Business rules and auditable processes are in place for the migration of records to near-line, offline and off-site storage. I am confident the checklist will help agencies to assess the procedures and practices established by them to manage their records. 1 800 899 4766. The records management procedures for web-based records: Records management systems and systems that keep records. Sound records management requires all staff to comply with an agency's records management policies and procedures. Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business. Records management is a fundamental function of all government entities and the responsibility of all agency staff. A range of processes associated with implementing records retention, destruction or transfer decisions that are documented in Retention and Disposal Authorities. AIIM's Record Audit Checklist ensures that you have your bases covered when preparing for an audit. This publication is quite comprehensive, providing a step by step guidance on every aspect of internal audit. More often than not, organizations try to fix information management problems at the end of the life cycle without understanding the beginning of the records creation process. We first developed this better practice guide in 2008 to complement our performance audit Records Management in the Victorian Public Sector. The storage of records is regularly assessed. Sentenced temporary and unsentenced records are stored either onsite at the agency or at an approved commercial storage facility, in accordance with PROV's record management standards. At that time the Public Record Office Victoria (PROV) provided limited detailed records management guidance for agencies. For each major records management initiative (project): Once agencies have established their records management objectives and policy, they need to develop comprehensive procedures and practices covering their core business and administrative processes to assist staff in managing records. These processes: It is important for agencies outsourcing significant parts of their business to external parties, to establish mechanisms to ensure records held by these parties are adequately managed and are accessible by the agency. The process, using a Retention and Disposal Authority, to identify a record as either of temporary or permanent value. Recorded information or object that can be treated as a unit. The guide is also available as an interactive PDF. The objectives should be aligned with the agency's business outcomes. Nominate an appropriately skilled lead to coordinate records management within your business. (The business case outlines the need the initiative will address, an assessment of the options available to meet the need and an outline of the preferred option including the costs, benefits, issues, constraints and risks associated with that option. any procedures undertaken to address exceptions such as security or access breaches and lost documents are documented. Act of moving records from one system to another, while maintaining the records' authenticity, integrity, reliability and usability. Each classification scheme is linked to the agency's: Where access to agency records needs to be restricted for security, privacy, commercial or other reasons, this need is identified and documented. Retention Schedules. Staff exit procedures are used to identify areas where agency records are not managed in accordance with the agency's policies and procedures. Data describing the context, content and structure of records and their management through time, e.g., creator, date of creation, record name, record format, accessed by, date deleted, etc. Are your records management program practices setting your organization up for success or inefficiency? outlines the agency's overall goals, vision and purpose of records management, indicates the value the agency places on records management and outlines its commitment to the sound management of records, outlines the key records management functions (i.e., creation, capture, classification, access, storage, security, maintenance, transfer, disposal and preservation), acknowledges that all staff have a responsibility for records management, covers all of the agency's operations and includes all record formats (physical and digital, including emails and web-based records), agency locations and external providers. AS ISO Australian Standard, International Standards Organisation. outline and assign responsibility for compliance with the procedures and practices. For digital records, the metadata is compliant with the Victorian Electronic Records Strategy (VERS) Standard, as determined by a formal assessment that PROV conducts. refer to records management requirements outlined in legislation, regulations and standards issued by PROV and other professional bodies, align with the agency's records management objectives and policy, cover key records management functions such as the creation, capture, classification, access, storage, security, maintenance, transfer, disposal and preservation of records, include all record formats (physical and digital, including emails and websites), identify which systems are to be used to capture and manage the agency's records. The Victorian Auditor-General’s Office acknowledges Australian Aboriginal peoples as the traditional custodians of the land throughout PROS 10/13 Guideline 3 requires a register to be maintained of all records destroyed noting the title and unique identifier of the record, the relevant RDA and class, the date of destruction and the individual authorising the destruction. Procedures for copying, conversion and migration of records (and their associated metadata) are implemented and monitored. Policies or business rules governing system security and user access permissions are in place. recognises the agency's legal ownership of records held by the external party, and the information they contain, enables the agency to have full and timely access to relevant records held. outline the employee's responsibility for managing business-related emails, explain in what circumstances emails are to be captured as a record (emails that have business and archival value should be captured), list the agency locations and systems that may be used to capture emails, list locations that are not approved for storing business emails such as personal or shared drives and email folders, require relevant emails to be captured as a record, as soon as possible after staff create or receive them. Part 1: Create and document a compliant process. File Plan. Records Inventory. The policy should: Records management objectives, principles and priorities have been developed and documented. Records identified as worth preserving permanently as part of the Victorian Government's archives. Normal administrative practice covers the destruction of ephemeral material of a facilitative nature (such as working papers, drafts and extra copies of documents) created, acquired or collected by public officers as part of their duties. Records with no archival value that can be sentenced for destruction. To maximise the benefit of the checklist, it should be used in conjunction with the standards and guidance material referred to throughout. Records management obligations are identified and acknowledged in other key agency policies such as the privacy policy, freedom of information policy, procurement policy, and information and communications technology policy. Describes the measures required for the effective creation, collection, storage, access, use and disposal of information to support agency business processes. These principles are consistent with the Australian Standard for Records Management (AS ISO 15489) and standards, specifications, guidelines and advice that PROV issues. Procedures or business rules have been established that outline how records are to be classified. The placement and description of an object, e.g., a document into a system that keeps records (also referred to as a repository). Responsibility for the care of records and archives, usually based on their physical possession. However, PROV now provides detailed guidance on its website. Records Management Self-Assessment Checklist For whom is this document intended? A person/s with appropriate skills is responsible for determining the agency's metadata requirements and for maintaining its metadata schema. establishing appropriate governance arrangements for major records management initiatives including a project steering committee, a project sponsor and a project manager. This comprises mandatory induction training with regular refresher material, and specialist training for those with specific records management functions. Records management checklist. Regulatory/Legal Compliance. Australia, Copyright Victorian Auditor-General’s Office 2021, The guide is also available as an interactive, Principle 1 - Records management objectives and policy, Principle 3 - Strategic planning and resource allocation, Principle 4 - Operational procedures, practices and systems, Principle 5 - Staff with records management responsibilities, providing information to enable agencies to conduct their business, supporting agency communications, actions and decisions, therefore improving public accountability. 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