management program?
The Australian Standard AS4390, Records Management, suggests that regular performance
audits of the records management program should be conducted to measure whether it is
performing adequately against its mission, performance criteria and objectives.
Only 37% of respondents reported that their agencies conduct regular performance audits,
while 44% indicated that audits were not carried out regularly.
10. When was the program last audited?
This question was to provide us with an overview of the regularity of auditing procedures.
23% had an audit within the last year. This percentage should increase over time with the
introduction of the State records legislation and with more widespread implementation of the
Australian Standard.
Creation and capture
11. Has the records management program produced policies or guidelines for
documenting: telephone discussions? oral decisions and commitments? meetings?
voice mail?
Most agencies do not have policies or guidelines in place (see Graph 5). For example, 48%
reported that there were no policies or guidelines for meetings and the figure rose to 62% for
voice mail and 60% (each) for telephone discussions and oral decisions/ commitments. Only a
small percentage reported that the policies and guidelines were in preparation. We will be
interested to see how these figures change as records managers become more aware of their
responsibilities in teaching staff to document such conversations for accountability purposes.

Graph 5
80%

70%

60%

50%
Yes
No
40%
In preparation
30%
Unanswered
20%

10%

0%
Telephone Oral Meetings Voic e mail
discussions dec isions &
commitments

The lack of guidance for agency staff is a cause for serious concern. The Independent
Commission Against Corruption’s Report on Investigation into the Use of Informers, January
1993, Vol. 1, Chap. 12: ‘Files and Lies’, discusses the need to create and adequately maintain
records for accountability. The Ombudsman’s Good Conduct and Administrative Practice
Guidelines for Public Authorities and Officials also contains provisions for the creation and

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management of public records. The Premier’s Department Guidelines (Code of Conduct) in
the Personnel Handbook: Part 1 Public Services of New South Wales instructs public servants
to ‘..maintain adequate documentation to support any decisions made…’ In addition, the
Australian Standard AS4390, Records Management, Part: 3 ‘Strategies’, Clause 8.2.1-3,
reinforces the need to provide documentation of oral decisions and commitments,
recommendations and meetings. The Archives Authority needs to provide more guidance in
this area.
Storage
12. Has the agency identified and listed its vital records?
Vital records are those records that are necessary for the organisation to function. Vital
records are those which are needed to:
13. operate the organisation during an emergency or disaster
14. re-establish the organisation’s functions after an emergency or disaster; or
15. establish and protect the rights and interests of the organisation and its clients.
(the Australian Standard AS 4390, Records Management Part 6: ‘Storage’, Clause 1.2)
They should be identified and listed so that appropriate provisions are made for their storage,
protection and handling.
66% indicated they have listed their vital records, which is encouraging.
13. Has the agency developed a disaster recovery plan for records throughout the
organisation?
Naturally, knowing what to do and what not to do in the event of a disaster, will minimise the
effects of a disaster and will enable a faster recovery.
A disaster recovery plan aims to ‘provide a set of clear, comprehensive, written, step-by-step
instructions relating to the specific organisation, site and building, and to the services that are
provided from it, to ensure the minimum of loss and disruption of services in the event of an
emergency or disaster.’ (AS 4390, Records Management, Part 6: ‘Storage’, Appendix B).
Only 34% had developed a disaster recovery plan for records throughout the organisation.
The Authority plans to develop guidance to assist those agencies which need to develop a
plan. In the meantime we can assist by providing contacts and references to relevant
literature.
14. Does the disaster recovery plan make provision for electronic records?
Disaster recovery should cover all records, regardless of format. Electronic records have
different requirements than other types of electronic data. 39% of agencies reported that they
have plans that make provision for electronic records. However, we suspect that some
agencies may have mistakenly considered their backup procedures to be full disaster recovery
plans.
15. Please identify measures being taken to protect the integrity of paper records.
·8 Records are maintained with appropriate security or other access
restrictions.

