Public Record Office VictoriaAnnual Report to the Minister 2008–2009 Published by Public Record Office Victoria 99 Shiel Street North Melbourne VIC 3051 Tel (03) 9348 5600 Public Record Office Victoria Annual Report to the Minister 2008–2009 September 2009 © Copyright State of Victoria 2009 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced through any process without prior written permission from the publisher. Enquiries should be directed to Public Record Office Victoria, PO Box 2100, North Melbourne, Victoria 3051 or e-mail [email protected]. Also published on www.prov.vic.gov.au.
ISSN: 1320-8225 Printed on 50% recycled paper. Cover photo: ‘Stock Water Supply Tank’. Selected from the extensive collection of photographs available to the public from the archives, this photograph was originally part of the Education Department’s early records (VPRS 14517/P1, Negatives of Photographs [Publications Branch], Unit 38, Negative M 694). Public Record Office Victoria Annual Report to the Minister 2008–2009
A report from the Keeper of Public Records as required under section 21 of the Public Records Act 1973 2
Lynne Kosky MP Minister for the Arts
Lynne Kosky MP Minister for the Arts Parliament House Melbourne VIC 3002
Dear Minister
I am pleased to present a report on the carrying out of my functions under the Public Records Act 1973 for the year ending 30 June 2009. Yours sincerely
Justine Heazlewood Director and Keeper of Public Records Contents 3 5 Public Record Office Victoria 6 Purpose and Objectives 7 Message from the Director 8 Public Records Advisory Council 10 Overview
15 Report on performance 16 Highlights 2008–2009 21 Output measures 2008–2009 22 Increase records usage to enable the community to connect with their history 22 Support communities and individuals in preserving and accessing local records and documentary heritage in their communities 28 Provide online access to records through the provision of more records in digital form and the use of new technologies to enable greater public usage of records 29 Increase government recordkeeping capacity so that a full and accurate record of government is created, captured, maintained and preserved 29 Review and redevelop all PROV recordkeeping standards in order to provide government with a benchmark for good records management 31 Provide regular assessment of good recordkeeping against the benchmark 31 Develop and deliver enhanced services and tools to support the implementation of recordkeeping best practice 40 Develop the right people and provide the right tools to deliver PROV’s strategic objectives 40 Repair the Victorian Archives Centre so that it is able to be fully utilised for its planned life 40 Actively respond to climate change and energy cost increases by putting in place measures to reduce PROV’s carbon footprint and decrease water usage 42 Enabling initiatives
45 Appendices 46 Appendix 1: Assets and Financial statement 47 Appendix 2: Publications 48 Appendix 3: Standards and advice issued 50 Appendix 4: Approved Public Record Office Victoria Storage Suppliers (APROSS) 51 Appendix 5: Approved Places of Deposit for temporary records 52 Appendix 6: VERS-compliant products 53 Appendix 7: VERS consultancy services 54 Glossary 4
Bacchus Marsh farmer irrigates patch with ditches (VA 714 Education Department, VPRS 14515/P1 File Prints of Photographs [Publications Branch], Unit 2, number A 651) 5
Public Record Office Victoria 6 Purpose and Objectives
Our purpose To support the effective management and use of the public records of the State of Victoria, in order that the government is accountable to the community and its historical memory is preserved, secure and accessible.
What we do Public Record Office Victoria (PROV) is established under the Public Records Act 1973, ‘For the better preservation, management and utilisation of the public records of the state’. The Act provides the legal framework in which PROV operates, and outlines PROV’s core functions with respect to government records. These functions, pursuant to sections 7, 11 and 12 of the Act, are to: • establish standards for the efficient management of public records including creation, maintenance, security, selection of those worthy of preservation, transfer for archiving, and segregation or disposal of those not worthy of preservation • assist public officers to apply these standards to records under their control • take public records into custody, preserve archives and provide security • classify records and publish indexes and guides to facilitate access • provide facilities for viewing, and make records in custody accessible • duplicate or reproduce and authenticate public records
Our objectives • increase records usage to enable the community to connect with their history • increase government recordkeeping capacity so that a full and accurate record of government is created, captured, maintained and preserved • develop the right people and provide the right tools to deliver PROV’s strategic objectives
Our values PROV is an administrative office of the Department of Premier and Cabinet and our stated values are based on those of the department: • Integrity-We work to serve the public good. We uphold the ideals of openness and honesty. We provide equality of access to our products and services. • Leadership-We lead by example. We strive to create positive and productive working relationships. We support, motivate and develop staff to reach their full potential. • Collaboration-We consult with our clients and stakeholders. We seek, encourage and value the contribution and skills of the people we work with both within and outside the organisation. We provide customer service that best meets the needs of our clients and stakeholders. • Innovation-We value creativity. We are open to new ideas and different approaches that will achieve the best results. We celebrate our achievements. Message from the Director 7
One of PROV’s most important goals is to provide equality of access to regional Victorians, and as part of this, to keep records within their region of origin. So it was a great pleasure to see many years of work come to fruition during the year with the opening of the Bendigo Regional Archives Centre. The Centre is a joint venture between PROV, the City of Greater Bendigo and the Goldfields Library Corporation, which I hope will provide the people of the Bendigo region with a great new resource to connect them with their history. Good records management is essential for ensuring the accountability of government to its people, and for reducing the likelihood of damaging breaches of security or confidentiality. Yet it is often under-rated and neglected by organisations. Everyone at PROV was therefore very pleased to see the recognition by all departments of the importance of records management, with their commitment a few months ago to funding PROV’s recordkeeping standards program. This funding will enable us to develop a comprehensive suite of standards, specifications and guidelines for government, and the program will be one of our highest priorities over the next two years. Another priority continues to be improving access to our records, particularly for those who are unable to come into one of our reading rooms. PROV’s digitisation program, conducted in collaboration with the Family Search digitisation program, saw the milestone of five million pages and over 300,000 records available online. The number of visits to PROV’s website continues to grow, up 20% to 1.2 million this year. These figures are assisted by an increasing number of services provided online, including the introduction of a wiki during the year. During this time PROV’s reading rooms have continued to be very popular, with steady support. For the first time, PROV has undertaken a formal program to reduce the organisation’s negative impact on the environment. Our staff have been dedicated and enthusiastic in leading a range of initiatives to address this impact and I am very proud of what they have achieved so far. As many of our users will be aware, PROV has begun major building works at the Victorian Archives Centre to improve the facilities. These will continue until at least the end of 2009. I greatly appreciate the understanding and cooperation shown by our staff, volunteers and clients during a disruptive period. Finally I would like to thank the Public Records Advisory Council for their support, and in particular Judith Ellis, Alleyne Hockley and Michael Piggott, whose terms on Council ended during the year. The three have spent a massive combined total of 30 years on Council and their high level of corporate knowledge and wise counsel will be sorely missed. We also welcomed two new members, Sarah Rood and Sue McKemmish, who bring exceptional skills in the fields of history and information management to Council.
Justine Heazlewood Director and Keeper of Public Records 8 Public Records Advisory Council
Establishment and functions The Public Records Advisory Council is established under section 4 (1) of the Public Records Act 1973. The Council: (a) in consultation with the Keeper of Public Records, shall promote cooperation between the Public Record Office and public offices; and (b) may report and make recommendations to the Minister on any matter relating to the administration of the Act.
Council membership Pursuant to section 4 (1A) of the Public Records Act 1973, the Council shall consist of not more than ten members with knowledge and experience in such areas as public administration, local government, records management, business administration, historical research and genealogical research. The membership of the Council during 2008–2009 comprised: Mr Peter Harmsworth AO (President), Public administration Mr Jim Berg, Indigenous heritage Ms Judith Ellis, Information management (to 5 June 2009) Ms Alleyne Hockley, History (to 5 June 2009) Mr Michael Piggott, Information and records management (to 31 December 2008) Prof. Sue McKemmish, Information and records management (from 6 June 2009) Mr Garth Lampe, Public administration Mr Morris Bellamy, Local government Prof. Graeme Davison, History (academic) Ms Sarah Rood, History (professional) (from 2 February 2009) Ms Penny Hutchinson (Departmental nominee), Department of Premier and Cabinet Secretary: Ms Diane Brodie During the year three members completed their terms of appointment. Ms Judith Ellis ended an association with Council that spans more than twenty years. For a number of years Judith was the Chair of the Disposal Subcommittee. Ms Alleyne Hockley completed nine years on Council and Mr Michael Piggott completed his term with Council. All three were active and energetic members of Council and their skills, insights and ideas will be sorely missed. The Council welcomed the appointment to Council of Ms Sarah Rood, Principal Historian of consulting group ‘Way Back When’ and Professor Sue McKemmish, Associate Dean of Research, Faculty of Information Technology, Monash University. The Council would wish to record its thanks to Ms Justine Heazlewood and the staff of PROV for their support, and in particular would once again extend a special thanks to Ms Diane Brodie who, as Secretary to the Council, has continued to provide high level support and assistance throughout the year.
