Table of Contents
Introduction	
Background	
Executive Summary	
Records Management Functions and Responsibilities	
Records Management Program	
Creation and Capture	
Storage	
Disposal	
Control	
Training	
Recordkeeping	
Electronic recordkeeping	
Recordkeeping systems	
Electronic Document Management	
Issues	
Report	
Records Management Functions and Responsibilities	
Records management program	
Creation and capture	
Storage	
Disposal	
Control	
Training	
Recordkeeping	
Electronic recordkeeping	
Recordkeeping systems	
Electronic Document Management	
Issues	

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:
•	the terminology used was occasionally regarded as confusing
•	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.

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% 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.
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.

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:
•	distinguished from all other programs by having a separate policy statement adopted at the corporate level
•	recognised by inclusion as a result area in corporate plans
•	allocated appropriate resources to enable the program to be established and maintained
•	managed by a suitably qualified recordkeeping professional
•	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 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. 
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 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). 
 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 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.

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.

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.

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 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:
1.	operate the organisation during an emergency or disaster
2.	re-establish the organisation’s functions after an emergency or disaster; or
3.	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.
•	Records are maintained with appropriate security or other access restrictions. 
•	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.

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. 

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.  

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.
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: 
•	paper-based records? 
•	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: 
•	paper-based records? 
•	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? 
•	bar coding 
•	records management software systems 
•	document management systems 
•	workflow software 
•	movement card 
•	transfer slips
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). 

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.

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: 
•	the agency's induction program? 
•	training for use of records management tools eg.  searching and retrieval, classification? briefing seminars or sessions of specific recordkeeping issues? 
•	software training in office systems?
•	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: 
•	once only? 
•	occasionally?
•	regularly? 
•	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.

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? 
•	designing (or re-designing) recordkeeping systems 
•	documenting recordkeeping systems?	
•	training records practitioners and other employees?	
•	converting records to new recordkeeping systems, formats and controls?	
•	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. 

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 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.

Electronic recordkeeping
36.	Please indicate whether the agency has developed the following documents for electronic records (electronic messages included). 
•	policies 
•	guidelines 
•	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).
37.	How does the agency maintain its electronic records? 
•	capturing it directly into an electronic recordkeeping system 
•	maintaining record within an original application which has recordkeeping functionality built into it 
•	printing and filing of records in paper based recordkeeping system (with accompanying metadata) 
•	saved as information within directory structures 
•	retaining records within the original system
•	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.

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? 
•	capturing it directly into an electronic recordkeeping system 
•	maintaining record within an original application which has recordkeeping functionality built into it 
•	printing and filing of records in paper based recordkeeping system (with accompanying metadata) 
•	saved as information within directory structures 
•	retaining records within the original system
•	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.

39.	Are there measures adopted to maintain reliable electronic recordkeeping systems?
•	regular performance audits of the recordkeeping system
•	standard procedures for reporting systems failure
•	regular testing of guidelines
•	training of staff
•	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%). 
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: 
•	paper-based records? 
•	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? 
•	one central system
•	a central system with decentralised service
•	a decentralised system with central control
•	decentralised
•	informal system
•	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.

44.	Are there measures adopted to maintain reliable paper-based recordkeeping systems?
•	regular performance audits of the recordkeeping system
•	standard procedures for reporting systems failure	
•	regular testing of guidelines			
•	training of staff				
•	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? 
•	PC Docs							
•	Objective							
•	Soft Solutions						
•	Other 
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:
•	promotion of a recordkeeping culture within the organisation
•	electronic recordkeeping
•	managing the shift to the paperless office
•	keeping records staff interested and skilled
•	storage and space management
•	maintaining adequate movement controls
•	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:
•	establish formal policies and procedures
•	consistent and maintained filing systems
•	introduce quality standards
•	electronic document management
•	inclusion electronic records into recordkeeping systems
•	adequate routine disposal program
•	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:
•	achieves results
•	support of peers
•	support of management
•	an efficient records management program software program
•	skills of staff
•	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?
•	quarterly
•	half yearly 
•	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 <rmonsw@records.nsw.gov.au> about future meetings of the Forum.
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.