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·9 Records of known or likely long retention are maintained within
environmentally controlled storage facilities.
Records in a recordkeeping system should be credible and authoritative and created in the
normal course of business (the Australian Standard AS 4390, Records Management, Part 3:
‘Strategies’, Clause 5.3.vii). They must also be maintained with appropriate security and
access restrictions so that unauthorised access, alteration and removal is not possible (Clause
5.3.viii). In addition, records of known or likely long term retention should have protective
measures in place to ensure that the records are not physically damaged. This involves
following basic records management procedures.
It appears that most agencies have an awareness of the need for appropriate security and
access restrictions, as 88% indicated that they have taken these measures to protect the
integrity of paper records. 68% reported that they have also ensured that records of known or
likely long retention are maintained in controlled environments.
16. Where are the agency’s inactive records stored within metropolitan Sydney? in-
house? outsourced?
This purpose of this question was to provide an indication about the extent to which agencies
are storing inactive records themselves or outsourcing this function.
Many answered yes to both the in-house and outsourcing options. See Graph 6.

Graph 6
80%

70%

60%
Yes
50%
No
40%
Unanswered
30%

20%

10%

0%
In house Out
sourced

17. Where are the inactive records stored of the decentralised units of the agency? in-
house? outsourced?

With decentralised units, we wanted to see if the answer was any different. Again, many
answered yes to both the in-house and outsourcing options. See Graph 7.

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Graph 7
80%

70%

60%
Yes
50%
No
40%
Unanswered
30%

20%

10%

0%
In house Out
sourced

Disposal
18. Does the agency undertake culling and disposal activity under authorised disposal
schedules? Never? Occasionally? Regularly?
This question was to measure if authorised disposal (using, for example, General Records
Disposal Schedules or functional schedules tailored to agencies) is occurring within agencies
and if so, how often. Disposal should be conducted as part of the records management
program on a regular basis.
Only 54% regularly cull and dispose of their own records using authorised disposal schedules.
46% do not undertake regular disposal. The Archives Authority needs to take a number of
measures to achieve improvements in this area, including more and better guidance.
19. Please estimate what volume of your agency's records are covered by disposal
schedules.
Graph 8 demonstrates what volume of agencies’ records are covered by disposal schedules. A
large proportion of agencies (42%) have half or less than half of their records covered by
schedules. This result is not surprising given the outmoded disposal provisions of the
Authority’s current legislation, which does not encourage systematic disposal scheduling.
With the new legislation and the adoption of a range of new appraisal strategies, the amount
of coverage should improve in future years.

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Graph 8
40%
 - <25%
35%
 - 25%
30%  - 50%
25%  - 75%
 - 90%
20%
 - 100%
15%
 - None
10%  - Don’t know
5%  - Unanswered
 - N/A
0%

Volume of agenc y rec ords c overed by
Rec ords Disposal Sc hedules

20. Is the disposal status of records identified when they are created? paper-based
records? electronic records?
This question is based on the concept of the ‘records continuum’. The continuum is a way of
describing the management of records from the point of designing a recordkeeping system
through to the continuing use of records as archives. The continuum recognises that the
decisions about the disposal of a record should be made at or before its creation so that the
agency can ensure it is captured and so that it can be managed effectively in accordance with
its status. For example, records of long term value can be stored in conditions to promote
their longevity. The Australian Standard AS4390, Records Management and the draft
standards the Authority has produced support the continuum concept for records management.
See our newsletter For the Record Number 13 for more information on the continuum
approach to records management.
40% of respondents reported that the disposal status of their paper-based files was decided at
creation and 15% reported the same trend for their electronic records. These results appear to
suggest that the continuum concept is already starting to be applied widely in agencies,
although more for paper-based records than in the electronic environment.
21. Are there documented procedures for disposal?
22. Are disposal actions (eg transfer of records to the Archives Authority) documented?
The disposal decisions for records and actions like transfers to the Authority ought to be fully
documented in order to provide evidence of compliance to agency policies, schedules and
guidelines. This information also allows the agency to know what records it no longer has.
71% of responding agencies recorded that they have documented procedures in place for the
disposal of records, while 81% have documented disposal actions such as transfer to the
Archives Authority. While superficially high figures, the lack of documented procedures in
the remaining agencies, with the greater risk of unmanaged or unauthorised disposal, is a
cause for concern.