Summary of activities The Council met on five occasions in 2008-2009 10 July 2008 Koorie Heritage Trust, Melbourne 19 September 2008 Lakes Entrance 11 December 2008 Victorian Archives Centre 26 February 2009 Victorian Archives Centre 8 May 2009 Werribee Advice to Minister 9 Through Arts Victoria, the Council has been involved in giving consideration to the upcoming review of the Public Records Act 1973. In December 2008 the President and the Keeper participated in an agency heads meeting with the Minister to provide an overview of issues and opportunities for agencies within the Arts portfolio.
Promoting cooperation between PROV and public agencies
Council meetings During the year the Council met on five different occasions. One meeting was held at the Koorie Heritage Trust in Melbourne, while two further meetings were held in regional or outer metropolitan locations at Lakes Entrance and Werribee. In conjunction with these latter two meetings, PROV staff presented information sessions for researchers and local government record management staff. In September 2008 at Bairnsdale and Lakes Entrance more than 85 participants attended these sessions, while at Werribee 42 people attended a half-day session in May 2009.
Disposal Subcommittee The Disposal Subcommittee of Council provides technical advice to the Keeper and agencies on proposed retention and disposal authorities (RDAs) submitted to the Keeper for approval. The Council sees its involvement with the RDA approval process as an integral component of its legislative charter. During the year the Subcommittee reviewed sixteen RDAs including six from the Department of Human Services as well as a general RDA for records held by local government. The high priority given by PROV during the year to working closely with agencies to finalise RDAs resulted in a record number of authorities being considered by the Disposal Subcommittee. Overall, the Subcommittee was impressed with the high quality of draft RDAs that were submitted for review.
Sir Rupert Hamer Records Management Awards Since 1998 the Council has hosted the annual Sir Rupert Hamer Awards for excellence and innovation in records management across the Victorian public sector. The awards were held in May 2009 in Queen’s Hall in Parliament House and attracted a significant number of high quality applications from across Victoria.
Support for PROV During the year the Council received and commented upon reports from the Keeper about significant activities and issues within PROV. Council members were also involved on judging panels for both the Local History Grants Program and the Sir Rupert Hamer Records Management Awards.
Peter Harmsworth AO President, Public Records Advisory Council 10 Overview
Administration
Executive Headed by Justine Heazlewood, Director and Keeper of Public Records, the executive unit is located at 99 Shiel Street, North Melbourne, Victoria, Australia; phone (03) 9348 5600.
Act administered - Public Records Act 1973 PROV’s operations are governed by the Public Records Act 1973, which defines the role of both the Keeper of Public Records and the organisation. The Act is available for inspection on the PROV website, www.prov.vic.gov.au, and at our North Melbourne and Ballarat offices.
Regulations made and administered Regulations are made under section 23 of the Public Records Act 1973 and are known as the Public Records Regulations 2003. The Regulations prescribe fees for making and supplying copies of public records and set out conditions for the inspection of public records and use of facilities provided by PROV. All Regulations are available for inspection on the PROV website at www.prov.vic.gov.au/about/corporate.asp and at both of our offices.
Portfolio responsibility The Department of Premier and Cabinet, through Arts Victoria, has portfolio responsibility for PROV. PROV is an administrative office under the Public Administration Act 2004.
Freedom of Information Requests made under the Freedom of Information Act 1982 are handled through the Department of Premier and Cabinet Freedom of Information officer. For information about categories of documents maintained by PROV, refer to the Department of Premier and Cabinet website at www.dpc.vic.gov.au.
Protected disclosure The Whistleblower’s Protection Act 2001 promotes accountability and transparency in the public sector, which will in turn increase public confidence in the workings of government. The procedures implemented by PROV in relation to protected disclosure can be found in the Department of Premier and Cabinet’s 2008–2009 annual report. In accordance with section 104 of the Act, PROV reports that no disclosures were made to it during the reporting year.
Public Record Office Victoria standards and authorities PROV issues Standards for Records Management and Authorities for Retention and Disposal under section 12 of the Public Records Act 1973. A full list of current PROV standards and authorities is provided on PROV’s website at www.prov.vic.gov.au/records/standards.asp and at both of our offices.
Department of Premier and Cabinet annual report Further information about PROV’s performance during 2008–2009, including financial and staffing data, is included in the annual report of the Department of Premier and Cabinet, available at www.dpc.vic.gov.au. Contacts 11 As at 30 June 2009, PROV operated two public reading rooms and had 76 staff working in four operational areas.
Public reading rooms Freecall: 1800 657 452 Email: [email protected] Victorian Archives Centre Harry Nunn Reading Room 99 Shiel Street North Melbourne VIC 3051 Australia Phone: (03) 9348 5600 Ballarat Archives Centre State Government Offices Corner of Mair and Doveton Streets Ballarat VIC 3350 Australia Phone: (03) 5333 6611
Government Services Assistant Director: David Brown Phone: (03) 9348 5621 Email: [email protected] Agency enquiries: [email protected]
Access Services Assistant Director: Shauna Hicks Phone: (03) 9348 5608 Email: [email protected] Public enquiries: [email protected]
Corporate Services Assistant Director: Greg Schinck Phone: (03) 9348 5615 Email: [email protected]
Information Services Chief Information Officer: Lucy Hastewell Phone: (03) 9348 5653 Email: [email protected] 12 Organisational structure
Minister for the Arts
Secretary Department of Premier and Cabinet
Director Arts Victoria
Director Public Records PROV Advisory Council
Government Access Corporate Information Services Services Services Services
Standards and Online Finance and Risk Communication Assessment Access Management and Marketing
Government Collection Organisational Technology Recordkeeping Services Development Services
Community Information Facilities Archives Management Government Services 13 Government Services supports best-practice records management across the Victorian public sector. This is done through: • utilising and valuing the knowledge and commitment of PROV staff • developing and supporting the implementation of best-practice records management processes and policies across the whole of Victorian government • building partnerships with stakeholders to raise PROV’s profile • identifying and preserving records of permanent value • making records more visible and accessible through new technology and better-aligned documentation, transfer and disposal practices
Access Services The goal of Access Services is to ensure the state’s archival resources are known and accessible to the people and government of Victoria. This is done through: • a program of exhibitions, publications and outreach activities • the provision of both reading room services and online access to PROV’s collection • the preservation of archives within their region of origin, ensuring equality of access for communities in regional Victoria • culturally appropriate services, procedures and tools that enhance access by the Koorie community • the transmission to clients of knowledge about the collection • the issuing of records in a manner that meets business needs and community expectations
Corporate Services Corporate Services supports staff across PROV through provision of the following services: • finance and budgeting • risk management • organisational development • human resources (including volunteers) • facilities management
Information Services This section is a new function established to enable PROV to more efficiently create, communicate, manage and store information. It provides the following services: • recordkeeping and registry • information management • information communication technology • communications and marketing 14 Corporate Plan 2007-2010 PROV’s three-year business planning is based around three goals. In 2008-2009 a number of priorities were identified to achieve these goals:
Strategic priorities Increase records usage to enable the community to connect with their history • Support communities and individuals in preserving and accessing local records and documentary heritage in their communities • Provide online access to records through the provision of more records in digital form and the use of new technologies to enable greater public usage of records Increase government recordkeeping capacity so that a full and accurate record of government is created, captured, maintained and preserved • Review and redevelop all PROV recordkeeping standards in order to provide government with a benchmark for good records management • Strategically review the Public Records Act 1973 in the light of recommendations from the Auditor General’s performance review of PROV • Maintain PROV leadership in the area of electronic recordkeeping Develop the right people and provide the right tools to deliver PROV’s strategic objectives • Repair the Victorian Archives Centre so that it is able to be fully utilised for its planned life. • Actively respond to climate change and energy cost increases by putting in place measures to reduce PROV’s carbon footprint and decrease water usage. 15 Report on performance 16 Highlights 2008–2009
Bendigo set to have its own archives Jacinta Allan MP, Minister for Regional and Rural Development launched the Bendigo Regional Archives Centre (BRAC) on 17 June 2009. In launching the Centre, Minister Allan said, ’Combined with the Bendigo Library’s extensive collections and the Goldfields Research Centre, the new Public Reading Room is a ”one stop shop” for researchers, university students, schools, local historical and genealogical groups.’ BRAC was established through a unique partnership between PROV, City of Greater Bendigo and the Goldfields Library as part of PROV’s Places of Deposit program. This partnership enables BRAC to house and provide access to records that would normally have been transferred to Melbourne. See page 22 for more details of this event.
