UTS RECORDS MANAGEMENT PROGRAM

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Self
-
Assessment Tool
, University Records

1
/
19

Governance Support Unit, September 2010

UTS RECORDS MANAGEME
NT PROGRAM

RECORDS MANAGEMENT
SELF
-
ASSESSMENT
TOOL

UNIVERSITY RECORDS,
GOVERNANCE SUPPORT U
NIT

Level 26, Building 1, Broadway.


INTRODUCTION

Purpose
:

The purpose of
self
-
assessment

i
s to measure how well
your business unit is
managing
its

records
and t
o identify areas for improvement

which can feed into
your
Records Management Plan.
Additionally, it assists
University Records to identifying
common area
s for improvement which can be
used to develop
strategies
to
help improve records management practices

on a University
-
wide basis.
For
further information, see the University Records website’s self
-
assessment and
p
lanning page.

Responsibility
:
B
usiness
u
ni
ts are
r
equired to complete
this
self
-
assessment
in line with the
s
elf
-
a
ssessment
s
chedule
, and incorporate any identified areas for improvement into their Records
Management Plan.



For faculties, the delegated Primary Records Contact is responsible for ov
erseeing the
self
-
as
sessment process to ensure that
each of the Faculty’s
b
usiness
u
nits complete the
s
elf
-
a
ssessment as
scheduled.



For non
-
faculty Units, Offices, Centres etc., the delegated Primary Records Contact is responsible
for ensuring that
the

s
elf
-
a
ssessment
tool
is completed for their Unit as scheduled. They
should
individually assess each sub
-
unit and feed the results into one assessment for the whole unit.


INSTRUCTIONS

Step 1
:

Complete this coversheet.

Step 2
:

Respond to the questions in the following sections. Answers must accurately reflect the situation
in
you
r

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 s
ome 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 r
emedial actions are listed

as part of each
question and
further
advice on suitable
actions
can also be sought from University Records.

Step 4
:

A copy of the completed assessment is to be emailed by the Head of
area
, or the Primary
Records Contact, to University Records for their information

(
U
niversity.Records@uts.edu.au
).


BUSINESS UNIT DETAIL
S

Date

of s
elf
-
as
sessment


Name of business u
nit


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:




Records Management Self
-
Assessment Tool



Self
-
Assessment Tool
, University
Records

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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

1

Responsibilities and Delegations

1.1

All staff must be aware of their
responsibilities to manage
records, your recordkeeping
system and recordkeeping
procedures, including who your
local records contacts are, 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?


Yes


No

(
a
ction required)

-

Brief staff in local staff meetings and remind
them of their responsibilities.

-

Ensure all new

staff attend a bi
-
monthly
Records Management Awareness Session
(advertised through Staff Notices, via
Records Contacts, and on the University
Records
training webpage
.

-

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).

1.2

Records management
responsibilities need
to be formally
delegated to Records Contacts to
ensure records activities are
undertaken.

Have your Records Contacts
been formally delegated
records responsibilities?


Yes


No (action required)

-

Discuss the Records Contact role with
delegated staff.

-

Include delegations in the Work Plans
or
PD’s of Records Contacts.

1.3

Business units
are required to
review Records Contact
d
elegations and provide details of
training
as part of this self
-
assessment.

Complete Section A of Attachment One.





Records Management Self
-
Assessment Tool



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-
Assessment Tool
, University
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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE
REMEDIAL ACTIONS

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:

-

areas for improvement
identified in self
-
assessments
and risk assessments.

-

regular actions such as
archiving, destruction, vital
records lodgment, training,
and self
-
assessment.

-

new records management
projects
.

Does your business unit
have a
CURRENT

Records
Management Plan?


Yes


No (action required)

-

Create a Records Management Plan by
completing this Self
-
assessment Tool and the
Records Stor
age 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
Manag
ement Plan.

2.2

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
maintainin
g their awareness.

