Recordkeeping Standard - Public Record Office Victoria

Public Record Office Victoria
PROS 11/09
Version 1.0
Recordkeeping Standard
Control
Version Number: 1.0
Issue Date: 21/11/2011
Expiry Date: 21/11/2016
© State of Victoria 2011 Version 1.0

PROS 11/09: Control Standard
Establishment of Standard
Pursuant to Section 12 of the Public Records Act 1973, I hereby establish these provisions
as a Standard applying to all public records in Victoria. This Standard and its associated
Specifications are mandatory for all Victorian government agencies. This Standard, as varied
or amended from time to time, shall have effect for a period of five (5) years from the date of
issue unless revoked prior to that date.
Justine Heazlewood
Keeper of Public Records Date of Issue: 21 November 2011
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PROS 11/09: Control Standard
Table of Contents
1. Introduction .....................................................................................................................4
1.1. Public Record Office Victoria Standards..................................................................4
1.2. Purpose....................................................................................................................4
1.3. Scope.......................................................................................................................5
1.4. Definitions ................................................................................................................5
1.5. Related Documents..................................................................................................8
2. Detail of Standard............................................................................................................9
2.1. Metadata ..................................................................................................................9
2.2. Classification..........................................................................................................10
2.3. Tracking .................................................................................................................11
3. References .....................................................................................................................12
Copyright Statement
© State of Victoria 2011
This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no
part may be reproduced through any process without prior written permission from the
publisher. Enquiries should be directed to Public Record Office Victoria, PO Box 2100, North
Melbourne, Victoria 3051 or email: agency.queries@prov.vic.gov.au.
Disclaimer
The State of Victoria gives no warranty that the information in this version is correct or
complete, error free or contains no omissions. The State of Victoria shall not be liable for any
loss howsoever caused whether due to negligence or otherwise arising from the use of this
Standard.
Acknowledgements
The Public Record Office Victoria would like to acknowledge the valuable contribution of
members of the Control Advisory Group during the development of this Standard.
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PROS 11/09: Control Standard
1. Introduction
1.1. Public Record Office Victoria Standards
Under section 12 of the Public Records Act 1973, the Keeper of Public Records (‘the
Keeper’) is responsible for the establishment of Standards for the efficient management of
public records and for assisting Victorian government agencies to apply those Standards to
records under their control.
Recordkeeping Standards issued by Public Record Office Victoria (PROV) reflect best
practice methodology. This includes International Standards issued by the International
Organisation for Standardisation (ISO) and Australian Standards (AS) issued by Standards
Australia in addition to PROV’s research into current and future trends.
Heads of government agencies are responsible under section 13b of the Public Records Act
1973 for carrying out, with the advice and assistance of the Keeper, a programme of efficient
management of public records that is in accordance with all Standards issued by the Keeper.
In Victoria, a programme of records management is identified as consisting of the following
components:
• A recordkeeping framework;
• Recordkeeping procedures, processes and practices;
• Records management systems and structures;
• People and organisational structures; and
• Resources, including sufficient budget and facilities.
A programme of records management needs to cover all agency records in all formats,
media and systems, including business systems.
1.2. Purpose
This Standard provides a set of mandatory principles for Victorian government agencies
regarding recordkeeping controls for public records. This includes the required minimum
metadata set to be connected with public records to enable their structure, context and
history to be understood. It also covers classification and the tracking of actions, including
movements and management of records.
This Standard applies to recordkeeping controls regarding metadata, classification and
tracking for all public records, regardless of format or media.
The implementation of this Standard will provide the following benefits:
• Justifiable evidence of the agency’s business can be provided, as records can be
interpreted within the context of the business processes that resulted in their creation.
• Effective records management practice occurs throughout the agency, as records
management activities are triggered through classifying records.
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• Queries are addressed more efficiently, as records can be quickly retrieved and
accurately understood.
1.3. Scope
This Standard covers the high level principles relating to the function and activities of records
control. Each principle consists of a statement of best practice, followed by an explanation of
what is meant by the principle and why the principle is important.
The principles detailed in this Standard provide the foundation for the measurable
compliance requirements described in the associated Specification. Agencies must meet all
the requirements detailed in the Specification to ensure they comply with the principles
articulated in this Standard. Guidelines associated with this Standard will assist agencies to
implement these requirements.
Please note that principles for controls regarding access and security are located within the
Access Standard.
1.4. Definitions
The following terms are the major terms of relevance for this Standard. For a full list of
records management and PROV terminology, see the Master Glossary.