Local History Grants Program 2009 The Local History Grants Program continued to support community groups producing and circulating local history information. Lynne Kosky MP, the Minister for the Arts, announced on 31 March the distribution of $350,000 in grants to 87 organisations. Some of the projects successful in receiving funding were: a history of scouting in Footscray; digitisation of the Snake Valley Historical Society collection; an oral history of the Paynesville fire brigade; and the conservation of historic photographs in the collection of the Lancefield Football/ Netball Club. The Marysville Historical Society had applied for a grant for collection management work, but their historical collection was lost in the tragic February bushfires. The Minister was pleased to award some funds to the Society to enable it to take up the many offers it had received to help reconstitute and replace historical material relating to Marysville. See page 23.
Launch of the Wills/Probate Index 1841–1925 An online index of PROV’s wills and probate files was completed and launched this year. Volunteers from the Victorian Association of Family History Organisations and the Family Search digitisation program created the database which was launched for the public in December. This collection of records is available online and without cost to users. Professor Charles Fahey of La Trobe University, in launching the service, emphasised the importance of the information to the community of family history researchers as well as those more generally interested in the lives of Victorians both ordinary and extraordinary. Read more about the launch and the index on page 39.
Launch of the Koorie Index of Names (KIN) The KIN project was developed by PROV in response to recommendation 2 of the 2006 wilam naling report on improving access to records of the Stolen Generations. KIN is an Aboriginal name index to all relevant records in PROV’s custody. On 19 December the KIN database was officially launched by Community Development Parliamentary Secretary Lily D’Ambrosio MLA at the Victorian Archives Centre. Highly respected elder Jim Berg, a descendant of the Gunditjmara tribe in Western Victoria and a member of the Public Records Advisory Council, spoke at the launch. Jim highlighted the important roles that indexing projects and volunteer programs such as PROV’s KIN volunteers play in assisting Aboriginal communities and individuals to reconnect with their culture. See page 24. Sir Rupert Hamer Records Management Awards 17 - Tenth Anniversary Projects which demonstrate excellence and innovation in records management across the public and community sectors were recognised at the tenth Sir Rupert Hamer Records Management Awards, held at Queens Hall, Parliament House on 28 May 2009. The Awards, named after Sir Rupert Hamer, who was the Victorian Premier when the Public Records Act was passed in 1973, have been offered annually by the Public Records Advisory Council and held by PROV since 1998. Amongst the 130 guests who attended the ceremony were Judy Maddigan MP and Adam Fennessy, Executive Director-Department of Premier and Cabinet, who was the keynote speaker for the evening. Read more about this event, including the award winners on page 36.
Sir Rupert Hamer Records Management Award Winners. Back Row, L-R: Alleyne Hockley, Ian Hockley & Ray Pattle (Castlemaine Historical Society); Malcolm Smith & Lisa Sullivan (Rural Finance Corporation); Ruth Edge (City of Greater Dandenong); Susie Zada & Pam Jennings (Bellarine Historical Society); Joy Patton (Victorian Auditor-General’s Office) Front Row, L-R: Kate Prinsley Vicki Court, & Andrew Lemon (Royal Historical Society of Victoria); Lucinda Davies & Catherine Nicholls (the University of Melbourne); Ann Goode (East Gippsland Shire Council; David Ali & Sandra Papashalis (Department of Human Services) 18 Local Government Retention and Disposal Authority (RDA) A new retention and disposal authority has been developed for use by local government throughout Victoria, providing comprehensive and up-to-date disposal coverage for records created in relation to all key local government functions. The new authority represents the successful conclusion of a major eighteen month collaborative project involving PROV, representatives of the Records Management Association of Australasia’s Local Government Chapter, other local government information management professionals and local government subject matter experts. Research and drafting was undertaken by PROV in close consultation with local government information management professionals, backed up with visits to metropolitan, regional and rural councils to meet with staff and learn about council business processes first hand. This has helped ensure the new authority is robust, relevant and easy to use. The new authority will operate for a period of ten years. See page 33.
Records of significance-Royal Melbourne Hospital A number of significant archives were transferred to PROV during the year and one of the many highlights was the Medical Ward Books/Case Notes (1856 to 1905) from the Royal Melbourne Hospital, which provide a fascinating insight into hospital practice, patient care, the treatment of illness and the types of illnesses experienced in the colony of Victoria throughout the second half of the nineteenth century. Further details of these records, together with details of the other transfer highlights, are shown on page 26.
PROV goes green PROV has committed to reducing its ecological footprint and this year introduced a program to identify, minimise and manage environmental impacts across the organisation. Two major projects were undertaken: • An innovative trial to reduce air-conditioning levels across the building complex (while maintaining all collection storage requirements), combined with other energy-saving initiatives, led to a twenty per cent reduction in energy use at the Victorian Archives Centre. • A series of tanks was installed to capture rainwater from the building’s vast roof. Read more about PROV’s environment program on page 40.
Achievements of staff Awards The work of PROV staff and volunteers was recognised with several awards in 2008–2009. Arts Portfolio Leadership Awards 2008 PROV’s parent agency, Arts Victoria, recognises the achievements of individuals or teams who have contributed to the performance of the Arts portfolio. For the second consecutive year, PROV’s volunteers were recognised for their outstanding efforts on a range of projects, while Sebastian Gurciullo and Simon Flagg were ‘highly commended’ for Leadership in Community, with the development of the publication Footprints: The Journey of Lucy and Percy Pepper. 19 Shauna Hicks, Ian Hazewinkel and Judy Johnson with the Arts Portfolio Leadership Award 2008 presented to the PROV volunteers.
Educational excellence Graeme Hairsine-Senior Manager, Standards and Assessment-was selected to participate in the Executive Masters of Public Administration program, administered by the Australia and New Zealand School of Government. This cross-jurisdictional initiative takes senior public servants from all states and territories and New Zealand and brings them together to provide them with the necessary skills and knowledge to perform at a senior level in the public sector. PROV would like to acknowledge the Department of Premier and Cabinet for supporting this appointment.
