Introduction to the Control Standard
Contents
1.
2.
3.
4.
5.
6.
7.
Course Aims ..................................................................................................... 4
Why Good Recordkeeping is Important ............................................................ 4
Why We Need Recordkeeping Standards......................................................... 5
VAGO Report on Recordkeeping ...................................................................... 5
About the new Recordkeeping Standards ......................................................... 6
How the Standards Documents Work Together ................................................ 7
Overview of the Control Standard ..................................................................... 8
7.1.
Metadata ............................................................................................. 11
7.2.
Classification ....................................................................................... 14
7.3.
Tracking .............................................................................................. 18
8.
Case Studies .................................................................................................. 20
8.1.
Hazardous Waste Management .......................................................... 21
8.2.
Driver License Management ............................................................... 22
8.3.
Council Planning Dispute .................................................................... 23
9.
Self Assessment Table ................................................................................... 25
10. Further Information ......................................................................................... 31
10.1. Help Available from PROV .................................................................. 31
10.2. Higher Education ................................................................................ 32
11. Question Answers .......................................................................................... 34
Case Study Answers ............................................................................................... 35
Recordkeeping Standards Training
Control
Icons used in this course
The following icons are used throughout this course:
Time: Used to show the time to complete a task.
Question: Used for questions in the workbook.
Important: Used to emphasise something important.
Case Study: Used for the case problem solving (case study)
section of the course.
Assessment Table: Used to help determine how well your
agency is complying with the Standard.
Principle: Used to highlight a principle from the Standard.
Requirement: Used to highlight requirements from the
Specification.
Guideline: Used to highlight Guidelines that contain
suggestions on how to implement requirements.
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Course Aims
The aim of this course is to help you understand the Control Standard and its
implications for your agency. During this course, we will:

Describe the purpose of the Control Standard and what it mandates;

Explain the requirements of the Control Specification;

Apply the Control Specification to case studies based on real work situations
to familiarise you with the Standard; and

Explain the resources available to help agencies comply with the Standard.
2.
Why Good Recordkeeping is Important
According to the Victorian Auditor-General’s Office (VAGO), sound recordkeeping in
government agencies is important because:
“The public sector’s ability to deliver efficient and effective services depends upon
accurate, up-to-date records that can be readily accessed as needed. The
management of public records is an integral part of the effective administration and
governance of public sector agencies and facilitates:

sound decision-making;

efficient and effective customer services;

managing business information and resources;

meeting legal, evidential and accountability requirements; and

documenting significant events and preserving historically and culturally
important records.
The Public Records Act 1973 assigns primary responsibility for records management
to the officer-in-charge of government agencies. Records management is also a core
responsibility of all individuals in agencies.”1
1 Victorian Auditor-General’s Office 2008, Records Management in the Victorian Public Sector, viewed 12 May 2010,
<http://www.audit.vic.gov.au/reports__publications/reports_by_year/2008/20080312_records/1_executive_summary.
aspx>.
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Why We Need Recordkeeping Standards
While the Public Records Act 1973 defines the recordkeeping responsibilities of
Victorian Government agencies, it also gives the Public Record Office Victoria
(PROV) responsibility for helping agencies comply with the Act. The Recordkeeping
Standards are part of this responsibility.
The Standards developed by PROV help agencies comply with the Act by:

Providing advice on how to perform each key area of records management;

Enabling agencies to identify areas of records management that need
improvement; and

Allowing agencies to indentify the resources, relationships and responsibilities
they need to establish to manage their records effectively.
In this way the Standards act like a map or pathway to guide agencies so they have
good records management practices which help them comply with the Act.
4.
VAGO Report on Recordkeeping
The importance of effective recordkeeping prompted VAGO to conduct an audit in
2007 on how well Victorian public sector agencies were complying with the Public
Records Act. The report also examined how well PROV was facilitating this. The
report was called Records Management in the Victorian Public Sector.
The audit involved asking around 100 agencies to complete a self assessment based
on seven principles of good records management practice. From this self
assessment, eight agencies were chosen for a more detailed audit.
The audit showed agencies were not managing records in the way they needed to,
particularly in the following areas:

There was a lack of understanding and support by senior management for
effective records management;