Action: ‘The process or condition of acting or doing, the exertion of energy or influence’. 1
Agency: See Government Agency.
Aligned: A parallel or coordinated arrangement or approach.
Beneficial Ownership: Beneficial ownership is enjoyed by anyone who has the benefits of
ownership of an asset, and yet does not nominally own the asset.
Business Records: A public record that relates to the business of the agency and must be
managed as evidence of business decision and transactions. This excludes ephemeral
records and records of business that are not beneficially owned by the agency.
Business Classification: See Classification.
Classification: ‘Systematic identification and arrangement of business activities and / or
records into categories according to logically structured conventions, methods, and
procedural rules represented in a classification system.’ 2
Context: ’The knowledge necessary to sustain a record’s meaning or evidential value.
Context describes the who, what, where and why of record creation and use.’ 3
Continuous Improvement: ‘The process of establishing objectives and finding opportunities
for improvement is a continuous process through the use of audit findings, audit conclusions,
1 CT Onions, The Shorter Oxford English Dictionary on Historical Principles, Volume 1: A to Markworthy, Oxford
University Press, Oxford England, 1973 p. 20.
2 Standards Australia, AS ISO 15489:1 Australian standard on records management: Part 1: General, Standards
Australia, Sydney, 2002, ss. 3.5, p. 2.
3 Standards Australia, HB 5031:2011 Records Classification Handbook, Standards Australia, Sydney, 2011, s.9,
p. 39.
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analysis of data, management reviews, or other means and generally leads to corrective
action or preventative action.’ 4
Custodian: A person, business unit or agency that has custody.
Custody: Responsibility for the care of records and archives, usually based on their physical
possession. Custody does not necessarily include legal ownership.
Disposal: A range of processes associated with implementing appraisal decisions which are
documented in disposal authorities or other instruments. These include the retention,
destruction or deletion of records in or from recordkeeping systems. They may also include
the migration or transmission of records between recordkeeping systems, the transfer of
ownership or the transfer of custody of records, e.g. to Public Record Office Victoria. 5
Document: See Public Record.
Ephemeral Records: Working papers, drafts and copies of public records that do not need
to be retained for business purposes and which may be disposed of under Normal
Administrative Practice (NAP).
Executive / Senior Executive: ‘A person [or people] employed under Part 3 [of the Public
Administration Act 2004] as a public service body Head or other executive;’6 or Senior
Officer as described by the Local Government Act 1989. 7
Government Agency: Any department, agency or office of the Government of Victoria. 8 It
includes:
• any department branch or office of the government of Victoria;
• any public statutory body corporate or unincorporate;
• a State owned enterprise within the meaning of the State Owned Enterprises Act 1992;
• any municipal council;
• any other local governing body corporate or unincorporated; and
• any Victorian court or person acting judicially.
Head of a Government Agency: The head of a department, administrative office, public
sector body, public service body, small entity, or standard entity as described by the Public
Administration Act 2004 9 or the Chief Executive Officer as described by the Local
Government Act 1989. 10
Keeper of Public Records: The Keeper is the Director of Public Record Office Victoria. The
Keeper of Public Records (‘the Keeper’) is responsible for the establishment of Standards for
the efficient management of public records and for assisting agencies to apply those
Standards to records under their control. 11
4 Standards Australia, AS/NZS ISO 9000:2006 Australian/New Zealand standard on quality management systems
– Fundamentals and vocabulary, Standards Australia, Sydney, 2006, ss. 3.2.13 (note), p. 9.
5 AS ISO 15489:1, ss. 3.9, p. 3.
6 Public Administration Act 2004, s. 23.
7 Local Government Act 1989, s. 3.
8 Public Records Act 1973, s. 2.
9 Public Administration Act 2004, s. 4.
10 Local Government Act 1989, s. 3.
11 Public Records Act 1973, ss. 6-7.
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Location: ‘A particular place.’ 12
individuals.
This may be geographical, virtual, or relate to specific
Mapped: Diagrammatic or graphic representation that explicitly links two concepts and can
therefore be used to illustrate relationships. Examples of mapping methods include
ontological engineering, OBASHI method, crosswalks mapping, workflow diagrams and
relationship diagrams.
Metadata: ‘Data describing context, content and structure of records and their management
through time’. 13 Metadata is not format based and can be recorded on various media
including on hardcopy documents, in related databases and in electronic systems.