Professional committees Aside from their roles at PROV, a number of staff make a significant contribution to their professions outside of work through membership of committees: Diane Gardiner, chair of the History Council of Victoria; committee representative of the Australian Women’s Archive Project; Victorian representative for the UNESCO Australian Memory of the World Committee Justine Heazlewood, convenor, Council of Australasian Archives and Records Authorities; Convenor, Australasian Digital Recordkeeping Initiative; board member, Collections Council of Australia; Member, IT-21 Records Management committee, Standards Australia; chair, Bendigo Regional Archives Centre, Committee of Management; member, Collections Committee of the Board of the State Library of Victoria; member, Advisory Board, Centre for Organisational and Social Informatics, Monash University Shauna Hicks, member of the national Council of the Australian Society of Archivists Allison Hunter, secretary, Records Management Association of Australasia (Victorian branch); committee member of the Australian Society of Archivists (Victorian branch); minute taker for the Australian Society of Archivists (ASA) 2010 Conference Committee and ASA 2010 Programme Committee James McKinnon, minutes secretary of the Australian Society of Archivists (Victorian branch) Emma Murray, treasurer of the Australian Society of Archivists (Victorian branch) Tracey Manallack, committee member (representing PROV), Geelong Heritage Centre Graeme Hairsine and Toula Varvarigos, PROV representatives on the Municipal Association of Victoria - Electronic Content Management Better Practice Steering Committee Andrew Waugh, project editor, United Nations Centre for Trade Facilitation and Electronic Business, working on the Record Export Standard Daniel Wilksch, president of the Branch Committee of Museums Australia (Victoria) Simon Flagg, executive member of the Indigenous Issues Special Interest Group; secretary of the Victorian Koorie Records Taskforce; committee member of Stolen Generations Victoria Reference Service Group; member of the Australian Society of Archivists 20 Conference presentations In addition to PROV’s formal seminar programs, noted in the operations section of this report, staff expertise and knowledge are shared through presentations at various conferences. In 2008–2009, these included: ARK, Sydney 2009 Andrew Waugh, ‘Digital preservation in the Victorian Government’ Andrew Waugh, ‘Digital Preservation NOW, Adopting Robust Strategies for Digital Preservation’ Adelaide Parr, ‘Establishing a Classification Scheme to Archive your Electronic Information’ Kathy Sinclair, ‘Victorian Crimes Document Destruction Act’ Australian Historical Association conference, Melbourne 2008 Daniel Wilksch, ‘Who owns this place? Who knows its story? Community history groups in Victoria’ Australasian Libraries in the Emergency Management Sector conference, Mt Macedon 2009 Daniel Wilksch, ‘All Things to All People - Digitisation and Victorian Communities’ Australian Society of Archivists annual conference, Perth 2008 Simon Flagg and Sebastian Gurciullo, ‘Aboriginal history in the Victorian archives’ Health Information Industry Forum, 2008 Justine Heazlewood, ‘Understanding medical records retention requirements in Victoria-post-scanning’ History Teachers Association of Victoria Annual conference, Melbourne 2009 Diane Gardiner, ‘Connecting with the Community: How secondary Schools can link with Community History Groups.’ International Council on Archives, Kuala Lumpur 2008 Andrew Waugh, ‘Transferring Electronic Records. A Decade in Digital: New Directions for Managing and Preserving Digital Information’ and ‘Setting the Record Straight: The Koorie Annotation System’ NAA/CAARA Data Stewardship Program, Goolbri 2008 Andrew Waugh, ‘Digital Preservation’ PROV Master Class & Discussion Group, Melbourne 2008 Andrew Waugh, ‘Digital Preservation’ Reconciliation Victoria conference, Learning together: Indigenous perspectives in school culture and curriculum, Melbourne 2008 Simon Flagg, ‘Aboriginal history in the Victorian archives’ VCTA annual conference COMVIEW, Melbourne 2008 Diane Gardiner, ‘Colin Ross: hanged ...... then pardoned’
Published papers Allison Hunter: ‘PROV Endorsed Tools’ Informaa Quarterly September 2008 Allison Hunter: ‘E-discovery and VERS Implementation’ IRMA 2008 February 2009 Allison Hunter: ‘Instant Messaging and Recordkeeping’ Informaa Quarterly March 2009 Output measures 2008–2009 21
Output: Records
Quantity Target Actual Accessions (groups of records received at one time from a single agency) 40 511 Retention and disposal authorities issued 17 142 Retention and disposal authority variations issued 10 223 Agency registrations created 17 114 Series created 100 895 Requests for Appraisal Completed 1 1 Digital records preserved6 100,000 100,995 Applications for VERS certification 3 5 Participants in records management education and training programs 160 2127 VERS departmental consultations6 100 102 Additional VERS software products certified 2 2 Hard copy records preserved by PROV6 88,000 88,337 % Records issued within specified timeframes6 95 95 Quality % Collection stored to industry standard6 100 100 % Client satisfaction 90 90 Timeliness % Agencies notified of retention and disposal authority expiry within specified timeframe 90 90
Output: Access
Quantity Target Actual Records issued 50,000 59,0108 Visitors6 75,000 218,6169 Online visitors6 580,000 1,243,94510 Community engagement-volunteer hours6 15,500 15,669 Participants in Access Services education, training and outreach programs 5,000 14,45411 Quality % Visitors satisfied with visit6 90 90 % Client satisfaction 85 96 Timeliness % Records issued within specific timeframes6 95 95
1 Accessions were higher than forecast because of enhanced work practices. 2 Demand from agencies for retention and disposal authorities was less than anticipated over the course of the year. 3 A number of agencies opted to extend expiring retention and disposal authorities to ensure continued coverage while new ones were developed. This resulted in more variations than forecast. 4 Demand from agencies for new registrations was less than anticipated. 5 Transfer procedures require agencies to identify series and provide more detailed information than was required in the past. Guidelines and training are provided to assist agencies with these tasks, but agencies are still feeling their way with these requirements. The rate at which new series are being created has slowed accordingly. 6 These outputs are presented in the Department of Treasury and Finance Budget Paper No. 3 – 2008–09 Service Delivery. 7 Realignment of priorities to better reflect agency needs resulted in more training sessions being offered during the year. 8 Number of records issued was higher than anticipated. 9 Visitors comprised reading rooms 17,278 (target 16,000) and exhibitions 201,338 (target 59,000). The success of travelling exhibitions in regional centres contributed to higher than anticipated visitor numbers and reading room numbers remained stable from 2007–2008. 10 A steady increase in online visitors was assisted by the introduction of several online initiatives through the year. 11 PROV undertakes outreach activities on request from other organisations; demand was higher than anticipated. 22 Increase records usage to enable the community to connect with their history
Support communities and individuals in preserving and accessing local records and documentary heritage in their communities
Bendigo Regional Archives Centre Bendigo Regional Archives Centre (BRAC) opened this year. Rural and Regional Development Minister Jacinta Allan launched the BRAC Public Reading Room within the Goldfields Library on 17 June 2009. BRAC is an approved Place of Deposit (POD) for local and regional government records and has certification from PROV to hold permanent records. While it is initially focussing on local government records, the BRAC collection will ultimately reflect the history of local government administration, local events, individuals, institutions and organisations in the Bendigo region. BRAC houses extensive public records of the five local government bodies that have become the City of Greater Bendigo: Bendigo (Sandhurst), Eaglehawk, Huntly, Marong and Strathfieldsaye. Records from other local government authorities in the region will be collected, together with private records created by local organisations and individuals. As well as $1.3 million funding from the Victorian Government Regional Infrastructure Development Fund, the City of Greater Bendigo has contributed $266,631 to the BRAC project, and PROV contributed $285,000. This includes an initial $49,000 contribution from PROV for mobile shelving. PROV has also committed further in-kind funding through 650 hours of staff time to archival projects. BRAC is a new model for regional archives in Victoria and PROV is actively seeking future potential partnerships in other areas of the state.
Justine Heazlewood (PROV Director) explains records in the collection to Craig Nieman (CEO City of Greater Bendigo) and Minister Jacinta Allan in the BRAC Reading Room Places of Deposit 23 Through the course of its work, government creates a significant amount of records which are not considered to be part of the state archives. Recognising that many of these records have local significance to communities, PROV established the Places of Deposit (POD) program. The program consists of an expanding network of community groups across Victoria appointed to care for certain records that have local significance. Records such as Council pound registers or Water Board rate books can be transferred to local historical societies or museums appointed as PODs. The program also allows PODs that meet more stringent criteria to hold part of PROV’s collection of permanent records that pertain to their region (such as the Bendigo Regional Archives Centre). This year eleven new PODS were appointed by the Minister to hold temporary records. They join a network of 129 PODs across Victoria (See Appendix 5 for a list of PODs appointed during 2008-2009). Eight PODs received approved transfers of public records into their collections, and to date more than one third of the POD network has received approved transfers of public records. In 2008-2009 the efforts of three Places of Deposit in helping their communities connect to their history were recognised in the Sir Rupert Hamer Awards for Records Management (see page 36 for details).
Local History Grants Program In March 2009 Lynne Kosky, Minister for the Arts, announced 87 new grants through the Local History Grants Program. The program, which is funded through the Community Support Fund and administered by PROV, supports projects that preserve and present Victorian local history. The 2008-2009 round of grants distributed $350,000 to community groups across Victoria. The Minister said the latest round of grants showcased Victorian community organisations engaging with, commemorating and learning from the past. ‘The projects supported tell some fantastic stories that show the diversity of Victoria and reflect our triumphs and struggles,’ Ms Kosky said. ‘The recipients represent a wide range of community groups, from scout halls to local historical societies, landcare groups to churches. They are largely volunteer-based, and I commend all the volunteers who give their time, energy and hard work to preserving, promoting, and sharing the stories of our communities.’