Does your business unit
have a
CURRENT

Communication Plan for
records management, either
separate or as part of your
Records Management Plan?


Yes


No (action required)

-

Include a Communications Plan as part if
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.

2.3

Business units
are required to
identify records that relate to
their
business processes and provide a
summary as part of this self
-
assessment.

C
omplete Section B of Attachment One.




Records Management Self
-
Assessment Tool



Self
-
Assessment Tool
, University
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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

3

Creation of Official Files


* A
N/A

response to the questions in section 3 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, or a digital recordk
eeping system has NOT been
assessed as compliant, a
Yes

or
No

response is required

Note: network / shared drives and email accounts are NOT compliant recordkeeping systems.

3.1

Official files must be created to
document the business activities:

-

of your
business unit,

-

you u
ndertake on behalf of
another business unit, and/or

-

you u
ndertake on behalf of

the
University as a whole.

Note: Official files may not need to
be kept by your business unit if
they are already created and kept
officially by another bus
iness unit.

Are official files created to
hold the documents relating
to the activities of your
business unit?


Yes


No (action required)


N/A*

-

Identify
any records held by your business
unit and assess whether they should be
official files.

-

Ensure staff are aware of their
responsibilities regarding file creation and
that there is a delegated and trained Records
Contact to facilitate file creation (see se
ction
1).

-

Include the requirement for official file
creation in local procedures as appropriate..

3.2

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 official files created
at, or closely following, the
commencement of a new
issue or business activity?


Yes


No (action required)


N/A*

-

Ensure staff are aware of their
responsibilities regarding file creation and
that there is a delegated and trained Records
Contact to facilitate file creation (see section
1).

-

Include the req
uirement for official file
creation in local procedures as appropriate..


Records Management Self
-
Assessment Tool



Self
-
Assessment Tool
, University
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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

3.3

Official files need to be created in
an approved format. The standard
file format consists of an approved
file cover with three
-
piece plastic
clip and file labelling.

Are ALL
official files created
in the approved official file
format, or a format approved
for your use by University
Records?


Yes


No (action required)


N/A*

-

Files to
be transferred to approved standard
file formats and appropriate labels applied.

-

Consult University Records in relation to
gaining approval for any non
-
standard format
in use.

3.4

To create an official file it must be
registered in TRIM 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 act
ivities.

Are ALL official files (and
individual file parts, where
required) registered in the
records database
consistently and accurately?


Yes


No (action required)


N/A*

-

Ensure st
aff are aware of their
responsibilities for file creation and that there
is a delegated and trained Records Contact
to facilitate file creation (see section 1).

-

Ensure Records Contacts are trained in
TRIM

-

Include the requirement for official file
creation
in local procedures as appropriate.

-

Register any un
-
registered official files

-

Consult with University Records over any
issues with data inaccuracy in TRIM.





Records Management Self
-
Assessment Tool



Self
-
Assessment Tool
, University
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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

4.

Filing Documents


* A
N/A

response to the questions in section 4 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, or a digital recordk
eeping system has NOT been
assessed as compliant, a
Yes

or
No

response is required.

Note: network / shared drives and email accounts are NOT compliant digital recordkeeping systems.

4.1

Documents that relate to business
activities and are required to
explain what happened, or provide
evidence of decisions, advice, etc,
must be filed onto official file, and
not kept loose in desks, draws or
on unofficial files.

Are all relevant official
d
ocuments in your business
unit filed onto official file in a
consistent and timely
manner?


Yes


No (ac
tion required)


N/A*

-

Ensure staff are aware of their
responsibilities for filing documents on official
file (see section 1).

-

Include the requirement for capture of
documents onto official file in local
procedures

as appropriate (this may detail
what documents are required to be created
and captured).

-

Ensure official files are created in a timely
manner (see section 2).

4.2

Not all official records are hard
-
copy/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 onto
official file.