Movement: Change of location. This includes a change of location from one system to
another, from one storage location to another, from one user to another, from one agency to
another, or one business unit to another.
Normal Administrative Practice (NAP): The destruction of some public records is permitted
under normal administrative practice (NAP). NAP covers the destruction of ephemeral
material of a facilitative or duplicate nature created, acquired or collected by public sector
employees during the course of their duties.
Officer in Charge of a Public Office: See Head of Government Agency.
Personal Records: Records that are of a personal nature and have no relevance to the
business of the agency.
Public Office: See Government Agency.
Public Officer: See Public Sector Employee.
Public Record:
(a) any record made or received by a public officer in the course of his duties; and
(b) any record made or received by a court or person acting judicially in Victoria—
but does not include—
(c) a record which is beneficially owned by a person or body other than the Crown or a
public office or a person or body referred to in s. 2B [of the Public Records Act 1973];
or
(d) a prescribed record held for the purpose of preservation by a public office to which it
was transferred before the commencement of the Arts Institutions (Amendment) Act
1994 by a person or body other than the Crown or a public office; or
(e) a record, other than a prescribed record, held for the purpose of preservation by a
public office to which it was transferred, whether before or after the commencement of
the Arts Institutions (Amendment) Act 1994, by a person or body other than the Crown
or a public office. 14
Public records may be divided into business records, ephemeral records and personal
records.
12 JB Sykes, The Concise Oxford Dictionary of Current English sixth edition, Oxford University Press, London, UK,
1976, p. 638.
13 AS ISO 15489:1, ss. 3.12, p. 3.
14 Public Records Act 1973, s. 2.
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Public Sector Employee: Any person employed in a government agency or who performs
work over which an agency has, or should have, direct control and for which an agency has
direct liability. It is derived from 'public officer’ in s. 2 of the Public Records Act 1973.
Senior Officer: A person or committee with managerial responsibility.
Structure: The ‘format and relationships between the elements comprising the record.’ 15
System: ‘Information system which captures, manages and provides access to records
through time.’ 16 A system may be manual or automated and includes the processes,
procedures and business rules required to operate it.
Tracking: ‘Creating, capturing and maintaining information about the movement and use of
records.’ 17
1.5. Related Documents
The Specifications and Guidelines directly associated with this Standard are detailed below.
Other PROV Standards and Specifications, including Retention & Disposal Authorities
(RDAs), will also affect how this Standard is implemented in particular agencies.
Figure 1: Relationship Diagram
15 AS ISO 15489:1, ss. 7.2.1, p. 7.
16 AS ISO 15489:1, ss. 3.17, p. 3.
17 AS ISO 15489:1, ss. 3.19, p. 3.
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2. Detail of Standard
2.1. Metadata
Principle: Metadata elements needed for the structure, context and management of business
records to be used and understood over time are captured, maintained and connected with
the records.
The intent of this principle is to ensure that business records are connected with the
information necessary for them to be clearly understood and interpreted over time. Metadata
is captured and connected with a record at point of creation or capture and at various
additional points during the retention period. This includes metadata elements regarding the
business processes in which the record was used, the context of the management of the
record and structural changes to the record (including its appearance).
Metadata is captured and connected with all business records, regardless of their format.
Different methods of connecting metadata to records may be used. For example, digital
records could be connected with metadata in accordance with the Victorian Electronic
Records Strategy (VERS) Standard. Hardcopy records could use classification schemes, file
covers, registers, databases and other records management tools to connect the metadata
with the records.
The metadata captured and connected with records have multiple aspects that coexist
depending on how the metadata was intended to be used. For example, metadata can
support business processes, reflect the management of the record over time and be used to
enable the record to be retrieved and interpreted more easily.
The different aspects, and the specific metadata elements required for their support, have to
be considered when determining the metadata the agency will need to connect with their
business records. The type and amount of metadata connected with a record will be limited
by the boundaries of specific records, business and information systems.
The benefits of connecting metadata with business records are as follows:
• Evidential integrity of business records can be demonstrated and justified when their
validity is questioned.
• Business records can be interpreted within the context of their business process as
well as the actions upon the records so their full story is known and can be explained to
others.
• Data exchange or data transfer protocols are efficiently implemented as metadata is
documented, retrievable and accurate.
• Records management processes, such as disposal sentences, access controls, and
classification schemes, can be directly associated with the records from the point of
capture to enable more efficient recordkeeping practice.
• Relationships between records, and with business processes, are explicit and can be
clearly demonstrated over time.