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Control
23. Does the agency have a classification scheme derived from analysis of business
activity?
The classification of business activities assists in the processes involved in records
management. It provides links between business activities and the records which document
business activities to provide a continuous record of the activities of the agency. It also
ensures that records are titled consistently over time, which will aid in retrieval, determining
retention periods, security protection and the provision of access (the Australian Standard AS
4390, Records Management, Part 4: ‘Control’, Clause 7.1 and 2).
58% reported that they have a classification scheme derived from an analysis of their business
activity and 2% reported that it is in preparation.
24. Is a controlled vocabulary used in the classification of:
·10 paper-based records?
·11 electronic records?
A controlled vocabulary is an alphabetical list of authorised headings that have been derived
from the terms in the classification scheme. It allows records to be titled using controlled
terminology, and controls the use of synonyms, homonyms, abbreviations and acronyms. (the
Australian Standard AS 4390, Records Management, Part 4: ‘Control’, Clause 7.3.2.1)
For paper based records 78% of responding agencies have a controlled vocabulary. For
electronic records, the use of a controlled vocabulary was reported to be only 29%.
25. Is a thesaurus used in the classification of:
·12 paper-based records?
·13 electronic records?
A thesaurus is a tool for applying a controlled vocabulary in the titling and indexing of
records. The Archives Authority offers a thesaurus of general terms, Keyword AAA, enabling
agencies to put their efforts into developing thesaurus terms unique to their functions.
65% reported that they use some form of thesaurus in the classification of their paper-based
records and but only 13% for their electronic records.
26. What procedures are used to monitor the movement of paper-based files within the
agency?
·14 bar coding
·15 records management software systems
·16 document management systems
·17 workflow software
·18 movement card
·19 transfer slips

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27. Do these procedures enable the agency to know who had access to: some records?
most records? all records?
These questions were designed to find out whether agencies can track where their records are,
who has or had them, or access to them, and when. The documentation of the movement of
records ensures that they can be located when needed and helps an agency to be fully
accountable for its records and their use. We also wished to obtain information of what
methods are commonly used to track records.
The most popular means of monitoring the movement of files is by records management
software systems (32%), transfer slips (17%) and movement cards (14%) (see Graph 9).

Graph 9
40%
 - Bar coding
35%
 - Records management software
30%
systems
25%  - Document management
20% systems
- In preparation
15%
 - Workflow software
10%
 - Movement cards
5%  - Transfer slips
0%  - Unanswered

Methods used to monitor movement of
agenc y paper-based files

Only 35% of agencies who responded could claim that these procedures allowed them to
know who had access to all files (see Graph 10). Obviously, more effective means of tracking
need to be devised and implemented in many agencies. The Australian Standard AS4390, Part
4: ‘Control’, Clause 9 gives further guidance regarding tracking.