Are all relevant official
electronic documents,
including email, printed for
filing onto official file?


Yes


No (action required)


N/A*

-

Ensure staff are aware of their
responsibilities for printing and filing relevant
electroni
c documents and email on official file
(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.


Records Management Self
-
Assessment Tool



Self
-
Assessment Tool
, University
Records

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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

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.

Verbal decisions may be
documented through minutes and
file no
tes (hand
-
written or typed),
or via email confirmations (which
are printed for file as per section
3.2).

Does your business unit
capture all relevant decisions
and advice provided or
received verbally for filing
onto official file?


Yes


No (action required)


N/A*

-

Ensure staff are aware of their
responsibilities for documenting verbal
decision
-
making act
ivities for official file (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 st
aff with file note templates to
encourage capture of verbal decisions.





Records Management Self
-
Assessment Tool



Self
-
Assessment Tool
, University
Records

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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

5.

Managing Physical Files


* 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

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.

It is recommended that file
locations be kept up
-
to
-
date in
TRIM.
Alternatively, areas may
use a borrow card system.

Are the locations of your
files recorded appropriately
when they move between
staff or storage areas?


Yes


No (action required)


N/A*

-

Put in pl
ace a local procedure for tracking file
locations.

-

Ensure file locations are accurate and up
-
to
-
date in TRIM.

Note: If your files have TRIM barcodes,
portable barcode readers may be borrowed
from University Records to assist in
undertaking a barcode audit
of your files.

5.2

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 records regularly being
lost or misplaced when
borrowed by
staff?


Yes


No (action required)


N/A*

-

See remed
ial actions section under 5.1.

-

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
“missi
ng” in TRIM.

-

Where staff are leaving the employment of
your business unit, ensure all files are
returned before they leave.


Records Management Self
-
Assessment Tool



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-
Assessment Tool
, University
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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

5.3

Your records should be
considered in relation to any
relocation plans. This includes:

-

file storage in your new
location,

-

preliminary archive work,

-

managing the transfer during
the move, and

-

updating of file locations in
TRIM where required.

Are parts of, or your entire
business unit
,

moving before
your next scheduled self
-
assessment?


Yes (action required)


No


-

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 TRIM af
ter a
move.





Records Management Self
-
Assessment Tool



Self
-
Assessment Tool
, University
Records

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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

6

Storage of Records

6.1

It is important that locations used
for records storage are
appropriate for that purpose.

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
.


Risks can change over time. It is
necessary to undertake your risk
assessment in line with your self
-
assessments.

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?

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.


Yes


No (action required)

-

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).

6.2

Where a business unit uses a
local or other

storage location for
storage of closed / archived files:

-

a risk assessment of the
location must be completed
using the
Records Storage
Risk Assessment Tool
;

and

-

the location
must be approved
by University Records.

Has your business unit
completed a risk assessment
on each separate local or
remote location used to store
your archived records in line
with your business unit’s
self
-
assessment schedule?

*If you have no such locati
ons,
select N/A.

Note: this does not include the
use of University Records.


Yes


No (action required)



N/A*

-

Complete the
Records Storage Risk
Assessment Tool

f
or each separate storage
location.

6.3

Business units
are required to
identify the storage areas used to
store their records.

If yes to Q.6.3, c
omplete Section C in Attachment One.



Records Management Self
-
Assessment Tool



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-
Assessment Tool
, University
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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

7.

Security


Access and Confidentiality

7.1

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?

Note: this applies to official and
unofficial records, includ
ing
copies.


Yes


No (action required)

-

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
acce
ss to your office areas or securing files
within the areas.

7.2

Confidential records have a higher
level of security that 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?

*If you have no confidential
records, select N/A.

Note: this
applies to official and
unofficial records, including
copies.


Yes


No (action required)


N/A*

-

Keep confidential files in locked and secure
areas. Ensure they can be accessed by
authorised staff.