The minimum requirements to comply with this control principle, including the required
minimum metadata set, are detailed in the Specification issued under this Standard.
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2.2. Classification
Principle: Business records are classified in accordance with business classification
schemes that are aligned and mapped to access controls and disposal programmes.
The intent of this principle is to ensure that business records are clearly placed within their
business contexts so they may be understood, identified, accessed, reused and managed
appropriately. This is achieved through aligning schemes with business processes and
workflows as well as mapping schemes to records management actions including access
and disposal.
Classification, or the act of arranging records in a logical structure and sequence, facilitates
their subsequent use and reference. It also enables appropriate linking, grouping, naming,
security, user permissions and retrieval, disposition and identification of vital records.
Classification may be functional, process based, subject based or organisation based.
Business classification schemes are an output of an analysis of business activities, such as
work process analysis. They provide an understanding of the relationship between the
agency’s business and its records. The agency will need to determine the degree of
classification control they require for their business purposes.
Records are usually classified at the file level using classification schemes that are
supported by controls appropriate for the records management environment of the agency.
The title of the file reflects the business function and activity that is being documented. The
title should use terms that are defined in classification tools, such as thesauri, business
classification schemes or authorised headings lists. Using controlled language when titling
and classifying and indexing records helps them to be identified and retrieved more easily.
There may be instances where multiple classification schemes are needed in an agency. For
example, different business systems may not be able to have the same classification terms
due to systems limitations. In such instances, the different terms will need to be aligned with
the main business classification scheme so that the correct terms for use in the various
circumstances are clear. Mapping the classification scheme to the retention and disposal
authority classes will enable sentencing to be carried out as part of the classification process.
Mapping the classification scheme to access and security controls will enable such controls
to be integral to the classification process.
The benefits of arranging records in accordance with classification schemes that are mapped
and aligned with records management controls are as follows:
• Business practice is more efficient as records are consistently arranged in accordance
with their business function and activity and can therefore be easily located when
information on that activity or function is required.
• Records management practice is more effective as mapping classification schemes to
records management tools, such as retention and disposal authorities, enables
recordkeeping controls to be assigned when records are classified.
• A continuous record of the agency’s business can be demonstrated as classification
provides clear linkages between records and the business processes that produced
them.
• The need to reorganise record classification after an organisational restructure is
reduced as the functions and activities that a business classification scheme is based
on will probably remain the same.
• Classifying records by function and activity enables transfer of records between
agencies to be conducted more efficiently.
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The minimum requirements to comply with this control principle are detailed in the
Specification issued under this Standard.
2.3. Tracking
Principle: Business records are accurately tracked using systems that create, capture and
maintain information about the movement of and actions on records.
The intent of this principle is to ensure that systems are in place to enable the agency to
know where their business records are and what actions are taking place upon them over
time.
Tracking the actions related to a record enables the agency to identify the history of actions
upon the record. Actions related to the record or its use may include who did what when in
relation to what specific business process, or as a response to which specific decision or
transaction.
Systems (whether automated or manual) can be used to accurately track the movement and
history of a business record. This includes information regarding the date and time of the
movement, the physical location of the record, who has custody of the record, how and why
the record was moved and what actions have taken place upon the record.
The benefits of having in place systems that track and document the movements and actions
related to business records are as follows:
• Tracking the movements of business records enhances identification and retrieval and
enables queries to be addressed efficiently as the location of business records can be
established quickly and accurately.
• Tracking actions related to business records enables the evidential value of business
records to be maintained as questions regarding past actions and why they occurred
can be determined and answered.
• Tracking records supports information security as the details of the movement, history
and custodianship are captured and maintained.
The minimum requirements to comply with this control principle are detailed in the
Specification issued under this Standard.
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3. References
National Archives of Australia (NAA) 2003, Overview of Classification Tools for Records
Management, NAA, Canberra, viewed 18 March 2011,
.
Onions, CT, 1986, The Shorter Oxford English Dictionary on Historical Principles, Volume 1:
A to Markworthy, 3 rd Edition, Oxford University Press, Oxford, UK.
Standards Australia International (SAI) 2011, HB 5031 Records Classification Handbook,
SAI, Sydney.
State Records Authority of New South Wales (SRANSW) 1993, revised 2004, File Format: A
Guide to the Physical Design and Construction of Files, SRANSW, Sydney, viewed 21 March
2011, .
State Records Authority of New South Wales (SRANSW) 2005, Recordkeeping in Brief: 42:
Checklist for Assessing Business Systems, SRANSW, Sydney, viewed 21 March 2011,
.
