CSU RECORDS MANAGEMENT PROGRAM
RECORDS MANAGEMENT SELF-ASSESSMENT TOOL1
INTRODUCTION
Purpose: The purpose of self-assessment is to measure how well your business unit is managing its
records and to identify areas for improvement which can feed into your Records Management Plan.
Additionally, it assists the University Records Manager to identifying common areas for improvement
which can be used to develop strategies to help improve records management practices on a Universitywide basis.
Responsibility: Business units are required to complete this self-assessment in line with the selfassessment schedule, and incorporate any identified areas for improvement into their Records
Management Plan.
INSTRUCTIONS
Step 1: Complete this coversheet.
Step 2: Respond to the questions in the following sections. Answers must accurately reflect the situation
in your business unit. This will help identify what is being done well and areas for improvement.
Complete all questions. N/A options are only available for some questions.
Step 3: Your response to a question may indicate that action is required. Remedial action should be fed
into your Records Management Plan. Proposed remedial actions are listed as part of each
question and further advice on suitable actions can also be sought from the University Records
Manager.
Step 4: A copy of the completed assessment is to be emailed to the University Records Manager for
their information (smcmenamin@csu.edu.au).
BUSINESS UNIT DETAILS
Date of self-assessment
Name of business unit
Name of Faculty (if applicable)
In completing and lodging this assessment, the business unit acknowledges that the assessment
is an accurate reflection of the records management practices in their business unit
Head of Area
Name:
Ext:
Details of person completing
the self-assessment
Name:
Ext:
Email:
Position:
1
Reproduced and adapted for CSU with permission of University of Technology, Sydney
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
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Records Management Self-Assessment Tool ENTER SCHOOL/DIVISION NAME
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REQUIREMENT
1
Responsibilities and Delegations
1.1
All staff must be aware of their
responsibilities to manage
records, your recordkeeping
system and recordkeeping
procedures, including how to
create and manage files, and
retention and destruction
responsibilities.
Are ALL staff within your
business unit aware of their
recordkeeping
responsibilities, your
recordkeeping system, and
records procedures?
Records management
responsibilities need to be formally
assigned to staff to ensure records
activities are undertaken.
Have your staff been formally
delegated records
responsibilities?
1.2
1.3
Business units are required to
review staff responsibilities and
provide details of training as part
of this self-assessment.
QUESTION
RESPONSE
Yes
POSSIBLE REMEDIAL ACTIONS
-
Brief staff in local staff meetings and remind
them of their responsibilities.
-
Ensure all new staff are advised of their
records management responsibilities.
-
Include records management requirements in
local procedures.
-
Requirements for staff awareness needs to
be included in the Communication Plan
component of your business unit’s Records
Management Plan (see section 2).
-
Include delegations in the Work Plans or
PD’s of staff.
No (action required)
Yes
No (action required)
Complete Section A of Attachment One.
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Records Management Self-Assessment Tool ENTER SCHOOL/DIVISION NAME
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REQUIREMENT
2.
Planning
2.1
All business units must develop a
Records Management Plan (or be
covered by a broader Plan at a
Faculty or Unit level). This plan
includes:
2.2
2.3
-
areas for improvement
identified in self-assessments
and risk assessments.
-
regular actions such as
archiving, destruction, training,
and self-assessment.
-
new records management
projects.
To ensure staff awareness of their
recordkeeping responsibilities,
business units must include a
Communication Plan as part of
their business unit’s Records
Management Plan. This will detail
strategies for communicating
requirements to staff and
maintaining their awareness.
Business units are required to
identify records that relate to their
business processes and provide a
summary as part of this selfassessment.
QUESTION
Does your business unit
have a CURRENT Records
Management Plan?
Does your business unit
have a CURRENT
Communication Plan for
records management, either
separate or as part of your
Records Management Plan?
RESPONSE
Yes
POSSIBLE REMEDIAL ACTIONS
-
Create a Records Management Plan by
completing this Self-assessment Tool and the
Records Storage Risk Assessment Tool (see
also section 6).
-
Remedial actions included in these tools and
the Records Management Plan template can
assist in the development of your Records
Management Plan.