Because most agencies surveyed did not adopt a strategic approach to
records management, they were unable to properly advise management of
the resources they needed to fulfil their legislative obligations; and

The management of electronic records including email and websites was a
challenge for agencies. Most agencies were yet to implement a system that
ensured their electronic records, such as emails, would be accessible in the
long term.2
2
Victorian Auditor-General’s Office 2008, Records Management in the Victorian Public Sector, viewed 12 May 2010,
<http://www.audit.vic.gov.au/reports__publications/reports_by_year/2008/20080312_records/1_executive_summary.
aspx>.
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About the new Recordkeeping Standards
PROV has developed new Recordkeeping Standards which include guidance on how
to implement best practice recordkeeping. The new Recordkeeping Standards
comprise seven Standards, each dealing with a particular aspect of recordkeeping.
While each Standard deals with a particular area, they are designed to work together
with aspects of one Standard supporting and having implications for another.
Strategic Management
Capture
Control
Storage
Access
Disposal
Operations Management
Each Standard is briefly described in the table below.
Standard
What is covered
Strategic Management
The formulation, implementation and evaluation of an
agency's records management strategy.
Operations Management
Tasks associated with the efficient day to day
management of an agency's records management
function.
Capture
The capture of records into an agency's recordkeeping
systems.
Control
The control of records held in an agency's
recordkeeping systems.
Storage
The storage of physical and digital records of
temporary and permanent value.
Access
The management of access to government records.
Disposal
The management of records no longer required by an
agency through destruction or transfer to the Public
Record Office.
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How the Standards Documents Work Together
The Standards are made up of four levels of documentation: Standard, Specification,
Guideline and Fact Sheet. Each document type provides the information described
below:
St
Standard: contains the principles that must be followed
to comply with the Standard and the benefits of
following these principles. It also outlines background
information such as the purpose and scope of the
Standard. For example, one of the principles in the
Standard is:
Principle:
The 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.
Sp
Specification: lists a set of requirements that outline
what agencies must do to meet each principle. It also
provides examples of evidence that gives suggestions
on how an agency would know a requirement has been
met. For example:
Requirement:
Current business records, regardless of their format or which system they are in, are
classified in accordance with a business classification scheme.
Examples of Evidence:
Business classification scheme or schemes that cover business records in all
systems.
Procedures that document how business records are to be classified in accordance
with the classification scheme.
Audit reports that demonstrate business records are being classified in accordance
with the relevant business classification scheme.
G
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Guidelines contain suggestions on how to implement
requirements, for example, how to complete a
functional analysis. They differ from the Standard and
Specification because the information they provide is
more detailed and is optional for agencies to follow.
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Factsheets are one page quick reference guides
containing high level information on an aspect of the
Standard. They are designed to be used as handouts or
to be placed on notice boards to raise staff awareness.
These documents provide different levels of detail so agencies can access
information according to their needs and circumstances.
Remember, the requirements of each Standard are mandatory for
agencies to follow. The processes suggested in the Guidelines are
optional.
7.
Overview of the Control Standard
The Control Standard is about the managing the control of public records through the
development and alignment of recordkeeping control mechanisms across an agency.
The aim of the Standard is to ensure:

The structure, context and history of records can be understood over time;
and
 Records are classified and actions associated with records are tracked.
The Standard focuses on control of business records through metadata, classification
and tracking. Business records are ones that relate to the activities of the agency
rather than ephemeral or personal records.
Ephemeral records are records created in the course of business such as draft
versions or notes that facilitate the creation of records. These can be disposed of
under Normal Administrative Practice.
Personal records are records not related to the business of the agency such as
emails to organise lunch with a colleague.
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The Standard comprises the documents shown in the following diagram:
PROS 11/09
Control Standard
Specification 1:
Control
Guideline 1:
Metadata
Guideline 2:
Classification
Guideline 3:
Tracking
The role of each document is summarised below:
Specification 1: Control
Lists the requirements to comply with the Control Standard that enable effective
management of control activities including:

Assigning metadata to business records to maintain the context of records
over time;

Development and implementation of a business classification scheme that is
aligned with business processes, access controls and disposal programmes;
and