Acknowledgement of Places of Deposit in the East Gippsland region. Justine Heazlewood, PROV Director, Ian Hollingsworth, East Gippsland Historical Society, Marion Holding, Lakes Entrance Historical Society, Anthony Mead, East Gippsland Family History Group, Lois Crisp, Omeo Historical Society, Robert Nettleton, Deputy Mayor, Sue Hatfield, Lakes Entrance Family History Group, May Leatch, Orbost and District Historical Society 24 wilam naling report wilam naling… knowing who you are… was a report released in June 2006 that focused on improving access to records for people affected by past child removal policies, the ‘Stolen Generations’. The report was developed in a partnership between PROV and Aboriginal Affairs Victoria, to address the recommendations from Chapter 16 of the Bringing Them Home report relating to archives and records. Through its Koorie Records Unit PROV has been addressing numerous recommendations outlined in the wilam naling report since 2007. (For further information on the Koorie Records Unit, see www.prov.vic.gov.au/about/kru/default.asp.) Koorie Index of Names (KIN) database The KIN project was developed by PROV in response to recommendation 2 of the wilam naling report to provide better access to Aboriginal records within PROV’s collection. Particular attention has been given to improving access to records for people affected by past government removal policies. The project resulted in a database of Aboriginal names mentioned in records in PROV’s custody. The database, launched in December by Community Development Parliamentary Secretary Lily D’Ambrosio, is now available to researchers in the Victorian Archives Centre Reading Room and can be searched by individual names, places and date ranges. A team of sixteen volunteers from PROV’s volunteer program continue to work tirelessly on adding information to the database. In recognition of their outstanding effort, Ms D’Ambrosio presented them with certificates of appreciation at the launch. To date the volunteers have indexed 125 files consisting of 17,390 pages, and recorded 13,872 names. They are currently indexing VPRS 1694, correspondence files from the Board for the Protection of Aborigines dating from 1889 to 1931.
Some of the PROV KIN volunteers at the KIN database launch, from left to right: Maggie Robinson, Community Development Parliamentary Secretary Lily D’Ambrosio, PROV Director Justine Heazlewood, John Bolt, Liz Raven, Val Latimer, Koorie Records Unit Coordinator Simon Flagg, Gail Thornwaite, Maria Baker and Irene Kearsey.
Common Access Guidelines (CAG) Recommendation 1 of the wilam naling report called for the establishment of a new access framework for Victorian agencies holding records affecting Indigenous people. Currently individuals are required to complete various application forms and provide different levels of documentation in order to access their information at different agencies. The CAG proposal aims to develop universal guidelines to help Indigenous people affected by past removal policies gain access to their records. The CAG project has been funded through a grant received from Aboriginal Affairs Victoria in 2008. The CAG proposal is utilising the South Australian Nunkuwarrin Yunti organisation recordkeeping framework that has enabled Link-up SA to establish agreements that assist them in obtaining information for their Stolen Generation clients. Once implemented the CAG proposal will enable researchers to fill in a single form that would be accepted by a number of recordkeeping organisations. This would dramatically improve access to records and reduce the need for researchers to understand various recordkeeping frameworks. This proposal will ultimately assist individuals affected by removal policies to gain access to vital records of information that may help reunite them with family, community and culture. A review of current recordkeeping requirements across organisations has been completed, 25 and a proposed recordkeeping framework developed. This framework will support Stolen Generations Victoria in becoming the central organisation responsible for the implementation of the CAG project. A Memorandum of Understanding is currently being developed for recordkeeping agencies. It is hoped that the CAG framework will be launched in 2009-2010. PROVguides PROVguide 65-Koorie Heritage-Aboriginal Records at PROV has been updated and now provides specific information about the main Aboriginal records within PROV’s collection. The guide also provides information on the complex split of Aboriginal records between PROV and National Archives of Australia. PROVguide 67-Koorie Heritage-Koorie Index of Names Project was created to provide researchers with background information about the development of the KIN project along with basic step-by-step instructions on how to utilise the KIN database.
Archives created: records transferred to PROV Melbourne and Metropolitan Planning Scheme Records 1946-2008: This year saw the completion of the transfer of all statutory planning records for the State of Victoria from 1946 to 2000 from the Department of Planning and Community Development. Records include planning scheme maps, ordinances and amendments, and extend back to the Town and Country Planning Board and the Melbourne and Metropolitan Board of Works. The collection documents the establishment and amendment of planning schemes in Victoria and is of high interest to researchers. The work took two years to complete, with a dedicated project team established within the department to document and physically prepare the records for transfer to PROV. In addition, detailed research into the history and development of the statutory planning function was undertaken by PROV in conjunction with departmental subject matter experts, so as to fully document the administrative context in which the records were created, maintained and used. The research and documentation undertaken will enable users of the records to correctly interpret their meaning and significance now and in the future. In all, more than 100 linear metres of records were accessioned over the two year period. The records were previously stored in commercial storage. Transfer to PROV will result in significant cost saving to the Department of Planning and Community Development and ultimately the Victorian public.
PROV archivists Indrani Henderson (right) – project manager for the statutory planning records transfer – and Bernadette Golding, with one of the thousands of planning scheme maps now in secure storage at the PROV North Melbourne repository 26 Other Transfers Other significant transfers during the year included: • An extensive collection of petroleum exploration geophysical surveys conducted in Victorian waters and onshore. The surveys were conducted by various companies who were required to lodge the results with the government under legislation governing petroleum exploration. Records include: seismic surveys, magnetic surveys, gravity surveys, geochemical surveys, reports, maps, diagrams, seismic sections and geological interpretations. Contents date from1886 to 2000. • Medical Ward Books/Case Notes dating from 1856 to 1905, from the Royal Melbourne Hospital. These records provide a rich source of information on hospital practice, patient care, treatment of illness and the types of illness experienced in nineteenth century Victoria. The medical ward books were the patient files of the time, with each honorary surgeon or physician maintaining their own volume for each hospital ward. Separate books were maintained for male and female patients. There is background information on each patient, their illness, treatment and outcome. Details include: patient’s name, occupation, residence, details of arrival in the colony, date admitted, presenting symptoms, treatment, including date/time drugs were administered, operation performed, observations, discharge, recovery or death. • Records of the Southern Cross Station redevelopment project, 2000-2007. The records cover all aspects of the project, from feasibility through commissioning. Records include committees and briefings, management of the budget for each year of the project, risk assessments, contract management, design and construction information and all types of planning right through to the early occupation stage. • Former Forests Commission correspondence files, containing reports and other records relating to bush and grass fires occurring in areas for which the Commission had responsibility for fire fighting. The files date back to 1927 and include major fires such as the Black Friday fires of 1939. • Records dating from the mid nineteenth century from fourteen local government authorities. Consignments of records were also received from the Office of Public Prosecutions, Office of the Public Advocate, Registry of Births, Deaths, and Marriages and the Registrar of Probate, Supreme Court during 2008-2009. Work continues on the transfer of nineteenth and twentieth century records from the Supreme Court and work has commenced with the Department of Transport for the transfer of rail and tramway records currently stored at the department’s secondary store in Spotswood. These include approximately 12,000 rolling stock drawings. Negotiations have commenced for the transfer of the original put-away Parish and Township Record plans maintained by the Department of Sustainability and Environment. The plans are of critical importance as they provide the authoritative record of the alienation of Crown land in Victoria. The transfer is expected to be complex in terms of documenting the recordkeeping systems and logistics. Reading rooms and record retrievals 27 PROV operates two public reading rooms, at the Victorian Archives Centre in North Melbourne and at the Ballarat Archives Centre. Visitor numbers remained steady for the year, with 17,278 people visiting the two reading rooms. A total of 48,294 records were issued in the reading rooms with a further 10,716 delivered to government agencies outside of the reading rooms and for internal PROV use. During the year a major staff-led review of the activities of the reading room and records issuing services was undertaken to determine the appropriateness and effectiveness of current services in meeting PROV’s objectives and to support them into the future. The review recommendations are currently being investigated. Records issued Records issued Recordsnumber of recordsissued number of records number70,000 of records 70,000 70,00060,000 60,000 60,00050,000 50,000 50,00040,000 40,000 40,00030,000 30,000 30,00020,000 20,000 Government agencies 20,00010,000 10,000 Government agencies 10,0000 PublicGovernment users agencies 0 Public users 0 2004/05 2005/06 2006/07 2007/08 2008/09 Public users 2004/05 2005/06 2006/07 2007/08 2008/09 year2004/05 2005/06 2006/07 2007/08 2008/09 year year Visitors to reading rooms Visitors to reading rooms numberVisitors of to visitors reading rooms number of visitors number25,000 of visitors 25,000 25,000 20,000 20,000 20,000 15,000 15,000 15,000 10,000 10,000 10,000 5,000 5,000 Ballarat Archives Centre 5,000 Ballarat Archives Centre 0 VictorianBallarat Archives Archives Centre Centre 0 Victorian Archives Centre 0 2004/05 2005/06 2006/07 2007/08 2008/09 Victorian Archives Centre 2004/05 2005/06 2006/07 2007/08 2008/09 2004/05year 2005/06 2006/07 2007/08 2008/09 year year Visitors to website Visitors to website Visitorsnumber of to visitors website number of visitors number1,400,000 of visitors 1,400,000 1,200,0001,400,000 1,200,000 1,000,0001,200,000 1,000,000 1,000,000800,000 800,000 600,000800,000 600,000 400,000600,000 400,000 200,000400,000 200,000 200,0000 0 0 2004/05 2005/06 2006/07 2007/08 2008/09 2004/05 2005/06 2006/07 2007/08 2008/09 2004/05year 2005/06 2006/07 2007/08 2008/09 year year 28 Public education and training Archival Support Program The Archival Support Program consists of a series of basic archival training and preservation seminars and workshops aimed at individuals and small collecting bodies like historical societies and museums. Delivered in partnership with other archival institutions and regional community groups, the program’s objective is to increase the participants’ knowledge of archival practices to enable them to better care for their collections. This year more than 170 people attended one of the five one-day workshops held in Melbourne and regional Victoria to learn about the preservation of paper records, conservation of photographs and disaster preparedness and recovery.