-
Include a Communications Plan as part of
your Records Management Plan (see section
2.1).
-
The University’s Records Management Plan
template can assist in the development of
your Records Management Plan.
No (action required)
Yes
No (action required)
Complete Section B of Attachment One.
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Records Management Self-Assessment Tool ENTER SCHOOL/DIVISION NAME
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REQUIREMENT
3
Creation of Corporate Files
QUESTION
RESPONSE
POSSIBLE REMEDIAL ACTIONS
** Note: network / shared drives and email accounts are NOT compliant recordkeeping systems.
Please enter name of system/s used by your business unit: ___________________________________________________________________
3.1
Corporate files must be created to
document the business activities:
-
of your business unit,
-
you undertake on behalf of
another business unit, and/or
-
you undertake on behalf of the
University as a whole.
Are corporate files created to
hold the documents relating
to the activities of your
business unit?
Yes
Files must be created as close to
the commencement of an activity
as practicable. It is not appropriate
to leave file creation until the end
of an activity .This prevents the
ability to manage and locate
records and can result in
forgetting to put records into the
system.
Are ALL corporate files
created at, or closely
following, the
commencement of a new
issue or business activity?
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Identify any records held by your business
unit and assess whether they should be
corporate files.
-
Ensure staff are aware of their
responsibilities regarding file creation and
that they are trained to facilitate file creation
(see section 1).
-
Include the requirement for corporate file
creation in local procedures as appropriate..
-
Ensure staff are aware of their
responsibilities regarding file creation and
that they are trained to facilitate file creation
(see section 1).
-
Include the requirement for corporate file
creation in local procedures as appropriate.
No (action required)
N/A*
Note: Corporate files may not
need to be kept by your business
unit if they are already created
and kept officially by another
business unit.
3.2
-
Yes
No (action required)
N/A*
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REQUIREMENT
QUESTION
3.3
To create a corporate file it must
be registered in an approved
digital recordkeeping system
accurately and in a consistent
manner. This facilitates file
management and retrieval. It
assists in identifying a file’s
location, who can access it, and
future archiving and records
destruction activities.
Are ALL corporate files (and
individual file parts, where
required) registered
consistently and accurately?
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
RESPONSE
Yes
POSSIBLE REMEDIAL ACTIONS
-
Ensure staff are aware of their
responsibilities for file creation and that they
are trained to facilitate file creation (see
section 1).
-
Ensure staff are trained in the use of the
digital recordkeeping system.
-
Include the requirement for corporate file
creation in local procedures as appropriate.
-
Register any un-registered corporate files
No (action required)
N/A*
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REQUIREMENT
4.
Filing Documents
QUESTION
RESPONSE
POSSIBLE REMEDIAL ACTIONS
** Note: network / shared drives and email accounts are NOT compliant digital recordkeeping systems.
4.1
4.2
Documents that relate to business
activities and are required to
explain what happened, or provide
evidence of decisions, advice, etc,
must be filed onto corporate files,
and not kept loose in desks, draws
or on unofficial files.
Not all corporate records are hardcopy/paper documents. Some are
“born digital” such as emails,
Word and Excel documents etc.
Email folders, hard drives, and
shared network drives are NOT
recordkeeping systems. Any
emails and other electronic
documents relating to activities
and explain what happened, or
provide evidence of decisions,
advice, etc. must be filed into a
compliant recordkeeping system.
Are all relevant corporate
documents in your business
unit filed onto official file in a
consistent and timely
manner?
Are all relevant official
electronic documents,
including email, must be
captured into a compliant
recordkeeping system?
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Yes
-
Ensure staff are aware of their
responsibilities for filing documents on
corporate files (see section 1).
-
Include the requirement for capture of
documents onto corporate files in local
procedures as appropriate (this may detail
what documents are required to be created
and captured).
-
Ensure corporate files are created in a timely
manner (see section 2).
-
Ensure staff are aware of their
responsibilities for capturing relevant
electronic documents and email into
compliant recordkeeping systems (see
section 1).