State Records Authority of New South Wales (SRANSW) 2010, Recordkeeping in Brief 57:
Managing Shared Drives, SRANSW, Sydney, viewed 21 March 2011,
.
State Records of South Australia (SRSA) 2002, Developing a Thesaurus: Guideline, SRSA,
Adelaide, viewed 21 March 2011,
.
State Records of South Australia (SRSA) 2009, Adequate Records Management in
Perspective: Classifying Official Records, SRSA, Adelaide, viewed 21 March 2011,
.
State Records of South Australia (SRSA) 2009, Recordkeeping Metadata, SRSA, Adelaide,
viewed 21 March 2011,
.
Sykes, JB, 1976, The Concise Oxford Dictionary of Current English 6 th Edition, Oxford
University Press, London, UK.
Victorian Auditor General’s Office (VAGO) 2008, Report on Records Management in the
Victorian Public Sector, VAGO, Melbourne, viewed 21 January 2011,
.
Victorian Auditor General’s Office (VAGO) 2008, Records Management Checklist, VAGO
Melbourne, viewed 21 January 2011,
.
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Legislation
Crimes Act 1958 (Vic)
Evidence Act 2008 (Vic)
Freedom of Information Act 1982 (Vic)
Health Records Act 2001 (Vic)
Information Privacy Act 2000 (Vic)
Local Government Act 1989 (Vic)
Occupational Health and Safety Act 2004 (Vic)
Public Administration Act 2004 (Vic)
Public Records Act 1973 (Vic)
All current Victorian legislation is available at http://www.legislation.vic.gov.au.
Standards
Archives New Zealand (ANZ) 2008, Create and maintain recordkeeping standard S7, ANZ,
Wellington, viewed 18 March 2011, .
Archives New Zealand (ANZ) 2008, Electronic Recordkeeping Metadata Standard S8, ANZ,
Wellington, viewed 18 March 2011, .
National Archives of Australia (NAA) 2008, Australian Government Recordkeeping Metadata
Standard, NAA, Canberra, viewed 18 March 2011,
.
Public Record Office Victoria (PROV) 2003, PROS 99/007 v2.1 Specification 2: VERS
Metadata Scheme, PROV, North Melbourne, viewed 17 May 2011,
.
Public Record Office Victoria (PROV) 2003, Advice 11: Advice on VERS Metadata Scheme
PROS 99/007 v2.0 Specification 2, PROV, North Melbourne, viewed 17 May 2011,
.
Queensland State Archives (QSA) 2009, Information Standard IS40: Recordkeeping, QSA,
Brisbane, viewed 18 March 2011,
.
Standards Australia International (SAI) 2002, AS ISO 15489.1 Australian Standard: Records
Management Part 1: General, SAI, Sydney.
Standards Australia International (SAI) 2002, AS ISO 15489.2 Australian Standard: Records
Management Part 2: Guidelines, SAI, Sydney.
Standards Australia International (SAI) 2003, AS 5090 Australian Standard: Work Process
Analysis for Recordkeeping, SAI, Sydney.
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Standards Australia International (SAI) 2004, AS ISO 23081.1 Australian Standard:
Information and Documentation: Records Management Processes: Metadata for Records:
Part 1: Principles, SAI, Sydney.
Standards Australia International (SAI) & Standards New Zealand 2007, AS/NZS ISO
23081.2 Australian / New Zealand Standard: Information and Documentation: Records
Management Processes: Metadata for records: Part 2: Conceptual and implementation
issues, SAI, Sydney.
State Records Authority of New South Wales (SRANSW) 2008, Standard on Digital
Recordkeeping: Standard No 10, SRANSW, Kingswood, viewed 18 March 2011,
.
State Records of South Australia (SRSA) 2008, Adequate Records Management Standard,
SRSA, Adelaide, viewed 21 March 2011,
.
State Records of South Australia (SRSA) 2009, South Australian Recordkeeping Metadata,
SRSA, Adelaide, viewed 21 March 2011,
.
State Records of South Australia (SRSA) 2009, EDRMS Design Standard, SRSA, Adelaide,
viewed 21 March 2011,
.
Other Resources
For more information about the control of public records, please contact:
Government Services
Public Record Office Victoria
Ph: (03) 9348 5600
Fax: (03) 9348 5656
Email: agency.queries@prov.vic.gov.au
Web: www.prov.vic.gov.au
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