Accurate tracking of the location and actions relating to business records.
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Guideline 1: Metadata
This guideline will cover how to determine the agency’s minimum metadata set in
accordance with AS ISO 23081Standard on Managing Metadata for Records, PROS
99/007 Standard on the Management of Electronic Records and agency business
requirements.
[Forthcoming]
Guideline 2: Classification
This guideline will focus on an overview of classification schemes, development
processes, and methods of alignment with or mapping to other records management
programmes such as security, disposal and access.
[Forthcoming]
Guideline 3: Tracking
This guideline will focus on an overview of tracking methods and systems in relation
to business records.
[Forthcoming]
The principles and requirements for the Control Standard are listed under three key
headings, each with a particular focus:
Heading
Focus
Metadata
Enabling the context of records to be understood over
time by ensuring the relevant metadata is located
within or associated with the record, regardless of the
record’s format or system it is held in.
Classification
Supporting records management practices by
implementing one or more business classifications
schemes and mapping the schemes to other
recordkeeping processes such as security or access
restrictions and disposal programmes.
Tracking
Having records tracking systems that can accurately
monitor and report actions relating to records including
changes in their physical location.
Let’s now look at what this Control Specification says in relation to these three
headings.
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7.1. Metadata
Metadata is defined as ‘Data describing context, content and structure of records and
their management through time’.3 Metadata is not format based and can be recorded
on various media including on hardcopy documents, in related databases and in
electronic systems.
Metadata is about ensuring business records have connected to them the information
needed for the records to be clearly understood and interpreted over time. This
information needs to be recorded at the point of capture and at various points
throughout the retention period as the record is accessed and modified.
The type and amount of metadata connected to records will depend on an agency’s
requirements, the types of records it creates, its business and its information
systems. The six metadata elements identified as the minimum metadata set may be
subdivided into whatever additional categories are necessary, for example in order to
meet the requirements of PROS 99/007 Standard on the Management of Electronic
Records. Metadata is also required to be consistent with the Australian and
International Standard on Managing Metadata for Records (AS ISO 23081)4.
The benefits of capturing metadata appropriate to an agency’s needs are:

The integrity and validity of business records can be demonstrated;

The full story of a record is known and can be explained to others;

The relationship between records and business processes are clear; and

Recordkeeping processes such as disposal and access controls are more
efficient because they can be linked to records from the point of capture.
Metadata is based on the following principle that is mandatory for agencies to comply
with:
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 Control Specification lists the requirements agencies must follow
to ensure this principle is met. These are listed below:
1
Metadata schemes are developed and implemented that meet agency
business needs and are compliant with legislative and regulatory
3
Standards Australia, AS ISO 15489:1 Australian standard on records management: Part 1: General,
Standards Australia, Sydney, 2002, ss. 3.12, p. 3.
4 The metadata Standards recently issued by National Archives of Australia and Archives New Zealand
are also based on AS ISO 23081 and may be useful additional sources of information. National Archives
of Australia ‘Australian Government Recordkeeping Metadata Standard’ is available from the NAA
website <http://www.naa.gov.au/records-management/publications/index.aspx>
Archives New Zealand ‘Electronic Recordkeeping Metadata Standard’ and ‘Technical Specifications for
Electronic Recordkeeping Metadata Standard’ are located from the ANZ website:
<http://archives.govt.nz/advice/continuum-resource-kit/publications-publication-type#standards>
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requirements, including PROV Recordkeeping Standards.
2
3
4
The minimum metadata collected cover the following metadata
attributes.5
- Identity;
- Description;
- Use;
- Event History;
- Event Plan; and
- Relation.
The minimum metadata collected are consistent with the International
Standard on Managing Metadata for Records (ISO 23081: 2009) and
PROS 99/007 Management for Electronic Records.
Controls are implemented to assess and verify the accuracy of
metadata.
The following documents contain further information relating to
Metadata:
For information on how to develop and implement metadata schemes,
please see the Control Guideline 1: Metadata. [Forthcoming]
For information on how to undertake audits, please see the Operations
Management Guideline 5: Compliance Audits [Forthcoming].
Refer to the Control Specification to answer the next question.
What is the minimum metadata that needs to be collected for business
records regardless of format?
5
Please refer to Appendix One for more information about the metadata attributes identified.
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7.2. Classification
Classification is defined as ‘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.’6
It is about arranging records in a logical and consistent structure and sequence so
they can be indentified, understood, accessed and managed according to an
agency’s business needs. This is irrespective of whether or not records are in
physical or electronic formats.
Classification schemes7 may be developed a number of ways, including but not
limited to using tools provided in the DIRKS Manual. There are a number of different
methods that may be used to develop Classification schemes, such as functional
analysis or work process analysis. Classification schemes may be function based or
subject based. They may sit across the entire agency or be limited to a particular
business system, work unit, or subsection of the agency. Classification schemes can
be used to support a variety of records management practices such as:
 Sentencing of records;
 Access controls;
 Timely retrieval of records;
 Linking, grouping and naming of records;
 Security protection; and
 Identification and retrieval of vital records.
Connecting specific access restrictions and disposal triggers to specific folders then
enables classification of records to include assigning access provisions and disposal
sentences to the records. Classification schemes may be mapped to business
processes or workflows, business functions, subjects or organisations within an
agency.
By aligning an agency’s classification scheme to records management processes
agencies can:

Locate records when information associated with a function or activity is
needed as records are consistently arranged according to their business
function;
6
AS ISO 15489:1, ss. 3.5, p. 2.
Tools for classification include: Standards Australia HB 5031-2011 Records Classification Handbook;
AS 5090-2003 Australian Standard: Work Process Analysis for Recordkeeping; DIRKS Manual (for
function based schemes) available from NAA (see also the ‘Overview of Classification Tools for Records
management) <http://www.naa.gov.au/records-management/publications/index.aspx> or State Records
Authority New South Wales websites <http://www.records.nsw.gov.au/recordkeeping/dirks-manual/dirksmanual>
7
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
Demonstrate a continuous record of the agency’s business as the
classification provides a clear link between the records and business
processes that produced them; and

Assign recordkeeping controls when records are classified, for example,
having an action performed on a record linked to the appropriate access and
disposal triggers associated with records of that type.
There may be instances when an agency needs multiple classification schemes, for
example, due to the limitations of different business systems. In this case the
different terms will need to be aligned to the agency’s main classification scheme so
the correct terms to use under different circumstances are clear.
When developing a classification scheme, it is important that the following steps are
completed:

Ensure that all of the business functions of the agency have been covered;

Ensure that each function is “mutually exclusive” of all other functions;

Decide on the level of detail appropriate for the agency;

Assign terms to functions and activities;

Create a consistent and comprehensive scheme that will last;

Do not create separate schemes for paper and electronic records;

Involve stakeholders (for example, records management unit, information
technology unit, users, and managers);

Consider how the scheme can meet all the different needs of the agency;

Note that everyone has an opinion on how their data should be organised;
and

The agency commits to maintaining it.
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Classification is based on the following principle that is mandatory for agencies to
comply with:
Business records are classified in accordance with business classification
schemes that are aligned and mapped to access controls and disposal
programmes.
The Control Specification lists the requirements agencies must follow to
ensure this principle is met. These are listed below:
5
One or more business classification scheme are developed, implemented and
maintained in consultation with stakeholders to meet the agency’s business
needs.
6
Business processes, access controls and disposal programmes are assessed to
determine what can accurately be mapped to the business classification schemes
used by the agency and the results of the assessment are implemented.
7
Current business records, regardless of their format or which system they are in,
are classified in accordance with a business classification scheme.
8
Where multiple business classification schemes are used, the language used
within these schemes are aligned or mapped with each other.
The following documents contain additional information relating to
Classification:
For information on the development and implementation of business
classification schemes, including mapping schemes to disposal and
security, please see the Control Guideline 2: Classification. [Forthcoming]
For information on how to undertake compliance audits, please see the
Operations Management Guideline 5: Compliance Audits [Forthcoming].
For information on developing a Continuous Improvement Programme for
records management, please see the Operations Management Guideline
6: Continuous Improvement.
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Refer to the Control Standard to answer the next questions.
What are the main benefits of using a classification scheme to arrange
records in a logical structure and sequence?
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7.3. Tracking
Tracking is defined as ‘Creating, capturing and maintaining information about the
movement and use of records.’8 It can refer to such things as processes, procedures
and systems design, both automated and manual, within agencies and between
agencies and external bodies.
It is about having systems in place to know where records are and what has
happened to them. This involves:

Tracking the movement history of records including the date and time of
movement, location, who has custody and why the record was moved; and