Graph 10
80%

70%

60%
Yes
50%
No
40%
Unanswered
30%

20%

10%

0%
Some records Most records All records

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Training
28. Are all staff provided with training about agency recordkeeping practices and the
use of agency records and systems?
Training is an important factor in ensuring that all staff are aware of their recordkeeping
responsibilities and how to meet them. Only 51% of agencies reported that staff are trained in
recordkeeping practices, while 1% reported that training sessions are being prepared.
Reasons for not training staff may include a lack of staff and financial resources, or it may be
assumed that staff already know their responsibilities. A training program covering all staff is
recommended in the Australian Standard AS 4390, Records Management, Part 3: ‘Strategies’,
Clause 6.6.
29. If yes, is this training provided to agency staff via:
·20 the agency's induction program?
·21 training for use of records management tools eg. searching and retrieval,
classification? briefing seminars or sessions of specific recordkeeping issues?
·22 software training in office systems?
·23 other?
Of those who do train their staff in recordkeeping practices, the majority do so by teaching
usage of records management tools (35%) and by presenting briefing seminars and sessions
on specific recordkeeping issues (30%). Training is also provided via the agency’s inductions
program (24%) and software training in office systems (25%). Other methods reported
included circulars and information sheets, on the job training and selected training for staff
responsible for records and archival functions.
30. Is a skills audit and needs analysis of records management staff performed:
·24 once only?
·25 occasionally?
·26 regularly?
·27 annually?
If records management and other staff are insufficiently trained for their recordkeeping
responsibilities, regular skills audits and needs analyses may identify these deficiencies. The
draft Standard on Records Management Programs, Principle 7, supports this practice.
66% of agencies reported that a skills audit and needs analysis of the staff is not done
regularly or even annually (see Graph 11). This result makes it more difficult to be confident
that training for records management staff, where it is provided, is being effectively targeted.

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Graph 11
40%

35%

30%

25% Onc e only

Oc casionally
20%
Regularly
15%
Annually
10%

5%

0%

Oc c urrenc e of skills audit for

agency rec ords management staf

Recordkeeping
31. Have authority sources such as legislation, business rules and procedures and
industry specific standards, affecting recordkeeping been identified?
It is important that agencies determine what legislation, regulations and procedures impact on
their business so they can keep records which help them meet these requirements. Industry
specific codes of best practice, standards, guidelines and schedules, for example, may affect
recordkeeping practices. Principle 1 of the draft Standard on Full and Accurate
Recordkeeping emphasises the need to identify authority sources and the Australian Standard
AS 4390, Records Management, Part 2: ‘Responsibilities’, Clause 6 gives further guidance in
this regard.
80% of agencies reported that they have identified the authority sources which affect them.
Again, while this is a positive figure, the remaining agencies represent a significant area of
risk for the Government as a whole.
32. Have these recordkeeping requirements been used in the following?
·28 designing (or re-designing) recordkeeping systems
·29 documenting recordkeeping systems?
·30 training records practitioners and other employees?
·31 converting records to new recordkeeping systems, formats and controls?

·32 setting standards and measuring compliance and performance against them?
This question sought to identify how identified recordkeeping requirements are being used by
agencies for practical purposes in records management. The Australian Standard AS4390,
Records Management outlines the process involved in identifying recordkeeping requirements
as part of the design and implementation of recordkeeping systems.
Graph 12 indicates how these requirements are being put to use in agencies.

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Graph 12
40%
 - Designing or re-designing recordkeeping
35%
systems
30%
 - Documenting recordkeeping systems
25%  - Training records practitioners & other
20% employees
 - Converting records to new recordkeeping
15%
systems, formats & controls
10%  - Setting standards & measuring compliance
5% & performance

0%
 - Unanswered
  - In preparation
Use of agenc y rec ordkeeping requirements
 - Don’t know

33. Has the agency incorporated the Australian Standard, AS 4390 on Records
Management into its recordkeeping practices?
Only 30% of responding agencies are incorporating the Australian Standard AS4390 into their
records management practices. At its meeting of 16 February 1996 the Archives Authority
adopted a policy that:
‘…pending the issue of those standards and codes of best practice (which are
being developed in preparation for the new State Records legislation), agencies
should seek to comply with the Australian Standard. During this period,
agencies should regard the Australian Standard as the benchmark against which
they can expect their records management performance to be measured by
Ministers, Royal Commissions, the Courts, auditors and other people or bodies
to whom or which they may be accountable.’
The Standard will also play a special role for organisations certified or seeking certification,
under the AS/NZS ISO 9000 series of standards for quality system. In the coming years, the
Archives Authority expects to see a steady increase in the percentage of agencies
incorporating AS 4390 into their records management practices.
34. Are any business re-engineering exercises or programs scheduled for the next
financial year within the agency?
Business process re-engineering exercises are an ideal opportunity to assess and re-design
recordkeeping systems. The purpose of this question was to discover how much this kind of
opportunity is likely to be available in the foreseeable future.
41% of agencies are embarking on business re-engineering within the next financial year, but
29% of respondents did not know if this was planned for their agencies.
35. Has the records management program or systems been examined or redesigned as a
result of the following activities within the agency: business re-engineering? total
quality management? functional reviews? certification for Quality systems?
Graph 13 indicates how records management programs or systems have been redesigned as a
result of activities such as business re-engineering, total quality management, functional

