Records Management
Our information assets are managed by the Information Services Section located within the Information Management Branch. The Recordkeeping Plan (RKP) 2016 was approved by the State Records Commission on 12 August 2016 and provides overarching guidance in recordkeeping systems, policies, practices, processes and legal disposal, in line with the changing needs of our workforce and how we do business.
Australian Standard AS ISO 15489 – Records Management has been adopted and we actively use the State Records Commission standards and principals. In addition, ISO 16175 concerning Principles and Functional Requirements for Records in Electronic Office Environments has underpinned upgrade considerations regarding our TRIM RM8.3 Electronic Document and Records Management System, our KOFAX TA7 bulk scanning and document processing application and the development and integration of corporate business applications/systems. This enables the conduct of recordkeeping within Main Roads WA to meet the legislative requirements of the State Records Act 2000 and State Records Commission Standard 2: Principle 6.
Main Roads is certified to Quality Management System (ISO9001), Environment Management System (ISO14001) and a Safety System (AS4801). The three management systems together are referred as the Integrated Management System (IMS).
Records Management Processes support the requirements of the IMS and certification to ISO9001:2015 Quality Management System was approved on 11 June 2017. Certification was granted following external auditing including mandatory documentation of records and document management processes associated with project management, contract management, supply, and specified corporate procedures as detailed in the Main Roads Recordkeeping Plan 2016.
Future trends
- System suitability and dependability is important to the success of the business when addressing future directions.
- Our system of record TRIM, used to manage the records lifecycle and control the identification, storage, protection, retrieval and disposal of records was upgraded from RM 8.1 to RM 8.3 in December 2016 to support digital transformation through a ‘less paper initiative’ using smarter, more efficient ways of working using existing technology. Prior to rollout a range of functionality underwent review as detailed below in our TRIM Roadmap.
Our system of capture KOFAX TA7, used for bulk scanning and document processing has been used since the closure of Shared Services to semi-automate the capture and storage of financial information to TRIM for further processing. Ingestion into this system has been progressively extended to other forms of incoming correspondence. This year 36,822 items of correspondence were scanned and captured to TRIM through this system. Hardcopy scanned correspondence is legally disposed in accordance with the General Disposal Authority for Source Records.
| Function | 2015 | 2016 | 2017 |
|---|---|---|---|
| Records registered | 976,181 | 1,086,775 | 1,162,461 |
| KOFAX scanning | 27,283 | 29,937 | 36,822 |
Our additional initiatives to support best practice recordkeeping include:
- Records transitioned out of Main Roads to the Road Safety Commission have been removed from the Main Roads Trim database.
- The Information Services Business Continuity Plan has been refined through the conduct of desktop scenario workshops with Directorate Managers to determine our business contacts, strategies and priorities.
- New Records policies have been drafted to achieve conformance with the Main Roads Recordkeeping Framework.
- The Records Training Team were taken offline to review and rewrite records training material content with a focus on business processes to improve productivity.
- The Information Services three-year work program detailing organisational records projects has been incorporated into employee Individual Performance Agreements.
- Intranet access to web based records policies, procedures and guidelines has been redesigned to simplify and improve ease of use
- Review and evaluation of recordkeeping products has been maintained to ensure our needs continue to be best met by current systems.
- Key Performance Indicators for delivery of services underwent major review and are now outcome focused.
- Agreement was obtained to enable scanned output from all MFD devices to be generated as pdf/a in accordance with the SRO Digitisation Guideline.
- Library information generated by Main Roads has been digitised, captured to Trim and made available through the intranet - Aboriginal Heritage Surveys, Annual Reports, and Oral Histories.
- Quarterly meeting with our Transport Portfolio partners has continued for information and knowledge sharing concerning best practice management of records.
- Active involvement in business system design and provision of advice concerning records management, system integration requirements and system needs has been maintained.
Our Training Programs
Cultivating and consolidating employee knowledge of best practice recordkeeping is paramount in preserving our corporate memory.
To achieve this, the recordkeeping training program has been evaluated by Strategic Communications and members of the Business Information Reference Group to ensure smarter, more efficient ways of working using existing technology. This has been incorporated into the range of training services and opportunities on offer. The following records training is available to staff:
- Induction Training for new employees addressing recordkeeping responsibilities and compliance with our Recordkeeping Plan occurs as part of the on-boarding process conducted online by Human Resources
- Each Directorate conducts inductions for all contractors and consultants which includes recordkeeping responsibilities and compliance with our Recordkeeping Plan
- Online Recordkeeping Awareness and TRIM (RM8) courses are provided to support the capture of records as evidence of business activity and are monitored for completion and escalated for management remediation as needed
- Full day lecture based hands-on TRIM (RM8) training is offered on a one on one basis including support through remote online assistance
- One hour intensive short courses are run throughout metropolitan and regional offices covering TRIM (RM8) system use. The range of courses provided has increased from 6 to 10 standard courses and is now delivered through Skype for Business to provide records training direct to the desktop
- Regular publication of updates to records policies, procedures, quick reference guides, FAQs, news items, service provision and contact points continue to be provided through our intranet site.
Participation in the records training program offered to the organisation is shown below:
| Training | 2015/16 | 2016/17 |
|---|---|---|
| Full Day Hands On Trim (RM) Training | 206 | 66 |
| Trim/RM Short Course – Lecture Based | 287 | 182 |
| Trim/RM Short Course – Skype for Business | 0 | 540 |
| Trim/RM One on One | 8 | 15 |
| Trim/RM - Customised | 0 | 75 |
| Recordkeeping Graduate Induction | 14 | 11 |
| Corporate Induction – Lecture Based | 367 | 0 |
| Corporate Onboarding | 0 | Not Available |
| Online - Recordkeeping Awareness | 161 | 199 |
| Online – Trim System Training - Essentials | 109 | 179 |
| Online – Trim System Training – Next Steps | 0 | 167 |
| Metropolitan & Regional R&D Training | 0 | 4 |
| Metropolitan & Regional Buddying | 3 | 1 |
| University Practicum Placement | 1 | 0 |
| Annual Records Seminar | 28 | 0 |
| RIMPA Records Convention 2016 | 1 | 6 |
| Total | 1185 | 1445+ |
Records and Information Management Professionals (RIMPA) is the peak body for records and information management in Australasia. Their Convention showcases industry leaders and respected vendors. Main Roads was invited to present at the RIMPA Convention 2016 on “Main Roads Journey to a Digital Future” which was well attended. The resulting local and interstate public and private sector interest has reinforced that our approach towards digital disruption and transformation continues to support best practice management of our information assets.