Records and Archives Services PROV Standards Project

During 2010-2011, the Public Record Office of Victoria (PROV) introduced a range of new records mangement standards. As a government agency, Monash University must work towards compliance with this new set of standards and Records and Archives Services (RAS) have been mandated to assist the wider university in achieving compliance.

The following is a broad summary of the seven standards with which Monash University must comply.

1. Capture

This standard applies to the creation and capture of all public records into recordkeeping systems, regardless of format or media. The creation and capture of records that are authentic, reliable, usable and have integrity, enables the records to retain their value as evidence; such records assist organisations to demonstrate good governance and enhance the reputation of organisations through transparent and accountable dealings. [1]

2. Control

This standard applies to recordkeeping controls regarding: metadata, classification and the tracking of actions for all the organisation's records, regardless of format or media. [2]

3. Storage

This standard applies to the storage of all organisational records, regardless of format or location. It includes the storage of physical records, electronic records and physical devices and hardware used to store electronic records. [3]

4. Access

Adopting the principles in this standard will ensure that access to records and the use of records is considered as part of an organisation's policies. In addition, it ensures access restrictions to records are based on legislation, policy, sound documented criteria and can be justified. The standard also ensures that the integrity of records is protected through the use of appropriate and relevant security measures. [4]

5. Disposal

Disposal is defined as 'the range of processes associated with implementing records retention, deletion, destruction or transfer decisions which are documented in disposition authorities or other instruments.' [5] The lawful disposal of records is an essential and critical component of any records management program. The implementation of this standard will benefit the organisation by enabling the disposal of records to be carried out lawfully yet efficiently, and ensuring the retention of those records of importance to the State in perpetuity. [6]

6. Operations Management

This standard concerns the day to day running of records management systems, practices and processes across an organisation. Adopting the principles in the standard will ensure that:

appropriate recordkeeping procedures are in place and up-to-date
recordkeeping systems are effectively managed over their life
training and awareness activities are effective and meet the organisation's needs
compliance with recordkeeping requirements is audited and gaps identified
recordkeeping practices are continuously improved, and
record custodianship is transferred between organisations when required. [7]

7. Strategic Management

This standard is concerned with strategic management of public records which consists of strategy formulation, implementation and evaluation. Incorporating records management strategies into whole of organisation plans and integrating them into other core management stategies, policies and major projects will assist organisations to achieve their objectives. To be effective, strategies must address responsibilities, requirements and risks, and prompt the executive to proactively evaluate its recordkeeping strategies and address issues of non-compliance. [8]

Next Steps: Information Gathering

During the first half of 2012, RAS will be conducting an information gathering exercise so as to ascertain recordkeeping practices across the university. Each organisational unit of Monash will be requested to nominate a contact (or contacts) to assist with the information gathering process.

Liaison with university records management stakeholders will involve:

an awareness program
face to face interviews with key records management contacts so as to evaluate compliance as well as suggest improvements to current recordkeeping practices.

About Records and Archives Services (RAS)

RAS is part of the Office of the Chief Information Officer and comprises three units:

RAS enables effective management of university records across all university functions (education, research administration, community engagement) to support current work and future information needs of the university and the community.

Our objective is for university records and archives to be known about, used and online where possible. To achieve this we have a dual role of providing service and fostering compliance.

Our mission is to optimise the management of university records to:

help the university achieve excellence in its core functions of teaching, learning and research
ensure the university's corporate memory is preserved in its archives.

Key elements of our consultation with clients include:

mapping of recordkeeping compliance obligations
identification of current recordkeeping practices, systems, roles and responsibilities
identification and assessment of risk and the development of risk mitigation action plans
identification of key stakeholders and development of a stakeholder engagement plan
assessing and addressing records management awareness needs (via recordkeeping procedures, advice on the web, fact sheets and guidelines)
assessing and addressing staff training and education needs
development of strategies to include outsourced and privatised activities within approved Monash recordkeeping processes
development of strategies to monitor compliance performance; develop reporting structures and facilitate continuous improvement.

For further information regarding records management and staff details see Records and Archives Services

[1] See Public Record Office Strategic Management Standard, PROS 10/10, issued on 19/7/2010, page 4

[2] See Public Record Office Capture Standard, PROS 11/07, issued on 5/9/2011, page 5

[3] See Public Record Office Control Standard, PROS 11/09, issued on 21/11/2011, pages 4-5

[4] See Public Record Office Storage Standard, PROS 11/01, issued on 25/1/2011, page 4

[5] See Public Record Office Access Standard, PROS 11/10, issued on 25/11/2011, page 4

[6] Standards Australia, ASISO 15489.1 Australian standard on records management. pt 1, Standards Australia, Sydney, 2002, s. 3.9

[7] See Public Record Office Disposal Standard, PROS 10/13, issued on 9/8/2010, pages 5-6

[8] See Public Record Office Operations Management Standard, PROS 10/17, issued on 23/12/2010, page 4