The Senior Responsible Officer (SRO) is the individual within the organisation who has been assigned strategic and managerial responsibility for records and information management. The SRO is responsible for ensuring that records and information management is in place and operating effectively to support business operations and is usually a senior manager reporting to Chief Executive or to the Chief Information Officer.
Advising State Records NSW of your organisation's Senior Responsible Officer or Records Management contact
The Standard on records management requires each public office to have a designated Senior Responsible Officer (SRO) for records management. Each public office should advise State Records of their organisation’s SRO and keep State Records NSW updated with any changes to personnel undertaking this role.
Please email us with the following details at govrec@staterecords.nsw.gov.au to advise us of your organisation's Senior Responsible Officer or Records Management contact:
- Name:
- Email address:
- Position:
- Telephone:
- Whether you are the designated Senior Responsible Officer (SRO) or a records management contact:
- Name of organisation:
Checklist for the Senior Responsible Officer for records management
The purpose of this checklist is to guide the SRO in ensuring that their organisation has the required policies, infrastructure and resources for effective records and information strategies.
| Checklist | ||
|---|---|---|
| Policy, business rules, and procedures | Yes | No |
| A current and comprehensive records and information management policy is in place which establishes the governance framework for records creation, capture, control, use, maintenance , and disposal. (see the Records and information management policy checklist for detailed information) | ||
| The policy is adopted at the Senior Executive level e.g. signed by the CEO of the organisation. | ||
| The policy assigns responsibilities to the Senior Responsible Officer, the records and information management staff, and to the business owners and business units. | ||
| The policy defines the recordkeeping responsibilities of all staff and contractors. | ||
| The policy requires that records and information management is assessed and addressed in all outsourced, cloud and similar service arrangements. | ||
| The policy addresses the management and preservation of records and information in all formats, including digital and physical records. | ||
| The policy is reviewed on a regular basis and that reviews take into account changes in business activities and priorities. | ||
| Business rules that include requirements for the creation, capture and management of records, are comprehensive, current, and reviewed regularly in line with business needs. | ||
| Where required, policies are supported by more detailed procedures. | ||
| Strategy and planning | Yes | No |
| Strategy and plans are in place and include both objectives and performance targets for records and information management. | ||
| Strategies for records and information are adopted at the Senior Executive level e.g. signed by the CEO of the organisation. | ||
| Strategy and operational plans align records and information management with the corporate objectives and business activities of the organisation and support business operations. | ||
| Records and information management strategies and operational plans have adequate staffing, technology and resources, are efficient, and maximise the resources allocated to them. | ||
| Strategic and operational plans address the management of records and information in all formats, including digital and physical records. | ||
| Strategy addresses the management of records and information across all operating environments, diverse system environments and physical locations. | ||
| Strategy addresses the continuity of digital records and information, including the migration of records and information through system and service transitions. | ||
| Staffing | Yes | No |
| Staff with appropriate records and information management skills to implement records and information management strategies and operations (in some cases this may mean having access to appropriate skills). | ||
| All staff receive training appropriate to their positions on recordkeeping and information on how to use tools/systems for recordkeeping. | ||
| Staff skills are kept up to date through training and professional development opportunities etc. | ||
| Implementation | Yes | No |
| Records and information management interests are represented on the executive and raised with senior management when relevant. | ||
| Opportunities to align records and information management with business processes and practices are identified and implemented. | ||
| Opportunities to encourage the organisation to value records and information as a strategic resource that is integral to good business are identified. | ||
| Regular liaison is undertaken with owners of business systems to ensure that records and information management are integrated into work processes, systems and services. | ||
| Strategic partnerships with information management, technology and accountability stakeholders within the organisation are identified and collaboration is encouraged to meet common objectives. | ||
| Records and information required to meet or support business and recordkeeping requirements is identified. | ||
| Systems which hold high risk and/or high value records and information are identified. | ||
| Training and communications are implemented regularly to encourage managers and staff to use official recordkeeping systems and follow records and information management policies, business rules and procedures. | ||
| Information risks are identified, managed or mitigated. | ||
| Records and information are kept for as long as they are needed for business, legal requirements (including in accordance with current authorised records retention and disposal authorities), accountability, and community expectations. | ||
| Decommissioning of systems takes into account retention and disposal requirements for records and information held in the system. | ||
| Records and information are sentenced and disposed of according to current authorised retention and disposal authorities. | ||
| Records required as State archives are routinely transferred to State Records NSW when no longer in use for official purposes. | ||
| Monitoring | Yes | No |
| Records and information management is monitored and reviewed to ensure that it is implemented, accountable and meets business needs. | ||
| Records and information management is monitored regularly to ensure the public office is complying with the State Records Act and associated standards and codes of best practice. | ||
| Performance targets and indicators are regularly reviewed in strategies and planning documentation to ensure they are still relevant to operations and business objectives. | ||
| Systems are tested or audited to ensure that systems are operating routinely and that there are no issues affecting information integrity, useability or accessibility. | ||
| Opportunities are regularly identified for improving the effectiveness, efficiency and quality of records and information management systems, processes and tools. | ||
| The organisation cooperates and liaises with State Records NSW in relation to monitoring compliance. |
Published May 2015/revised May 2018/ revised August 2018
Back to topDownloads
Downloads
Recordkeeping Resources