Recording actions and decisions associated with the record (for example,
access, adjustments to record or reclassification).
The benefits of having a system to track record movements and actions are:

Records are able to be located quickly, enabling queries to be addressed
efficiently;

What has happened to the records and why it happened can be determined
and answered; and

Information security is supported as details of record movements and
custodianship are recorded.
Tracking is based on the following principle that is mandatory for agencies to comply
with:
Business records are accurately tracked using systems that create,
capture and maintain information about the movement of and actions
on records.
The Control Specification lists the requirements agencies must follow
to ensure this principle is met. These are listed below:
9
The movement of business records are accurately tracked, including when
they are migrated from one system to another or transferred to an external
location or party.
10
Actions related to business records are accurately tracked and maintained.
The following document contains additional information relating to
Tracking:
For information on methods for tracking records, please see the
8
AS ISO 15489:1, ss. 3.19, p. 3.
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Control Guideline 3: Tracking. [Forthcoming]
For information on how to undertake compliance audits, please see
the Operations Management Guideline 5: Compliance Audits
[Forthcoming].
Refer to the Control Standard to answer the next question.
What two types of information should record tracking systems capture?
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Case Studies
In this section of the course, we will be working as a group to examine some short
case studies. The case studies present typical recordkeeping situations in small and
large agencies. They are designed to help familiarise you with the Control Standard.
Instructions
Please complete the following steps for each case study:
Step 1
Read the case study.
Step 2
Reflect how well the agency in the case study met the requirements of the
Control Specification.
Step 3
If you were the records person at this agency, consider what else you
would have done or what you would have done differently.
Step 4
Share your insights when the case study is discussed as a group.
This exercise should take approximately 45 minutes to complete.
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8.1. Hazardous Waste Management
The Department of Hazardous Waste Management is an authority that regulates
production and disposal of hazardous waste produced by Victorian industry. As part
of this role, they produce waste management standards, issue licenses to industry
and monitor compliance with license conditions. Consequently, they collect and
produce large amounts of information about the production, disposal and transport of
hazardous waste along with information on industry compliance with license
conditions. However this information was fragmented across nine separate
databases. Some of the databases were supported centrally while others, primarily
spreadsheets, were maintained at department level. The spreadsheets used at
department level were of particular concern because:

They did not have any built in controls such as:
o
Tracking of alterations, adjustments and deletions;
o
Tracking of actions related to the records such as decisions and the
rationale for them; and
o
Access restrictions.

There was no capacity for data integration with the other databases; and

Some contained information on matters other than hazardous waste. This
made it difficult to distinguish information relating to hazardous waste.
In addition to the database deficiencies, core records could not easily be located.
Records were kept in both electronic and hard copy format and there were poor
processes around the classification of records. Records relating to a case were often
located in multiple departments making it difficult to locate and compile key records.
Duplicate and incomplete records were a large problem. There was no central
ownership and maintenance of case files. This meant the integrity of the records was
also in doubt. Where reports indentified issues of non-compliance, information about
remedial action undertaken was not clear in terms of what action was taken, when it
was taken and by whom. Likewise, information on enforcement decisions and actions
was not clear.
The integrity of the records also made it difficult to analyse and report trends which
would normally inform compliance and monitoring activities. For example the data in
its current state did not allow analysis in areas such as industry types over
represented in license breaches, repeat offenders or whether non-compliance with
certain conditions was increasing.
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8.2. Driver License Management
The Victorian Motor Board has two key responsibilities: road construction and
maintenance of vehicle and driver license registration records. Since the
organisation’s inception, the driver license records system had become increasingly
important as a means of authenticating identity and as a source of name and address
information for commercial and government organisations. However, during this time,
fraudulent license records had also become a growing problem.
Driver license records were held across four different mainframe systems. Back
office staff processing driver license applications and updates had to update data
across all four systems. Searches could take a long period of time. If a customer
record could not be found quickly, staff would often create a new identity record for a
customer in order meet performance targets. There was a strong focus in the
Victorian Motor Board on operational efficiency and effectiveness. Staff working in
the driver licensing area had to meet strict performance targets where set times were
allocated for dealing with queries, including license applications. Time pressures
often meant staff rushed through their work.
A survey of a sample of 200 new license records revealed:

Error rates of more than 50%;

In 89% of license applications, the evidence of identity provided by the client
was not confirmed; and

Copies of documents offered as evidence of identity had not been kept for
78% of licenses sampled.
Weaknesses in the way license records were captured included:

There were no mechanisms within the systems for validating data entry;

Multiple client records could be created for one person;

There were thousands of old or redundant client records, e.g., for deceased
people. There had been no archiving or cleansing of license records since
2002;

Business rules were not built into the systems;

Licence record searches took a long time. Under pressure to meet
performance targets, staff would created an additional license record rather
than waiting for the search results; and

Inability for staff to access license information on the one system leading to
staff not completing data entry for all the required fields.
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No access controls were established to limit staff access to licensing records. There
were no mechanisms for stopping staff from accessing and updating their own
records or the records of family. There was clear evidence from the agency’s finance
system that licenses had been renewed without payment. While the license systems
showed who had last updated a license record, it did not show which parts of the
record had been updated.
8.3. Council Planning Dispute
The City of Hotham Hill is a council that looks after a large suburban and semi rural
area south west of Melbourne. The area is characterised by large scale housing and
industrial estate developments that have been created to help meet the demands of
a growing population. With all the new development, the council is experiencing a
huge increase in the volume of work relating to surveying, planning, subdivision,
reviewing and approval of building permits. The volume of new developments has
also created a corresponding increase in the number of complaints from residents
about inappropriate developments. The following complaint was typical of the kinds
of issues the council had to deal with.
In 2008 the council received a complaint from residents in one of the new estates
about plans to sell an area of vacant land adjacent to their homes. The residents
were told by their developers the land would be set aside and retained as park land.
They bought their house and land packages on this understanding and had paid the
developer a premium for having their house next to the park. They only found out
about the land sale after they starting seeing for sale signs on the site.
The council had received complaints like this before. They put together a carefully
worded letter explaining that unless there was something about the parkland
explicitly written in their contracts with the building developer, there was little the
residents could do unless they were prepared to try to take legal action against the
developer.
The residents checked their building contracts and found there was nothing in them
about the adjacent land. Since all the complainants had been told the same thing by
the developer, they decided to take action against the developer through Victorian
Civil and Administrative Tribunal (VCAT). However they knew it would be their word
against the developer’s and that some hard evidence was needed to back their case.
They used a Freedom of Information request to find out the process the council had
used to zone and sell the ‘park’ land. They planned to use this in their submission to
demonstrate the council had not followed a transparent process and that they had no
reasonable opportunity to be informed of the rezoning and sale.
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The council’s Planning and Building Department provided the complainants with
copies of the surveying reports and tendering process for the sale of land. They also
provided copies of important supporting documentation such as public notifications
and the tender evaluation process. They hoped to demonstrate that the process they
had followed was transparent.
During the VCAT hearing, the member (person presiding over the case) closely
examined the council information. Using the documentation provided by both the
council and complainants, the member ascertained:

Because of previous problems the council had submitting information for legal
disputes, they brought a records management consultant in to establish a
records management program for the Planning and Building Department.

The Planning and Building Department had set up a classification scheme to
ensure electronic and hard copies of documents were created and stored
consistently;

Hard copies of all relevant records relating to land development projects were
registered and stored in a repository with strict procedures for access by
council staff and contractors;

The data collected for records included key dates, actions, alterations and
authors so the location of records was known at all times and the history of
records could be understood. All key planning documents had title sheets with
dates, authors and version numbers. Electronic documents had strict naming
conventions;