Provide online access to records through the provision of more records in digital form and the use of new technologies to enable greater public usage of records
Collection management During the year improving public access continued to be a key focus of collection management activities. Within the collection are a substantial number of record series that were transferred to the custody of PROV or its predecessors some time ago with minimal documentation and which have never been entered into the online catalogue. These records are progressively being documented and added as a long-term project. This year information on 148 of these ‘legacy series’ was published in the online catalogue, Access the Collection, allowing researchers to easily locate and order records for the first time. Volunteers and staff undertook projects to prepare description lists of frequently used series, including lands records, and to ensure plans were labelled appropriately. Plans listed in this manner during the year included the Historic Plan Collection established by the Surveyor General and the 1979 Landmark Competition design entries. In addition, details were added to the existing catalogue descriptions of more than 400 boxes, enabling the records to be searched by keywords. Conservation activities enabled more than 1,200 pages of wills and probate records to be cleaned and included in the FamilySearch digitisation program. Increase government 29 recordkeeping capacity so that a full and accurate record of government is created, captured, maintained and preserved
Review and redevelop all PROV recordkeeping standards in order to provide government with a benchmark for good records management
Recordkeeping Standards PROV received additional government funding this year to expedite the development of new recordkeeping standards as the previous standards, developed in 1997, required updating. PROV is now embarking on a two-year project with the following key deliverables: • the development and delivery of a range of new standards, specifications and guidelines • the delivery of a series of seminars to support the publication of the new standards • a comprehensive communications plan to ensure that all of our clients are prepared for these new standards • a training program to assist agencies in using our new standards in their organisations.
Victorian Auditor-General’s Office report on Records Management in the Victorian Public Sector In the 2007-2008 financial year the Victorian Auditor-General’s Office (VAGO) undertook an audit of Records Management in the Victorian Public Sector. The final report was tabled in Parliament in March 2008. The VAGO audit highlighted a number of significant deficiencies with agency records management. Specifically, the Executive Summary states that: • More needs to be done by senior management to promote and provide support for records management. There is a lack of understanding by senior management of what good records management looks like and, therefore, what should be done. • Most agencies did not adopt a strategic approach to records management. The lack of such an approach is key to advising management of the resources required for them to adequately fulfil their legislative obligations. • Strategic planning for records management is complex and requires specialist skills and experience. These skills are not normally found in the records management function. • The management of electronic records including email and websites poses a significant challenge for agencies. Most agencies had yet to implement systems that ensured their business records were captured and would be accessible in the long term. Agencies were still leaving it to staff to capture business emails and file them appropriately, mostly using a print-to-paper approach. 30 PROV undertook to implement those priority recommendations of the report supported by the Government. In 2008-2009 the following activities were undertaken or commenced: • A legislative review of the Public Records Act 1973 was commenced and is in the early planning stages. • PROV undertook a structural re-alignment in May 2009 which included a new focus on marketing and communications, and a new Chief Information Officer role. • A PROV internal procedure to improve clarity and consistency in the provision of advice to external clients was developed and implemented. • PROV re-established its Victorian Government Educators Forum to share information on public sector education. • PROV staff developed new networks to promote records management with the Department of Human Services, the Office of the Victorian Privacy Commissioner, and the Municipal Association of Victoria, and organised seminars and regional awareness ‘roadshows’ in conjunction with these groups. • Work commenced on assessing the extent of disposal coverage for Victorian public offices. • PROV developed and implemented a procedure to pursue the recovery of permanent records loaned to agencies and long overdue to be returned. PROV will continue with these, and new, initiatives in 2009-2010 in order to further implement the VAGO recommendations.
News on Advice and Policies During the year, a project was developed to support the changes brought about by the Evidence Act 2008 which is expected to come into force in January 2010. To ensure the successful implementation of the products related to the Act, PROV wants to effectively inform and support government agencies. PROV aims to support the trend toward digitisation while ensuring good recordkeeping practices by creating products that provide the adequate framework for the Victorian public sector. With this in mind, PROV have entered into collaborative relationships with Privacy Victoria and the Department of Justice to conduct seminars across the state and PROV expanded our target group to non-governmental organisations with whom PROV are also partnering. Seminars are planned for late 2009 to raise awareness about how well established recordkeeping practices support the evidentiary process. Ensuring delivery of a successful message also requires a cohesive training plan. The ‘Government Recordkeeping Capacity Outcome’ is about empowering agencies to build capacity to control their own internal recordkeeping activities for both digital and hardcopy records. To aid agencies, it is important that PROV prepare them for change, but also that PROV staff have a consistent and authoritative organisational understanding of the impacts of the Act on agency recordkeeping. The goal is to ensure that agencies are aware of the upcoming products, that they are prepared to use them and that they understand how to use them. Provide regular assessment of good recordkeeping 31 against the benchmark
VERS Stage Two The Victorian Electronic Records Strategy (VERS) is PROV’s strategy for the management and long term preservation of electronic records. VERS Stage Two is a strategy to extend the usage of VERS to a broader range of government agencies. PROV has begun planning for the transitioning of Victorian agencies from VERS Stage One to VERS Stage Two. As a first step, PROV is reviewing the scope, requirements, performance measures and timeframe of VERS Stage Two. ‘An issues paper has been developed using the results of interviews with key agency representatives on their experiences and requirements. A VERS Stage Two Strategy and Implementation Plan is now being developed in consultation with PROV staff and agency representatives.
Develop and deliver enhanced services and tools to support the implementation of recordkeeping best practice
VERS certification of electronic records management products The VERS Standard (PROS 99/07 Management of Electronic Records) provides the basis against which electronic document and records management systems (EDRMS) are tested. Certification is against five specifications. For an EDRMS to be considered ‘VERS Compliant’ it must be compliant with all five specifications; namely: Specification 1 – System Requirements Specification 2 – Metadata Scheme Specification 3 – Standard Electronic Record Formats Specification 4 – Long Term Preservation Formats Specification 5 – Export of Electronic Records to PROV In 2008-2009 two products were certified as being VERS Compliant: Recfind 6, produced by KnowledgeOne Corporation, and Recordpoint, produced by Uniqueworld, which is a Records Management plug in for Microsoft Sharepoint. The total number of vendor products certified as being VERS Compliant to date is six. This includes all of the products currently in use by the ten major Victorian Government departments. For a full list of compliant products, see Appendix 6. A vendor demonstration program has been established and will roll out through 2009/2010. This will give all government staff the opportunity to see a demonstration of the VERS capabilities of VERS Compliant products. 32 VERS Toolkit for clients The VEO Toolkit is a suite of Java programs that constructs VERS Encapsulated Objects (VEOs), digital containers that are used to transfer digital records from agencies to PROV. Use of the toolkit allows agencies to transfer digital records to PROV from record systems that are not VERS compliant. During the year PROV packaged the VEO Toolkit to allow it to be easily installed at agency sites. Agencies can simply download and run the Toolkit without agencies having to have access to full VERS compliant electronic document and records management systems.
