Information and Records Management Framework Descriptive Model
The diagram below shows a high element a high element representation of the Information and Records Management framework at the University of Canterbury. It follows the model articulated in the Archives New Zealand mandatory standard ‘Create and Maintain’ which itself establishes a recordkeeping framework that will be the basis of audits from 2010.
The face of the model shows the six elements the framework consists of. It is worth noting that each element to a certain extent is interdependent on its fellows. The shaded side of the pyramid shows the various components that each element contains. These are described in greater detail below.
Element 1 Vice Chancellor
The highest element of the model represents the legislative and statutory requirements relating to recordkeeping and information management, and where ultimate responsibilities for these functions lie within the University. It is possible some of these responsibility may be delegated to portfolio directors and their staff. Others remain the responsibility of the Vice Chancellor only. This element is also responsible for establishing and approving the strategic direction of the University in regards to information and records management. Components of this element include
§ PRA compliance
§ appropriate delegations
§ leadership
Element 2 Information Strategy
This element establishes the strategic direction of the University. It consists of several interrelated components, including
§ alignment of information and records management with the Statement of Strategic Intent
§ Information Strategy
§ Contextual Alignment – placing Information and Records management within broader suite of UC strategic aims and objectives.
Element 3 Records Management Policy
This element represents the transition from strategic to operational structures. The establishment of a records management policy establishes rules, responsibility and institutional expectations that will guide behaviour, systems development and procedures, all designed to support the achievement of the strategic outcomes identified at Element 1 and 2. Components of this element include
§ Records Management Policy
Element 4 Recordkeeping Programme
This element is the heart of the framework, and consists of the operational and functional components that ‘make it tick’. In many cases, the recordkeeping programme is regarded as hermetic and self sustaining. However, it cannot be successful or achieve the business benefits without senior element support and strategic direction, institutional policy, training or adequate resourcing. Components of the recordkeeping programme include:
§ Procedures
§ Integration of recordkeeping and information management responsiblities into job descriptions
§ Implementation of an institutional functional classification
§ Disposal authorisation and supporting processes and procedures
§ Legacy records programme, including planned disposal and transfer programmes
§ Access restrictions and statements, with supporting processes and procedures
§ Monitoring and compliance
Element 5 End User Training and Support
Training and support are critical in ensuring the success of an information and recordkeeping framework. The University operates in an information rich environment, and staff need to be provided with the skills, knowledge and understanding of the systems they are using, their responsibilities (for example, the UC’s expectations, policies and procedures, as well as legal requirements such as the Public Records Act, Official Information Act and Privacy Act) and the benefits that will accrue from getting it right. Components of Element 5 include:
§ Formal training programme, both in-house and provided by Archives New Zealand
§ On demand resources, such as FAQs, wikis, online manuals etc
§ Records and information management training as part of new staff induction
§ Public relations/marketing of the business benefits, for example, advertising ‘wins’ associated with good information management practice
Element 6 Resources/Infrastructure/Executive Support
The foundation element for a successful records and information management framework is appropriate resourcing and support. The business benefits of the framework cannot be realised without continuing support in the following areas:
§ IS/IT systems/infrastructure, such as CMS
§ HR resources, especially appropriate staffing levels and experience
§ Financial support, including adequate operational budget
The chart on the following page breaks the records and information management framework elements into their constituent components, and indicates the University’s progress developing these to date, where green is completed, orange represents project/s underway, and red indicates a component yet to be developed.
Element 1/ Statutory and legislative requirements and responsiblities
Public Records Act
Delegations
Business Benefits
Element 2
/ Information Strategy
Alignment with SOI
Contextual/Relationship Alignment
Element 3
/ Records Management Policy
Element 4
/ Records and Information Programme
§ Procedures
§ Integration of RK responsibilities into JDs
§ Functional Classification
§ General Disposal Authority
§ Legacy Records Programme/Planned transfer programme
§ Access Restrictions/Statements
§ Monitoring and Compliance
Element 5
/ Training and Support
§ Formal Training Programme
§ In house and Archives NZ
§ On demand resources (eg, FAQs, Wiki, Manuals etc…)
§ Records/Information training as part of Induction for new staff
§ Public relations/marketing (eg, ‘interesting tales from the records’ or advertising big wins
Element 6
/ Resources include
§ IS/IT systems, such as CMS
§ HR resources, including staff
§ Finance support, including budget