-
Establish protocols for the use and
management of local hard drives and
network drives to better manage locally
stored information and recordkeeping
requirements.
No (action required)
N/A*
Yes
No (action required)
N/A*
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REQUIREMENT
QUESTION
4.3
Areas should be maintaining full
and accurate records of their
business activities. Sometimes
this necessitates the creation of
records to document verbal advice
and decision making processes.
Does your business unit
capture all relevant decisions
and advice provided or
received verbally for capture
into a compliant
recordkeeping system?
Verbal decisions may be
documented through minutes and
file notes (hand-written or typed),
or via email confirmations
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
RESPONSE
Yes
POSSIBLE REMEDIAL ACTIONS
-
Ensure staff are aware of their
responsibilities for documenting verbal
decision-making activities (see section 1).
-
Include the requirement for capture of verbal
decisions relating to specific business
activities and processes in local procedures
as appropriate (this may detail what
decisions need to be documented).
-
Provide staff with file note templates to
encourage capture of verbal decisions.
No (action required)
N/A*
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REQUIREMENT
5.
Managing Physical Files
QUESTION
RESPONSE
POSSIBLE REMEDIAL ACTIONS
* A N/A response to the questions in section 5 can only apply if your business unit uses a compliant digital recordkeeping system to capture and
manage ALL official records in a digital environment. If some physical / hard-copy records exist, a Yes or No response is required.
Note: network / shared drives and email accounts are NOT compliant digital recordkeeping systems.
5.1
5.2
It is important that business units
know where their official records
are located to ensure:
-
files can be accessed quickly,
-
files are accessed by the
appropriate people, and
-
files are not lost.
Even where file locations are
tracked, care needs to be taken to
ensure files are not lost in the
process of their use and that they
are returned when no longer
required.
Are the locations of your
files recorded appropriately
when they move between
staff or storage areas?
Yes
Are records regularly being
lost or misplaced when
borrowed by staff?
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
-
Put in place a local procedure for tracking file
locations.
N/A*
-
Ensure file locations are accurate and up-todate.
Yes (action required)
-
See remedial actions section under 5.1.
No
-
Follow up with staff who have borrowed files
and not returned them within an agreed
timeframe.
-
Check on the location of files on a yearly
basis to ensure locations are up-to-date.
-
Mark any file that can’t be located as
“missing”.
-
Where staff are leaving the employment of
your business unit, ensure all files are
returned before they leave.
No (action required)
N/A*
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REQUIREMENT
QUESTION
5.3
Your records should be
considered in relation to any
relocation plans. This includes:
Are parts of, or your entire
business unit, moving before
your next scheduled selfassessment?
-
file storage in your new
location,
-
preliminary archive work,
-
managing the transfer during
the move, and
-
updating of file locations in the
recordkeeping system where
required.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
RESPONSE
Yes (action required)
POSSIBLE REMEDIAL ACTIONS
-
Plan the management of your records during
the move.
-
Ensure official records are not thrown out as
part of the pre-move cleanup without the
appropriate records destruction authorisation.
-
Keep a record of which boxes contain official
files and check immediately upon relocation
that boxes have not been lost.
-
Update file location details in the
recordkeeping system after a move.
No
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6
6.1
REQUIREMENT
It is important that locations used
for records storage are
appropriate for that purpose.
Risks can change over time. It is
necessary to undertake your risk
assessment in line with your selfassessments.
Where a business unit uses a
local or other storage location for
storage of closed / archived files:
-
-
6.3
RESPONSE
POSSIBLE REMEDIAL ACTIONS
Storage of Records
As part of the University’s Risk
Management and Disaster
Recovery Plan for Records and
Recordkeeping Systems, business
units are required to complete the
Records Storage Risk
Assessment Tool.
6.2
QUESTION
a risk assessment of the
location must be completed
using the Records Storage
Risk Assessment Tool; and
the location must be approved
by the University Records
Manager.
Business units are required to
identify the storage areas used to
store their records.
Has your business unit
completed a risk assessment
on the location used to store
your current records in line
with your business unit’s
self-assessment schedule?