Records management consultancy PROV assists the implementation of VERS across Victorian Government agencies through providing a range of consultancy services. A customer satisfaction rating of 96% was achieved for consultancy services over the course of the year. General Consultancies During the year 102 general VERS consultancies were delivered by PROV. These included providing: • advice to system developers on achieving compliance against the five VERS specifications; • assistance to agencies in configuring systems and preparing VEOs for transfer to PROV; • advice to agencies on developing and improving processes for digital records management. Major Consultancy Projects PROV delivered nine major VERS consultancy projects during 2008-09 and commenced work on several others. Delivered initiatives include: Development of Key Performance Indicators for Records Management The Department of Education and Early Childhood Development engaged PROV consultants to develop a full set of organisational KPIs to enable benchmarking and assessment of records management process maturity. Several other inner budget departments chose to contribute to this work, so that the resulting product was relevant and could be used in other agencies. This product will also provide content for PROV Standards. Permanent Record Imaging Project This involved developing digitisation process and technical specifications, metadata requirement specifications, VEO creation tools, transfer agreements and process guidelines for the Department of Human Services, so that they could undertake a pilot imaging process for a set of permanent records. As PROV had to develop some of these products anyway as part of its response to Evidence Act 2008 amendments, this provided an opportunity to test International Standards and develop draft PROV Standards and guidelines based on a real case. Better Practice Guide for Local Government The Municipal Association of Victoria engaged PROV on a fee-for-service basis to develop a Records Management Better Practice Guide for use by all 79 local councils. This involved developing an Enterprise Content Management Process Maturity Model which councils will use to assess their current state and then implement improvement processes. This product will also provide content for PROV Standards and a framework for assessment models for other agencies. A list of consultancy services provided during the year can be found in Appendix 7. Open tender for consultancy service provision 33 As the original contract for VERS consultancy services expired during the year, PROV conducted an open tender for service provision from 2009-2013. Thirteen companies responded, with five companies shortlisted and four selected after an intensive selection process. The four successful companies were Enterprise Knowledge Pty Ltd, Landell Consulting, Utility Services Ltd (trading as Opticon) and Votar Partners. Strategic memberships PROV provided a member for each of the following Boards: • Department of Human Services Electronic Records Management Project Board • Department of Planning and Community Development Electronic Document and Records Management System Project Board • Department of Primary Industry Electronic Document Management Project Board • Municipal Association of Victoria Electronic Content Management Steering Committee PROV is also participating in the Who Am I Project led by the University of Melbourne. This project is examining the role of archives as central to quality practice for child protection and welfare and how best to use digital recordkeeping technologies to facilitate these processes. Mentoring program Five staff from Victorian Government agencies were mentored over the year, allowing them to increase their knowledge of digital records management and VERS requirements.
Authorising records disposal Fourteen new retention and disposal authorities (RDAs) were issued for government agencies. The specific RDAs provide disposal authorisation for the records unique to the agency’s functional responsibilities. A highlight of the program was the development and issue of six new RDAs for the Department of Human Services covering areas such as child protection, public health, housing, and youth justice. This was a very successful collaborative project, the scale of which was unprecedented for PROV, and strengthened the working relationship between DHS and PROV. PROV researched and developed a new general disposal authority for records of local government to replace the existing authority issued in 1998. The new authority was researched and written by PROV in partnership with the Records Management Association of Australia Local Government Chapter, who provided the core consultative group. Regional, rural and metropolitan councils of varying size were represented in the development process. Drafts were released progressively to councils for comment and site visits were undertaken to gather information from subject matter experts. In March 2009, the draft was released as an exposure draft for comment to all councils and to other stakeholders: The stakeholders consulted included the Building Commission, Department of Human Services, Department of Planning and Community Development, Victorian Local Government Councils and the Municipal Association of Victoria. The draft RDA was endorsed by Public Records Advisory Council at their July meeting and is scheduled to be issued as a Standard in August 2009. A full list of current RDAs is provided in Appendix 3.
Client Satisfaction Survey The Client Satisfaction Survey was established in May 2007 and is used as a way of measuring and improving PROV’s services to its government clients. In mid-2009 the survey underwent a review and questions were changed to better reflect the key information required by PROV. The survey is distributed quarterly to PROV clients, with respondents asked to provide feedback and rate staff on areas such as professionalism, helpfulness and timeliness. This year’s survey has identified an average 96% satisfaction rating, which is a 7% increase on last year. 34 Government education and training During 2008-2009, 212 Victorian public sector staff attended PROV training. The following courses are currently offered: Getting Ready for VERS This interactive course provides attendees with a deeper understanding of the Victorian Electronic Records Strategy (VERS) and practical guidance on how it can be applied in an agency. In 2008-2009 40 staff attended this course over 4 sessions. VERS Technical VERS Technical is an intensive PC-based course which gives participants an opportunity to develop a thorough understanding of VERS objects in a ‘hands on’ environment. Participants spend the day viewing, creating, using and dismantling VERS Encapsulated Objects (VEOs). In 2008-2009 23 staff attended this course over 2 sessions. Good Records, Good Business, Good Governance PROV’s awareness program Good Records, Good Business, Good Governance is a free-of-charge, packaged recordkeeping awareness program that an agency can deliver in its own organisation or have delivered by PROV staff on their behalf, with a mix of free sessions for inner-budget departments and a fee-for-service model. The free sessions are capped at 10 hours per department and this has had limited uptake during 2008-2009. Departments have preferred to use the hours instead to obtain consultancy from PROV in developing their own in-house online training. In 2008-2009 PROV licensed 86 organisations to use this course and delivered the course to 77 staff on behalf of other organisations. Records Management Concepts-Records This course introduces the characteristics of a record in the context of the public sector. It is aimed at people who are relatively new to records management in the public sector. In 2008-2009 23 staff attended this course over 2 sessions. Records Management Concepts-Systems, Storage and Disposal This course follows on from Records Management Concepts-Records. It outlines the characteristics of recordkeeping systems and includes disposal, functional analysis, capture, and classification. In 2008-2009 34 staff attended this course over 3 sessions. Take-Away Concepts Take-Away Concepts combines the principles and practices covered in three shorter modules:-’Records Management Concepts-Records’, ‘Records Management Concepts-Systems, Storage and Disposal’ and ‘Getting Ready for VERS’-into a one-day workshop for in-house training of up to twenty people at an agency. This course is tailored for specific agencies and is delivered by an external trainer. In 2008-2009 15 staff attended this course at 2 sessions. Building a records management community 35 PROV continues to support the development of ‘communities of practice’ for government records management professionals, where information can be shared and issues discussed.
Records Management Network The Records Management Network (RMN) provides an opportunity for government staff to discuss issues of interest and relevance to the records management profession. Established by PROV in late 1996, the members of the RMN identify that it continues to be a worthwhile and effective tool for participants. The RMN met three times during 2008-2009, with each meeting focussing on a different theme: Two identical Records Management Network events on the theme of the new Evidence Act 2008 were held in November and December 2008, in order to satisfy the tremendous interest in this new Act. A guest speaker from the Department of Justice Criminal Law Policy Unit spoke about the development of this significant new legislation, and PROV staff spoke about the impact of the Act on recordkeeping in Victoria. The presentations from the November session were recorded and have been published on the PROV website as Podcasts. The May 2009 Records Management Network meeting focussed on Information Security. A representative from the Victorian Government Services Group spoke about the newly-published Information Security Standards, and PROV staff spoke about the products being developed to support the new Evidence Act 2008.