7.3

TRIM is the control system for
your business unit’s records.
Individual TRIM users are
responsible for ensuring
unauthorised staff do not access
TRIM via their login.

Is access to TRIM in your
area limited to authorised
TRIM users?

*If you have no TRIM users in
your area, select N/A.



Yes


No (action required)


N/A*

-

Ensure TRIM users are appropriately trained.

-

Users of TRIM (excl. where access is via
Citrix) 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.


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-
Assessment Tool



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-
Assessment Tool
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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

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?

*If you have no confidential
records, select N/A.


Yes


No (action required)


N/A*

-

Ensure st
aff 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
Central Services regarding a lock
ed security
bin.

-

Ensure any electronic media, such as
computers, USB, or other digital devices are
adequately wiped (see section 5.2.5 of the
IT
Standards and Guidelines
)

-

Consult
with University Records regarding
the confidential destruction of any other
media, such as CDs, video tapes etc.

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 bu
siness
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.

Are staff within your
business unit aware of their
obligations in relation to
privacy an
d confidentiality of
information?


Yes


No (action required)

-

Include privacy and confidentiality
responsibilities in local procedures.

-

Encourage new staff

to attend a quarterly
Privacy Awareness Session.

-

Encourage existing staff to attend Privacy
Awareness Session as a refresher where
required.

-

Ensure staff are reminded regularly of their
obligations [essential for business units
holding or accessing lots o
f personal
information. Tailored Privacy Awareness
Sessions may also be discussed with the
Privacy Officer].





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-
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-
Assessment Tool
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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

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 on
official files?


Yes (continue at Q8.2)


No (go to Q.9)



8.2

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.

Note: network / shared drives and
email accounts are NOT compliant
digital recordkeeping systems.

Is your business unit
responsible for managing the
digital system in question
(i.e. the system
owner/process owner)?

*If you responded
No

to Q.8.1,
select N/a.


Yes (continue at Q.8.3)


No (go to Q.9)


N/A* (go to Q.9
)


8.3

Business units are required to
identify digital systems where they
are responsible for the content.

If yes to Q.8.2, c
omplete Section D in Attachment One.





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-
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-
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Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

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.

Areas need to know what records
they hold and
those records need
to be appropriately managed and
not dumped in local storage areas.

Does your business unit
have any records where:

1)

the type of records and
their contents are a
mystery as they were
inherited; AND/OR

2)

no
-
one is responsible for
maintaining
them, inc.
access, archiving,
destruction etc.


Yes (action required)


No


-

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
organi
sing their appropriate management, or
identifying whether they can be destroyed
and organising the appropriate approvals and
destruction. University Records can provide
advice on each particular case.

-

Include a cleanup project in your business
unit’s Recor
ds Management Plan.

9.2

When destroying official records,
there are certain retention
requirements that need to be
satisfied. As such, destruction of
ALL official 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


No (action required)

-

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
responsibili
ties 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.

9.3

Destruction of official records
should be an ongoing process.
However it must be appropriate
authorised to ensure retention
requirements, and UTS’
administrative, legal, financial
needs are satisfied.

Does your business unit
appropriately authorise the
de
struction of all official
records by completing a
Records Destruction
Authorisation form
?

*If your response to Q.9.2 was
No
, select N/A.


Yes


No (action required)

-

Ensure staff are aware of their
responsibilities in relation to the appropriate
destruction of records.

-

Include the requirement for records
destruction and appropriate author
isation in
local procedures as appropriate.




Records Management Self
-
Assessment Tool



Self
-
Assessment Tool
, University
Records

15
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19

Governance Support Unit, September 2010

NO.

REQUIREMENT

QUESTION

RESPONSE

POSSIBLE REMEDIAL AC
TIONS

10

Risk Management and Disaster Prevention

10.1

Business units are required to
lodge their vital records with
University Records.