Yes
-
Complete the Records Storage Risk
Assessment Tool for the area you store your
current records (one assessment can be
completed to cover your whole office area
where files are stored in one larger business
unit location).
-
Complete the Records Storage Risk
Assessment Tool for each separate storage
location.
No (action required)
Note: this refers to those
records which are still in use by
your area and which may be
kept in your office. A separate
question will cover local
archival storage.
Has your business unit
completed a records storage
risk assessment on each
separate local or remote
location used to store your
archived records?
Yes
No (action required)
N/A*
*If you have no such locations,
select N/A.
Note: this does not include the
use of University Archives
Centre.
If yes to Q.6.3, complete Section C in Attachment One.
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7.
7.1
7.2
7.3
REQUIREMENT
QUESTION
RESPONSE
POSSIBLE REMEDIAL ACTIONS
Security – Access and Confidentiality
Records held by your business
unit must be secure from
unauthorised access. This applies
to official and unofficial records.
Are all physical / hard-copy
records secure from
unauthorised access?
Confidential records have a higher
level of security than standard files
and should be stored in locked
cabinets when not in use.
Confidential records include, but
are not limited to, records which
are legal or commercial in
confidence, or records containing
personal information.
Are all physical / hard-copy
confidential records stored
in a locked drawer / room
when not in use?
HP TRIM is the control system for
your business unit’s records.
Individual HP TRIM users are
responsible for ensuring
unauthorised staff do not access
HP TRIM via their login.
Is access to HP TRIM in your
area limited to authorised HP
TRIM users?
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Yes
-
If your business unit is open to the public,
ensure adequate measures are in place to
protect files from unauthorised access or
theft. This may be through limiting public
access to your office areas or securing files
within the areas.
-
Keep confidential files in locked and secure
areas. Ensure they can only be accessed by
authorised staff.
-
Ensure HP TRIM users are appropriately
trained.
-
Users of HP TRIM should be required to lock
their workstations when not at their desks.
This is essential if working in an open office
or publicly accessible business unit.
No (action required)
Note: this applies to corporate
records and duplicates/copies.
Yes
No (action required)
N/A*
*If you have no confidential
records, select N/A.
Note: this applies to corporate
records and duplicates/copies.
*If you have no HP TRIM users
in your area, select N/A.
Yes
No (action required)
N/A*
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Records Management Self-Assessment Tool ENTER SCHOOL/DIVISION NAME
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REQUIREMENT
QUESTION
7.4
To comply with privacy and
confidentiality requirements,
confidential documents, including
any document containing personal
information, must be disposed of
securely. Locked security bins or
shredders must be used, not
garbage bins or recycling bins.
Are all confidential records,
whether official or unofficial,
physical / hard-copy or
digital, disposed of in a
confidential manner?
7.5
Some university staff have access
to personal information relating to
students and / or other individuals.
Staff must be aware of their
obligations in relation to privacy
and general confidentiality to
ensure they manage these
records appropriately. All business
units will hold some personal
information, even if they are not
involved in the management of
students, such as local staff files,
recruitment information etc.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
RESPONSE
Yes
POSSIBLE REMEDIAL ACTIONS
-
Ensure staff are aware of their obligations
relating to destruction of confidential
documents, such as use of shredders or
locked security bins.
-
If your business unit does not have access to
a secure method of destruction, contact the
University Records Manager regarding a
locked security bin.
-
Ensure any electronic media, such as
computers, USB, or other digital devices are
adequately wiped
-
Consult with the University Records Manager
regarding the confidential destruction of any
other media, such as CDs, video tapes etc.
-
Include privacy and confidentiality
responsibilities in local procedures.
-
Ensure staff are reminded regularly of their
obligations.
No (action required)
N/A*
*If you have no confidential
records, select N/A.
Are staff within your
business unit aware of their
obligations in relation to
privacy and confidentiality of
information?
Yes
No (action required)
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Records Management Self-Assessment Tool ENTER SCHOOL/DIVISION NAME
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REQUIREMENT
8
Digital Recordkeeping Systems
8.1
Any database or digital system
that creates and/or stores official
records must be an approved
digital recordkeeping system.