Once the records management programme was established in the Planning
and Building Department, it was progressively rolled out throughout the
council.
VCAT cleared the City of Hotham Hill of any wrong doing and commended them for
their recordkeeping practices in a time when many councils were being caught out
with poor work practices. The member concluded there had been sufficient public
notification of the land rezoning and sale and the processes used for it were sound.
.
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9.
Control
Self Assessment Table
This following table is a checklist designed to help you assess whether your agency is complying with the Control Specification requirements.
Instructions
Using the following ratings, assign your agency a level in the ‘Rating’ column for each requirement listed in the table. If you like, you can use
the ‘Priority’ column to identify which requirements are the most important for your agency to deal with. Use the ‘Comments’ column to add any
notes or observations about the rating.
Rating
Level 1 – Ad-hoc
No systematic or formal approach exists in relation to this component of records management activity.
Processes and practices are fragmented or nonexistent. Where processes and practices exist they are applied in
an ad-hoc manner.
Level 2 - Managed
Processes and practices are defined to varying degrees but are not applied consistently. Basic management
controls and disciplines are in place.
Level 3 - Standardised
Processes and practices are defined, documented, well understood and used consistently across the whole of
the agency.
Level 4 - Predictable
Processes and practices are actively managed and routinely measured to ensure delivery of desired results.
Level 5 - Optimised
Processes and practices are continuously improved through innovation and organisational learning based on
ongoing monitoring and review.
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2.1 Metadata
Principle: The 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.
Requirement
Rating
Priority Comments
1 Metadata schemes are developed and implemented
that meet agency business needs and are compliant
with legislative and regulatory requirements,
including PROV Recordkeeping Standards.
2 The minimum metadata collected cover the
following metadata attributes.9
- Identity;
- Description;
- Use;
- Event History;
- Event Plan; and
- Relation.
9
Please refer to Appendix One for more information about the metadata attributes identified.
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2.1 Metadata
Requirement
Rating
Priority Comments
3 The minimum metadata collected are consistent
with the International Standard on Managing
Metadata for Records (ISO 23081: 2009) and
PROS 99/007 Management for Electronic Records.
4 Controls are implemented to assess and verify the
accuracy of metadata
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Control
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.
Requirement
Rating
Priority Comments
5 One or more business classification schemes are
developed, implemented and maintained in
consultation with stakeholders to meet the agency’s
business needs.
6 Business processes, access controls and disposal
programmes have been assessed to determine
what can accurately be mapped to the business
classification schemes used by the agency and the
results of the assessment have been implemented.
7 Current business records, regardless of their format
or which system they are in, are classified in
accordance with a business classification scheme.
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2.2 Classification
Requirement
Rating
Priority Comments
8 Where multiple business classification schemes are
used, the language used within these schemes are
aligned or mapped with each other.
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2.3 Tracking
Principle: Movements and actions related to business records are accurately tracked using systems that support efficient records
management.
Requirement
9
Rating
Priority Comments
The movement of business records are accurately
tracked (this includes tracking records migrated from one
system to another or those transferred to an external
location or party).
10 Actions related to business records are accurately
tracked and maintained.
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10. Further Information
10.1. Help Available from PROV
PROV has provided the following resources to help agencies implement the
Standards:
Recordkeeping Fundamentals e-Learning
This course is designed to be used as compliance training to ensure agency staff
have a common understanding of basic recordkeeping concepts. The course covers:

What is recordkeeping;

Benefits of good recordkeeping;

