2015 - 2017 Audit

Program:

Introduction

Our role

Located within the Tasmanian Archives and Heritage Office (TAHO), the Government Recordkeeping team (GRK), provides a framework of legislation, guidelines, training and advice about creating, managing, and disposing of State records to support Tasmanian state and local government, government owned businesses and other agencies.

The GRK team is also tasked with the important role of selecting and transferring the right records into Tasmania’s archival collection.

Our Guidelines

The Archives Act 1983 provides the legislative background and provisions for us to issue Guidelines for the management of State records.

Guidelines are a defined set of Standards for recommended practice.

Agencies have a duty to take all reasonable steps to ensure that they comply with our Guidelines.

Guidelines are published on our website: http://www.linc.tas.gov.au/global/govtrecordkeeping/services/guideadvice

Making proper records

Section 10 of the Archives Act 1983 covers the making and keeping of State records. This section of the Act stipulates that proper records of the business of all government agencies must be made and kept, and their accessibility maintained until they are covered through other provisions of the Act.

First issued in 2005, Guideline 1 – Making Proper Records provided information about agency obligations flowing from this requirement in the Act.

By 2014, Guideline 1 was in need of an update. We decided it should provide more practical guidance for agencies transitioning to a digital business environment.

Guideline 1 – Records Management Principles

The updated Guideline:• Supports a strategic approach to records

management as agencies transition to a digital business environment

• Introduces some key new concepts (information governance and information risk)

• Promotes a culture where agencies value their corporate information as a business asset

• Covers records that are outside ‘traditional’ recordkeeping systems

• Aligns with whole of government policies such as information security

Evidence-based Audits

During 2015, the GRK team will commence audits of the recordkeeping function in agencies. These audits will be evidence-based.

The audit framework is built around Guideline 1 - Records Management Principles, and the results are intended to provide us with a baseline measurement of Tasmanian Government recordkeeping maturity.

The evidence checklist from Guideline 1- Records Management Principles will be used for this audit. This checklist describes what kind of evidence your agency should submit to us for assessment.

Notify and schedule

audit

Evidence submitted

Evidence Review

Onsite Audit

Agency compliance assessed

Audit Reports issued

Follow-up as required

Agency Action Plan

The audit process

The audit processWho What

GRK Notify agency of intention to audit, and schedule audit

Agency Evidence sent to GRK

GRK Review of submitted evidence

GRK Audit conducted

GRK Scores reviewed

GRK Audit Report sent to agency

GRK Follow-up meeting to discuss findings, if requested

Agency Action Plan submitted by agency

Benefits for agencies

• Tailored recommendations to improve information management

• Targeted report to inform your Records Management Program (for example, development of an Operational Plan or support for a business case)

• Identification of your top information risks

• Recommendations that, if implemented, will support improved service delivery and assistance in meeting legislative requirements

• Assistance in developing an action plan and timeline for compliance with the Archives Act 1983

Benefits for us

• Allow us to systematically gather comprehensive information on recordkeeping practices and the major information risks facing Tasmanian government more broadly

• Develop a more strategic approach to our service delivery

• Improve awareness, understanding and use of our guidelines, advice, training and other services

• Develop specific measures to assist agencies to consistently and effectively address recordkeeping compliance

• Establish feedback mechanisms that assist us to determine if we are using our resources cost-effectively

Audit misconceptionsThe audit only looks at hardcopy records

The audit covers records in all formats, locations and systems.

We are going to fail because we don’t have a Records Management Unit

A small agency may have an assigned officer and a Records Management Program, but not necessarily a Records Management Unit.

The audits don’t cover my special kinds of records

Records of the business activities of all government agencies are covered. We would need to know more about your records before we could exclude them from the audit.

We are going to fail because we don’t have an EDRMS

Systems which hold records can be either in an electronic or paper form, and may include business systems.

We will fail because we can’t provide all of the evidence on the checklist

There is no pass or fail, the audit scores each agency according to defined maturity levels.

If you would like more information about the audit process, contact the GRK Unit:

03 6165 5581 or grk@education.tas.gov.au

More information