Vital Records include original
deeds, agreement, MOUs, leases,
certificates and other legal
documents. If a business unit is
involved in managing any such
arrangements, they need to
maintain the official file and lodge
the original signed document with
Uni
versity Records using a
Vital
Records Lodgment Form
.

Are all vital records held by
your business unit lodged
with University Records, with
a copy filed onto official file?

*If
your business unit has never
had any vital records, select
N/A.


Yes


No (action required)


N/A*

-

Identify all vital records held by your business
unit and lodge them using a
Vital Records
Lodgment Form
.

-

Ensur
e staff are aware of their
responsibilities in relation to vital records.

-

Include the requirement for vital records
management in local procedures as
appropriate.

10.2

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.

This is part of the University’s
Risk
Management and Disaster
Recovery Plan for
Records and
Recordkeeping Systems
.

Does your business unit
have a Records Recovery
Priority List?


Yes


No (action required)

-

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 an
d kept
up to date (these details were requested
under Q.2.2).


End of the assessment. Please complete the sections in Attachment One where directed in the above assessment.


Records Management Self
-
Assessment Tool



Attachment One



Self
-
Assessment Tool
, University
Records

16
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19

Governance Support Unit, September 2010


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

Mandatory Training *

Additional Training

Secondary Records
Contact

Definition: The senior
staff member in your
business unit
responsible overall for
records management.

1.

Name:


Records Awareness Session


Records Contact training session or
refresher training session within the
past 3 years.


Archiving and Disposal Workshop


TRIM Training

Position:

Phone:

Email address:

Local
Records
Contact/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].

1.

Name:


Records Awareness Session


Records Contact training session or
refresher training session within the
past 3 years.


TRIM Training


Archiving and Disposal Workshop

Position:

Phone:

Email address:

2.

Name:


Records Awareness Session


Records Contact training session or
refresher training session within the
past 3 years.


TRIM Training


Archiving and Disposal Workshop

Position:

Phone:

Email address:


*
R
emedial Actions Where Mandatory Training Has Not Been Undertaken

If
Records Contacts have NOT completed the required mandatory training
required
for th
eir
role
, liaise with University Records to book the required training.





Records Management Self
-
Assessment Tool



Attachment One



Self
-
Assessment Tool
, University
Records

17
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19

Governance Support Unit, September 2010

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 reco
very priorities
*.

Add additional rows
if required.


Activity

Summary of Records Generated

Where is the Official
Record Kept?

Only For Records Held By
Your Business Unit

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 p
lanning
an effective and efficient response to a disaster situation.
A Records Recovery Priority list can be developed separat
ely 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.




Records Management Self
-
Assessment Tool



Attachment One



Self
-
Assessment Tool
, University
Records

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19

Governance Support Unit, September 2010

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.



Room Number

(Eg: CB01.26.68)

Owner / Responsible Area For The Location

Question

Response

1.



Has the location been approved for
records
storage?


Yes


No*

2.



Has the location been approved for
records storage?


Yes


No*

3.



Has the location been approved for
records storage?


Yes


No*


*
Remedial Actions f
or

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 University Records to discuss records storage issues and alternate storage options.




Records Management Self
-
Assessment Tool



Attachment One



Self
-
Assessment Tool
, University
Records

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19

Governance Support Unit, September 2010

C. 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 bus
iness unit. Add additional
rows if
required.


System Name

Summary of Purpose of the System
/
Records Held

Question

Response

1.



Has the system been assessed for
digital recordkeeping compliance?


Yes


No*

Has the system been approved as a
compliant digital recordkeeping
system?


Yes


No*

2.



Has the system been assessed for
digital recordkeeping compliance?


Yes


No*

Has the system been approved as a
compliant digital recordkeeping
system?


Yes


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:

-

Manage your official records on official file until a compliant
digital recordkeeping system is available

-

Undertake action to comply with the digital recordkeeping system requirements specified in the
Digital Recordkeeping
Identification

T
ool
.