Te aroturuki

Monitoring

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The mandatory Information and records management standard establishes a formal requirement for public offices and local authorities (public sector organisations) to monitor all aspects of their information and records management, “to ensure that it is accurately performed and meets business needs” (section 1.8).

Monitoring the management of information and records in an organisation is a shared responsibility between us and each organisation.

Our responsibilities

We are responsible for:

• monitoring compliance with the Public Records Act 2005 (the Act), associated standards and instructions

• reporting to our Minister and Parliament about the state of information and records management in the New Zealand public sector

• communicating requirements and timetables for monitoring activities

• providing advice and guidance on how organisations can monitor their own performance

• providing advice and guidance on how organisations can comply with requirements

• following up non-compliance or ineffective management.

Your responsibilities

Your organisation is responsible for:

• regularly measuring and monitoring the performance of its information and records management

• taking corrective action to address any problems

• cooperating with us in monitoring and reporting on compliance.

Your organisation is responsible for measuring and monitoring the performance of your information and records management for planning and improvement purposes. You need to monitor for compliance with the Act, associated standards and instructions.

We may need to follow up with you about instances of non-compliance or failure to effectively manage information and records. If so, we may ask you to report on your organisation’s monitoring activities and any corrective actions that were undertaken as a result of monitoring.

Monitoring performance

Regularly monitoring the performance of your organisation's information and records management not only ensures its continuing value to the organisation but also maximises opportunities for continuous improvement.

Monitoring performance can assist you in:

• ensuring that information and records management practices are effective in supporting business processes

• improving service delivery and processes for efficiencies

• identifying and managing risks

• reducing costs

• assessing how well resources have been used.

Monitoring compliance

Monitoring your organisation's information and records management compliance with the Act, associated standards and instructions, ensures that you understand your statutory obligations and can address any non-compliance issues. These are important aspects of the governance of any organisation.

You can monitor your organisation’s compliance by:

• assessing compliance against the Act

• assessing compliance against the requirements of standards and instructions issued by us

• benchmarking against previous surveys or audit results to assess improvements or to identify issues of non-compliance

• undertaking a compliance assessment or audit using internal auditors or an external party to provide an independent assessment of your information and records management policies, practices and systems.

Documenting compliance monitoring activities is an important component in demonstrating your organisation’s compliance with the Act, associated standards and instructions.