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reviews and certification for quality systems. Functional reviews are quite common (58%)
and total quality management is a NSW government initiative that is receiving some attention
(27%). However, business re-engineering and quality systems certification are less common.
There are a number of other reasons why the records management program or systems have
been examined, including the introduction of new software and database design, perceived
need, the influence of the Australian Standard AS 4390, upgrading to the Windows
environment and ICAC recommendations.

Graph 13
80%

70%

60%
 - Business re-engineering
50%  - Total quality management
40%  - Functional reviews
 - Certification for Quality systems
30%
 - Other
20%
 - Unanswered
10%

0%

Ac tivites within agenc y pre empting
rec ords management program or
system examination or redesign

Electronic recordkeeping
36. Please indicate whether the agency has developed the following documents for
electronic records (electronic messages included).
·33 policies
·34 guidelines
·35 formal methodologies and procedures
Making and maintaining records in the electronic environment is a significant challenge for
all agencies and for Government as a whole. The Archives Authority has established a project
to implement the strategies proposed in its 1995 discussion paper, Documenting the Future:
Policy and Strategies for Electronic Recordkeeping in the New South Wales Public Sector. A
number of products, including draft policies, guidelines and explanatory materials, have
already been produced in this project.
The survey indicated that many agencies have not developed policies (17%), guidelines (29%)
or formal methodologies and procedures (18%) for dealing with electronic records, although
many are preparing them (31%, 33% and 29% respectively). Such documentation should be
part of a records management programs (draft Policy on Electronic Recordkeeping Principle 6
and draft Policy on Electronic Messages as Records Principle 7).

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37. How does the agency maintain its electronic records?
·36 capturing it directly into an electronic recordkeeping system
·37 maintaining record within an original application which has recordkeeping
functionality built into it
·38 printing and filing of records in paper based recordkeeping system (with
accompanying metadata)
·39 saved as information within directory structures
·40 retaining records within the original system
·41 other (please specify)
Agencies should ensure that they make and keep electronic records that document business
activity conducted in the electronic environment to satisfy identified recordkeeping
requirements. Generally electronic records should be maintained in electronic form where it
is appropriate to do so, as they are more accessible and cheaper to maintain than printed
versions. Some kinds of electronic records cannot be maintained in hard copy format without
loss of content or meaning. Maintaining electronic records in electronic form, however,
requires the design and building of electronic recordkeeping systems.
The highest rating method for storing electronic records of those surveyed was printing and
filing them in paper based systems (26%). Other common ways of maintenance included
saving them as information within directory structures (22%) or retaining the records within
the original system (20%). See Graph 14.

Graph 14
40%
 - C apturing it directly into an electronic
35%
recordkeeping system
30%
 - Maintaining record within original
25% application

20%  - Printing & filing of records in paper-based

recordkeeping system
15%
 - Saved as information within directory
10% structures
5%  - Retaining records within original system
0%  - Unanswered

How agencies maintain elec tronic rec ords
rec
These figures may be partly unreliable. The survey has revealed that a number of those
responding have confused records management software products with systems designed to
capture and maintain electronic records. This is a common cause of confusion requiring
clarification.
38. How does the agency maintain its electronic messages?
·42 capturing it directly into an electronic recordkeeping system

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·43 maintaining record within an original application which has recordkeeping
functionality built into it
·44 printing and filing of records in paper based recordkeeping system (with
accompanying metadata)
·45 saved as information within directory structures
·46 retaining records within the original system
·47 other (please specify)
Electronic messaging systems are increasingly being used as a means of business
communication. All electronic messages are records, although some are ephemeral while
others document substantive business. These records are also subject to FOI legislation,
subpoenas and discovery orders.
At this stage, only 12% of respondents reported that they capture electronic messages into an
electronic recordkeeping system. 27% practise the ‘print and file’ approach while 10% are
seeking to build recordkeeping functionality into their electronic messaging systems. See
Graph 15.