Recordkeeping responsibilities; and

Principles from the Recordkeeping Standards relevant to all staff.
The course includes a multiple choice learning review and a completion certificate
that can be printed when the learning review is successfully completed. Basic
principles from each Standard will be added to the course and released incrementally
as each Standard is issued.
To access the e-learning module click:
http://www.elearn.com.au/prov/standards/START.htm
Standards and Policy page
PROV’s website has a dedicated Standards page with Standards, Specifications,
Guidelines, Fact Sheets, Forms and Endorsed Tools.
http://prov.vic.gov.au/government/standards-and-policy
Standards Queries
Queries about the Standards can be sent to agency.queries@prov.vic.gov.au.
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10.2. Higher Education
For agency staff seeking a formal qualification in records management, there are a
number of options available.
Records and Information Management Professional Australia (RIM)
(http://www.rimpa.com.au)
The RIMPA provides a list of accredited university courses and courses available
from private providers.
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Australian Society of Archivists (ASA)
(http://www.archivists.org.au)
The Australian Society of Archivists provides a list of accredited university courses on
their Education page.
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11. Question Answers
Creation
Q. What is the minimum metadata that needs to be collected for business records
regardless if format?
A.
- Identity;
- Description;
- Use;
- Event History;
- Event Plan; and
- Relation.
Classification
Q. What are the main benefits of using a classification scheme to arrange records in
a logical structure and sequence?
A.
They can be mapped to records management tools such as retention and disposal
authorities and access controls.
Information on a function or activity can be more easily located.
There are clearer linkages between the records and business processes that
produced them.
Tracking
Q. What two types of information should record tracking systems capture?
A.
The movement history of a record including the date and time of movement, location,
and who has custody of the record.
Actions related to the record.
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Case Study Answers
Hazardous Waste Management
In this case study, none of the principles from the Control Standard were met.
Metadata: The 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.
Information was held over nine separate databases with no control mechanisms or
contextual information.
Classification: Business records are classified in accordance with business
classification schemes that are aligned and mapped to access controls and
disposal programmes.
There was no classification scheme to ensure records were stored consistently and
with clear access rules. It is doubtful this agency would have an effective disposal
programme.
Tracking: Movements and actions related to business records are accurately
tracked using systems that support efficient records management.
There were no mechanisms to track movements of records. The capture of actions
relating to cases was particularly poor and uncontrolled. Records relating to cases
were held in multiple locations making it difficult to locate and compile a history of
records relating to a case.
Driver License Management
In this case study, none of the principles from the Control Standard were met.
Metadata: The 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.
License information was held over four mainframe systems with limited access
controls and tracking mechanisms.
Classification: Business records are classified in accordance with business
classification schemes that are aligned and mapped to access controls and
disposal programmes.
Problems with access controls were compounded by the absence of a classification
scheme that could have helped the department manage evidence of identity and the
thousands of old and redundant client records.
Tracking: Movements and actions related to business records are accurately
tracked using systems that support efficient records management.
There were limited mechanisms to track movements of and changes to records. In
fact all mainframe systems were characterised by a lack of in built business rules.
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The lack of business rules lead to the creation of duplicate license records and
records with incomplete or inaccurate client information. It also enabled staff to renew
the licenses if family and friends without payment.
Council Planning Dispute
The principles met in the case study were:
Metadata: The 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.
Tracking: Movements and actions related to business records are accurately
tracked using systems that support efficient records management.
The council’s business classification scheme and records management procedures
ensured the appropriate metadata was captured for all planning records and that they
could be tracked at all times. While the council implemented a business classification
scheme and aligned it to access controls, it is not clear whether the classification
scheme is aligned to the council’s disposal programme. This is outlined in
requirement 2 where disposal authority and sentence data is required to be collected
as part of minimum metadata capture:
The minimum metadata collected for each business record (regardless of
format) is as follows:

Identity;

Description;

Use;

Event History;

Event Plan; and

Relation;
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Appendix One: Metadata Attributes Table
Metadata Attribute
Description
Identity
‘The identity metadata group identifies the entity. Examples of the metadata elements
that appear in this category are entity type, aggregation and registration identifier.’10
Description
‘The description metadata group contains elements required to determine that this is the
entity that is required for use. Examples of metadata elements that appear in this
category include: title, abstract and external identifiers.’ 11
Use
‘The use metadata group contains information that facilitates long-term use of the entity.
Examples of metadata elements that appear in this category include: technical
environment, access, rights and language.’12
Event Plan
‘The event plan metadata group contains information used to manage the entity. The
metadata in this group consist of a linked sequence of metadata and independent
metadata elements. Examples of metadata elements that appear in this category
relevant to the records entity include: type, description, date/time and relation (linked),
event trigger and relation.’13
Event History
‘The event history metadata group documents past records events and other
management events on both the entity and its metadata. For each event it specifies the
type of event, what happened, when it took place, why it occurred, and who carried it
out. The metadata in this element are a sequence documenting a specific event.
Examples of metadata elements that appear in this category include: date/time, type,
description and relation (linked).’14
Relation
‘The relation metadata group points to a relationship entity or describes the relationships
between this entity and other entities.’15
10
International Organisation for Standardisation (ISO) 2009, ISO 23081-2 Information and
Documentation – Managing Metadata for Records – Part 2: Conceptual and Implementation Issues,
ISO, Switzerland, ss. 8.1 p. 15.
11 ISO 23081-2 2009 ss. 8.1 p. 15.
12 ISO 23081-2 2009 ss. 8.1 p. 15.
13 ISO 23081-2 2009 ss. 8.1 p. 15.
14 ISO 23081-2 2009 ss. 8.1 pp. 15-16.
15 ISO 23081-2 2009 ss. 8.1 p. 16.
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