Such systems have certain
requirements for data, security,
longevity of the information
contained within, and migration
practices.
Does your business unit
capture records using a
digital system in lieu of
putting those records into
HP TRIM?
Yes (continue at Q8.2)
Business units who are
responsible for digital systems
used to store official records are
responsible for ensuring they are
compliant systems. Systems need
to be assessed to identify if they
hold official records, and if they
do, whether they are compliant.
Is your business unit
responsible for managing the
digital system in question
(i.e. the system
owner/process owner)?
Yes (continue at Q.8.3)
8.2
QUESTION
RESPONSE
POSSIBLE REMEDIAL ACTIONS
No (go to Q.9)
No (go to Q.9)
N/A* (go to Q.9)
*If you responded No to Q.8.1,
select N/a.
Note: network / shared drives
and email accounts are NOT
compliant digital recordkeeping
systems.
8.3
Business units are required to
identify digital systems where they
are responsible for the content.
If yes to Q.8.2, complete Section D in Attachment One.
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Records Management Self-Assessment Tool ENTER SCHOOL/DIVISION NAME
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REQUIREMENT
9.
Archiving and Destruction
9.1
It is important that business units
have control of all their records,
whether official or unofficial, or
whether created by them or
inherited from predecessor
business units or staff.
Does your business unit
have any records where:
Areas need to know what records
they hold and those records need
to be appropriately managed and
not dumped in local storage areas.
2) no-one is responsible for
maintaining them, inc.
access, archiving,
destruction etc.
9.2
9.3
QUESTION
RESPONSE
Yes (action required)
POSSIBLE REMEDIAL ACTIONS
-
A project will need to be established by your
business unit to resource the cleanup work.
This will involve identifying the records, and
identifying whether they are still required and
organising their appropriate management, or
identifying whether they can be destroyed
and organising the appropriate approvals and
destruction. The University Records
Manager can provide advice on each
particular case.
-
Include a cleanup project in your business
unit’s Records Management Plan.
-
Newer areas may not be ready to destroy
records. However, if you are simply storing
them indefinitely this can be an issue, in
particular in relation to space and
responsibilities in relation to privacy of
personal information. Action may be required
to assess how long the records should be
retained and organising the appropriate
destruction.
-
Ensure staff are aware of their
responsibilities in relation to the appropriate
destruction of records.
-
Include the requirement for records
destruction and appropriate authorisation in
local procedures as appropriate.
No
1) the type of records and
their contents are a
mystery as they were
inherited; AND/OR
When destroying corporate
records, there are certain retention
requirements that need to be
satisfied. As such, destruction of
ALL corporate records, whether
hard-copy or digital, MUST be
authorised through the completion
of a Records Destruction
Authorisation Form.
Has your business unit
destroyed official records in
the past?
Yes
Destruction of corporate records
should be an ongoing process.
However it must be appropriately
authorised to ensure retention
requirements, and CSU’s
administrative, legal, financial
needs are satisfied.
Does your business unit
appropriately authorise the
destruction of all official
records by completing a
Records Destruction
Authorisation form?
Yes
No (action required)
No (action required)
N/A
*If your response to Q.9.2 was
No, select N/A.
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Records Management Self-Assessment Tool ENTER SCHOOL/DIVISION NAME
NO.
REQUIREMENT
QUESTION
10
Risk Management and Disaster Prevention
10.1
Business units are required to
create and maintain a “Records
Recovery Priority List” for their
business unit to assist in
prioritising the recovering of
records in the event of a disaster.
Does your business unit
have a Records Recovery
Priority List?
RESPONSE
Yes
No (action required)
POSSIBLE REMEDIAL ACTIONS
-
Assess the types of records your business
unit holds, where they are located, and
create a brief priority list. It is best this list be
retained off-site with key personnel and kept
up to date (these details were requested
under Q.2.2).
This is part of the University’s Risk
Management and Disaster
Recovery Plan for Records and
Recordkeeping Systems.
