Recordkeeping Assessment (RKA) - Pre-release check

In order for the University to comply with Public Record Office Victoria standards, it is important that any business system utilised to manage University records is able to comply with the relevant recordkeeping system requirements. We have templates available to assess a business system's recordkeeping compliance. If certain requirements are unmet, the risks must be identified and appropriately actioned.


Information and records system assessment pre-release check (Level 1)
This form is used to evaluate a system for pre-release recordkeeping compliance. It should be completed pre-release by someone involved in delivering the project. Once completed, Records Management will create a ticket via myServices.

FAQs

  1. Why am I being asked to complete this?
  2. Will this slow down my project or affect our planned release date?
  3. Who should fill in this assessment?
  4. How long is this assessment?
  5. What happens after I submit this assessment?
  6. This system doesn't really create records, do I still need to do an assessment?
  7. I don't understand what you mean by 'records'?
  8. What is a data management plan?
  9. I don't understand what you mean by 'disposal'?
  10. What is the RDA?
  11. Who can help me?

1. Why am I being asked to complete this?

The form asks for the minimum information that we need to determine if the system, process or project you are working on might contain University records, and helps us begin to understand if there might be risks of non-compliance with Public Record Office of Victoria (PROV) standards. Four key areas of concern are:

  • Will the records held in the system have integrity?
  • How long do you need to keep the records for? (see ‘disposal’ below)
  • Can you export/migrate the records out (if needed)?
  • Can you run reports in the system?

It also asks a few brief questions about Disaster Recovery planning, which helps the University to meet other compliance requirements and reduce risk.

For the purposes of recordkeeping, Monash University is looked upon in the same way as any state government ‘agency’ would be, meaning that it must comply with the relevant recordkeeping rules and regulations as set out by the Public Record Office of Victoria (PROV).

Traditionally many records existed in hard copy files, but nowadays the bulk of the University’s important records reside in electronic format within University systems. In some cases, many of the University systems we use day to day, have been primarily designed to complete certain functions related to core University business, e.g. student administration, teaching, research, HR management, finance management, governance, etc. They may not necessarily be designed with recordkeeping requirements in mind. There are different recordkeeping requirements (often less demanding ones) for say the corporate sector (which many of these systems are often marketed to), whereas for government and University’s and the like, all need to adhere to PROV recordkeeping standards.

2. Will this slow down my project or affect our planned release date?

No. We are very mindful of eSolutions (and University-wide) timelines and that things need to keep moving along to schedule. Our checks aim to be deliberately high level and also efficient to complete.

If our first level of checks reveal any issues, we will work with you to figure out the best approach. In many instances this might be an agreement to undertake a more detailed assessment (‘Level 2’) at a date convenient to the project. We may also provide you and your system/service/project with a data management plan.

Remember though, the earlier you include us the more help we can be to your project and help you to reduce and control the likelihood and impact of any obvious recordkeeping risks that may exist in your system/service/project.

The most obvious recordkeeping risks usually occur in relation to not understanding how long the records in your system need to be kept for and what action needs to be taken in regards to this. We have years of experience with this kind of work and are here to help navigate this for you and make it as easy as possible.

3. Who should fill in this assessment?

It should be completed pre-release by someone involved in delivering the project. This might be a Service Delivery Manager, Project Manager, or anyone else on the team tasked with initiating an assessment.

4. How long is this assessment?

The online form should take less than 10 minutes to complete, depending on how much detail is provided when invited to provide comments on some questions (most are yes/no questions).

5. What happens after I submit this assessment?

Once the form is submitted the Records Management team will get in touch to guide you through the next steps in the assessment.

6. This system doesn't really create records, do I still need to do an assessment?

Yes – it's better to fill in the form and we can help you confirm if that is the case. However, in most instances any system involved in University business is likely to create some kind of record.

7. I don't understand what you mean by 'records'?

See the explanations on our About Recordkeeping page.

8. What is a data management plan?

A Records & Archives Data Management Plan (DMP) outlines any relevant information and management of risks (and steps to mitigate those risks) for an eSolutions process, system or activity. The purpose of the DMPs is to ensure that the data and/or records created and captured by a system, service or process are managed in accordance with the Records Management legal and regulatory framework.

9. I don't understand what you mean by 'disposal'?

In a records management context ‘disposal’ refers to the permanent destruction or archiving of records and information. When a record is permanently destroyed, all evidence of the record (including all copies) are to be destroyed by non-recoverable methods. When a record is ‘archived’ it means the record will be moved to the University Archive Repository for permanent storage. Only a very small set of University records are suitable for permanent archiving.

Monash University must dispose of corporate records based on the standards set by the Public Record Office Victoria (PROV). Monash has translated those standards into the Monash University Retention and Disposal Authority (RDA).

10. What is the RDA?

See the Monash University Retention and Disposal Authority (RDA).

11. Who can help me?

If you have any questions about records management, recordkeeping assessments, or your project, please contact Records Management.