Graph 15
40%
 - C apturing it directly into an electronic
35%
rec ordkeeping system
30%
 - Maintaining rec ord within original
25% applic ation

20%  - Printing & filing of rec ords in paper-based

rec ordkeeping system
15%
 - Saved as information within directory
10% structures
5%  - Retaining records within original system

0%  - Unanswered

How agencies maintain elec tronic messages

39. Are there measures adopted to maintain reliable electronic recordkeeping systems?
·48 regular performance audits of the recordkeeping system
·49 standard procedures for reporting systems failure
·50 regular testing of guidelines
·51 training of staff
·52 adequate security controls
Effective management practices for electronic records and messages should include such
measures as adequate security controls to ensure records are not tampered with. 53% of
respondents reported that security controls are in place. 45% train their staff in this regard and
44% have standard procedures for reporting systems failure. Many agencies, however,
overlook the necessity for regular performance audits (22%) and testing of guidelines (16%).

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40. Has the agency developed strategies for maintaining the electronic records of
continuing value?
Electronic records of continuing value need to be maintained for the same reasons as records
in other formats. However, there are some issues unique to electronic records which require
strategies to ensure that they are created, maintained and accessible over time.
31% of responding agencies have developed strategies for maintaining electronic records of
continuing value. This is a major area of current work for the Authority’s Electronic
Recordkeeping Project.
41. Have you made arrangements with the IT area about the management of electronic
records?
Much of records management involves forming partnerships with key people from a variety
of disciplines. In the electronic environment, records management staff should be working
closely with information technology staff. 41% of agencies reported that this is taking place.
The Authority would expect this figure to rise in coming years.
Recordkeeping systems
42. Has the agency identified its recordkeeping systems for:
·53 paper-based records?
·54 electronic records?
Finding that the majority (95%) of agencies have identified their recordkeeping systems for
paper was expected. A significant proportion reported that they had identified their electronic
recordkeeping systems. This is encouraging and shows a broadening of the records
management focus to include all records.
43. What recordkeeping systems (paper and/or electronic) are in operation within the
agency?
·55 one central system
·56 a central system with decentralised service
·57 a decentralised system with central control
·58 decentralised
·59 informal system
·60 work area system
The purpose of this question was to gather information about the types of recordkeeping
systems in operation in agencies (see Graph 16). There were no good or bad results for this
question. What is important to note is that the recordkeeping systems should be organised to
meet the business needs of the agency. We hope to be able to observe trends in this area in
coming years.

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Graph 16
40%

35%

30%  - One c entral system

 - A c entral system with dec entralised service
25%
 - A dec entralised system with c entral c ontrol
20%
 - Dec entralised
15%  - Informal system
10%  - Work area system

5%

0%

Rec ordkeeping systems in operation in agenc ies

44. Are there measures adopted to maintain reliable paper-based recordkeeping

systems?
·61 regular performance audits of the recordkeeping system
·62 standard procedures for reporting systems failure
·63 regular testing of guidelines
·64 training of staff
·65 adequate security controls
Principle 2 (‘Reliable’) of the Authority’s draft Standard on Full and Accurate
Recordkeeping, states that recordkeeping systems, procedures and practices should work
reliably to ensure that records are credible and authoritative. In the survey we wanted to
know if measures have been adopted, such as audits, testing procedures and guidelines,
training and security, to measure and maintain reliable systems.
Although agencies are aware of this need and have put in place adequate security controls
(73%), train their staff (68%) and have standard procedures for reporting systems failure
(43%), they overlook the testing of guidelines (30%). In opposition to the electronic records
response (Q39), regular performance audits (46%) are carried out. This could be because of
the ease in which results are obtainable or that records management staff are more confident
with paper records than electronic records.
Electronic Document Management
45. Does the agency use document management products, for example one of the
products listed below?
·66 PC Docs
·67 Objective
·68 Soft Solutions
·69 Other