End of the assessment. Please complete the sections in Attachment One where directed in the above assessment.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Page 15 of 19
Records Management Self-Assessment Tool – Attachment One
A. Records Contact Details (referred to in section 1.3)
Attachment One
Please specify your business unit’s Records Contacts and the level of records training undertaken.
Records Contact role
Contact Details
Secondary Records
Delegate
1.
Definition: The senior
staff member in your
business unit
responsible overall for
records management.
Local Records
Delegate/s
Definition: The staff in
your business unit
delegated responsibility
for file creation,
registration, archiving, &
destruction activities.
[List all Local Records
Contacts. Add more
rows if required].
Mandatory Training *
Position:
Records Delegate training session
or refresher training session within
the past 3 years.
Phone:
Archiving and Disposal Workshop
Name:
Records Awareness Session
HP TRIM Training
Email address:
1.
Name:
Records Awareness Session
Position:
Records Delegate training session
or refresher training session within
the past 3 years.
Phone:
Email address:
2.
Additional Training
HP TRIM Training
Name:
Records Awareness Session
Position:
Records Delegate training session
or refresher training session within
the past 3 years.
Phone:
Email address:
Archiving and Disposal Workshop
Archiving and Disposal Workshop
HP TRIM Training
* Remedial Actions Where Mandatory Training Has Not Been Undertaken
If Records Delegates have NOT completed the required mandatory training required for their role, liaise with the University Records Manager to book the
required training.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Page 16 of 19
Records Management Self-Assessment Tool – Attachment One
B. Activities of your business unit and records generated (referred to in section 2.3)
Attachment One
Please specify the type of activities your area undertake, and provide information relating to the records generated and recovery priorities*. Add additional rows
if required.
Only For Records Held By
Your Business Unit
Activity
Summary of Records Generated
Where is the Official Record Kept?
Priority For Disaster Recovery
Specify On A Scale From
1=High to 3=Low
1
1
2
3
2
1
2
3
3
1
2
3
4
1
2
3
5
1
2
3
6
1
2
3
7
1
2
3
8
1
2
3
9
1
2
3
10
1
2
3
* A Records Recovery Priority List is a list prioritising records from the most important to less important, and where they are kept. This list will assist in planning
an effective and efficient response to a disaster situation. A Records Recovery Priority list can be developed separately from this self-assessment. This may be
required by business units with complex records, or where business units store records on the behalf of others.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Page 17 of 19
Records Management Self-Assessment Tool – Attachment One
C. Archival Storage Locations (Complete only if you answered Yes to question 6.2)
Attachment One
Provide details of storage locations used by your business unit to store records. Add additional rows if required.
Campus / Building /
Room Number
Owner / Responsible Area For The Location
1.
2.
3.
Question
Response
Has the location been approved for
records storage?
Yes
Has the location been approved for
records storage?
Yes
Has the location been approved for
records storage?
Yes
No*
No*
No*
* Remedial Actions for a No Responses
If your records storage areas have not been approved:
-
Include remedial actions arising from the Records Storage Risk Assessment Tool in your business unit’s Records Management Plan.
-
Contact the Records Manager to discuss records storage issues and alternate storage options.
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Division of Information Technology – Enterprise Architecture
Page 18 of 19
Records Management Self-Assessment Tool – Attachment One
D. Digital Recordkeeping Systems (Complete only if you answered Yes to question 8.2)
Attachment One
Provide details for all information systems used to store official records that are the responsibility of / owner by your business unit. Add additional rows if
required.
System Name
Summary of Purpose of the System/Records Held
1.
2.
Question
Response
Has the system been assessed for
digital recordkeeping compliance?
Yes
Has the system been approved as a
compliant digital recordkeeping
system?
Yes
Has the system been assessed for
digital recordkeeping compliance?
Yes
Has the system been approved as a
compliant digital recordkeeping
system?
Yes
No*
No*
No*
No*
* Remedial Actions for a No Responses
If your system has not been assessed for digital recordkeeping compliance:
-
Complete the Digital Recordkeeping Identification Tool.
If your system is not a compliant digital recordkeeping system:
-
Undertake action to comply with the digital recordkeeping system requirements specified in the Digital Recordkeeping Identification Tool.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Page 19 of 19