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Electronic document management (EDM) is a big growth area within information
management. More agencies are recognising that there is an important need for the effective
management of electronic documents as a strategic corporate resource.
Electronic records are distinguished from electronic documents by the fact that they function
as evidence of business transactions. The Australian Standard AS 4390, Records Management
explains this distinction in the following terms:

‘An electronic document becomes an electronic record when it takes part in a

business transaction. For example, a report prepared using a word processor
remains a document until it is submitted, when it becomes a record.’ (the
Australian Standard AS 4390, Records Management, Part 3: ‘Strategies’,
Clause 8.4.2.)
The Authority is interested in electronic document management because many electronic
documents have to function as records and, consequently, sound electronic document
management provides a measure of control and protection for these records while effective
strategies for managing electronic records are still being developed.
In the survey we wanted to ascertain what electronic document management tools are being
used. Unfortunately it appears that terminology caused some confusion and many agencies
confused electronic document management products (such as PC Docs and Soft Solutions)
with records management products like CARMS. 50% chose not to answer which may reflect
that confusion or, equally, that document management products are not in use. The highest
percentage for electronic document management products was PC Docs (9%).
46. Has the agency produced guidelines for electronic document management (e.g.
capture fields, document summaries)?
The majority (66%) of agencies have not developed procedures for electronic document
management.
The Authority’s publication Desktop Management: Guidelines for Managing Electronic
Documents and Directories has been designed to help agencies apply practical solutions to
electronic document management in the personal computing environment, which is not
normally subject to systematic data practices and where electronic documents, consequently,
are unmanaged. By managing electronic documents agencies can thereby reduce the threat of
loss to unmanaged electronic records that may also be stored on PC systems among these
documents. The guidelines provide basic advice regarding the use of tools such as directory
structures, document naming options and version control.
Issues
The final questions on the survey focused on what agencies regard as their greatest challenges
associated with recordkeeping, what they wish to achieve in the next five years, and what they
consider their major strengths. For each of these questions we received a huge variety of
responses.
47. Can you identify any challenges associated with recordkeeping within your agency?
The following were the most common challenges reported:
·70 promotion of a recordkeeping culture within the organisation

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·71 electronic recordkeeping
·72 managing the shift to the paperless office
·73 keeping records staff interested and skilled
·74 storage and space management
·75 maintaining adequate movement controls
·76 keeping central control of a number of different record systems.
48. What do you most want to achieve in your records management program in the next
five years?
The following were the most common five year ‘wish lists’ reported:
·77 establish formal policies and procedures
·78 consistent and maintained filing systems
·79 introduce quality standards
·80 electronic document management
·81 inclusion electronic records into recordkeeping systems
·82 adequate routine disposal program
·83 upgrade current recordkeeping system or introduce new system.
49. What are the major strengths of your agency's records management program?
The following were the most common strengths reported:
·84 achieves results
·85 support of peers
·86 support of management
·87 an efficient records management program software program
·88 skills of staff
·89 complies with standards
50. Would records managers find it beneficial to attend a records managers forum?
51. If yes, how frequently should forums be held?
·90 quarterly
·91 half yearly
·92 yearly
93% of respondents were supportive of the concept of a Records Managers Forum. The first
Forum was held on 28 January 1997 and another is scheduled for 22 April 1997. Agency staff
should contact the Administrative Assistant, Records Management Office on (02) 9237 0120
or email <[email protected]> about future meetings of the Forum.

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52. Would you be prepared to be involved in pilot projects developed by the Archives
Authority of NSW, eg, electronic recordkeeping initiatives?
53. Are there any particular themes you can suggest for such pilot projects?
We received a pleasing number of expressions of interest from agencies to be involved in our
pilot programs and of suggested themes.

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