EDRMS Project Managers Forum This forum provides an opportunity for project managers responsible for implementing electronic document and records management systems to share information, exchange ‘lessons learned’ and discuss common issues and problems. This has proved to be a very popular forum, with an active membership meeting monthly over the course of the year.
Record Managers Forum This quarterly forum provides an opportunity for government staff involved in records management to regularly meet for discussion and information exchange. This has provided a very useful forum to assist agencies to build their records management capacity and knowledge, while giving PROV insight into agency experience and requirements. 36 Sir Rupert Hamer Records Management Awards The annual Sir Rupert Hamer Records Management Awards focus on two key areas within the Victorian public sector: preservation of records of permanent value and innovations in record management practices. Categories also recognise the work of Places of Deposit (community archives approved by PROV to hold non-permanent public records of local significance). The Awards are an initiative of the Public Records Advisory Council (PRAC) and are judged by a subcommittee comprising members of Council and representatives of the Records Management Association of Australasia. PROV would like to thank this year’s sponsors who also made this event possible, namely: • Australian Society of Archivists Inc. • Records Management Association of Australasia • Albox Pty Ltd • Archival Survival • Archive Security • Astral Consulting Services • Beacon Archives • Brownbuilt Pty Ltd • Commando Storage Systems • Doc-U-Store • Fort Knox Records Management • Grace Records Management • Iron Mountain Australia • Objective Corporation Ltd • Records Solutions Pty Ltd • Royal Historical Society of Victoria • Secure-It Records Management • Synercon Management Pty Ltd • Votar Partners Pty Ltd • Zetta Florence Pty Ltd The following awards were announced: 37 Government agencies Small Agency Category Certificate of Commendation: Rural Finance Corporation of Victoria, ‘Rural Finance Corporation Records Management and Disposal Program’ In 2006 the Corporation identified a number of significant records management issues, and committed staff and budget to develop and implement a disposal program. This resulted in: improved records management and awareness of obligations across the agency; improved access through a scanning program and by transfer of records to PROV; and moves towards assessment of the document management system for compliance against the VERS Standard. Medium Agency Category Winner: Victorian Auditor-General’s Office, ‘Records Management Checklist-A tool to improve records management’ VAGO undertook a major performance audit of records management in the Victorian public sector in 2007. The Records Management Checklist was the primary tool developed and used to collect evidence for the audit. It was used by 110 agencies to self assess their performance and was recognised by them as a valuable tool. The Checklist helps agencies comply with PROV records management standards, can identify areas for improvement in records management, is principle-based and is consistent with Australian and PROV Standards. Large Agency Category Winner: Department of Human Services, ‘Records Management Improvement Strategy’ Key objectives of the strategy were to reduce an estimated 76 kilometres of records through authorised destruction of time-expired records; to increase the percentage of records captured in the recordkeeping system; and to preserve and prevent deterioration of vital records and finding aids. Achievements in 2008 included the development of six retention and disposal authorities, endorsement by the Secretary of a new departmental Recordkeeping Policy and the establishment of a Records Management Strategy Steering Committee. Certificate of Commendation: City of Greater Dandenong, ‘Historical Scanning Project: Scanning the past to build the future’ This project was aimed at controlling and providing access to various records, including inactive and archival records, dating from before the 1994 council amalgamations. The focus was to address storage and preservation of permanent and vital records, including imaging for efficient access and service delivery and linking legacy records to active records, and to facilitate access to current information in a cost effective manner. Certificate of Commendation: University of Melbourne, ‘Web Archiving @ the University of Melbourne’ The Web Archiving program’s Collection Management Plan focuses on University of Melbourne web pages that contain corporate records or document corporate activities. Using an internet archive subscription service, two approaches permit either quarterly, whole-of-domain retrieval for archiving or a selective approach to target particular pages more frequently. Regional/Rural Agency Category NOTE: No prize was awarded in this category 38 Community archives Preservation of records of significance to the local community and the state NOTE: No prize was awarded in this category Providing public record access in the local community Winner: Castlemaine Historical Society Inc., ‘Metcalfe Shire Council Sundry Correspondence Files’ Castlemaine Historical Society received 76 boxes and three volumes of sundry correspondence from the former Metcalfe Shire. The boxes contained over 500 documents each and all records required cleaning, rehousing and indexing to make them accessible. The indexing project resulted in a powerful tool to assist research into the former Shire and to make the records accessible to the wider community. Projects or programs that provide greater understanding of and accessibility to the Place of Deposit’s archival collection Winner: Royal Historical Society of Victoria, ‘Mac Robertson’s Round Australia Expedition 1928’ With the assistance of a Potter Foundation grant, the RHSV has commenced digitising its collection. The significant McPherson Robertson collection was an early candidate for digitising and images from it have been used in the online exhibition Mac Robertson’s Round Australia Expedition 1928. As well as providing improved access to the collection, volunteer involvement and the use of tools such as blogs have led to affiliated societies having access to teaching aids to form similar projects they might undertake. Certificate of Commendation: Bellarine Historical Society Inc. ‘Geelong and District Potpourri Database’ The database is ongoing work that provides access to a variety of indexes of records and other information sources relevant to the Geelong district. The indexes are produced primarily by volunteers in historical societies across the region. The database is freely accessible online and updated CD ROM versions are regularly distributed to local groups who have no, or limited, internet access. Innovative programs that ensure local records of significance are accessible and that support Places of Deposit in operating, expanding and maintaining their collections Winner: East Gippsland Shire Council A project to apply the Local Government Retention and Disposal Authority led to the transfer of permanent records to PROV and the identification of significant temporary records with local historical significance. By a process of consultation and negotiation, the Shire supported the appointment by PROV of six local Places of Deposit (POD) in 2008. So far the Shire has transferred 95 large volumes of historic council records to the six PODs. Launch of Index to Victorian Wills and Probate records 1841-1925 39 In December PROV launched a new online project, a name index to Wills and Probate records for people who died in Victoria between 1841 and 1925. The index is a product of the work of hundreds of volunteers coordinated by the Victorian Association of Family History Associations and supported by the Family Search digitisation program. The index links to images being created by the associated project to digitise Wills and Probate files to 1925, which is also nearly complete. The index immediately proved very popular and PROV has upgraded its web servers to cope with the increase in demand.
Sample front cover ‘fragment’ of one of the wills and probate files made available online this year.
Culturally and Linguistically Diverse programs A major initiative this year was the bilingual Irish travelling exhibition Currach Folk from the National Maritime Museum. PROV included a large number of Irish records and stories into the exhibition. The PROV interpretative panels were translated by the Irish Tourism Authority and they also supplied bilingual signs welcoming people to the archives. A partnership was formed between a number of Irish organisations and PROV to develop a range of complementary programs. A very successful Irish Day was held on 17 July 2008 with seminars, films, walks, and family research information. The PROV volunteer program continued to recruit volunteers this year from Victoria’s culturally diverse community, and a number of English as Second Language tours were held through the year for school groups.
Renowned musical group Euphonia wowed the crowds with a treasure trove of Irish songs at the launch of Currach Folk: Photographs by Bill Doyle at the Victorian Archives Centre. 40 Develop the right people and provide the right tools to deliver PROV’s strategic objectives
Repair the Victorian Archives Centre so that it is able to be fully utilised for its planned life
Victorian Archives Centre renewal During 2008-09 PROV conducted a full building assessment to ensure that the Victorian Archives Centre would continue to serve the Victorian public and government agencies consistent with its purpose-built intention. As a result of the assessment a full works program was tendered and these works commenced in May 2009. The works when completed (estimated March 2010) will ensure that the full capacity of the building is realised. Rectification works will ensure building integrity is maintained for the design life of the building. Works include improved archival storage conditions, an upgrade of the building fire and sprinkler system and miscellaneous building fabric work.
Actively respond to climate change and energy cost increases by putting in place measures to reduce PROV’s carbon footprint and decrease water usage
Environmental sustainability program In its Our Environment, Our Future-Sustainability Action Statement, the Victorian Government pledged to lead by example and make the environment central to planning, operations and policy decisions. PROV has committed to reducing its greenhouse gas emissions and improving sustainability across the organisation. During the year, an environment program was introduced and environmental management was included as a key element in business planning. PROV’s sustainability strategy not only involves looking at facilities and office-based activities such as energy consumption, paper use and water, but also the wider impacts of the organisation. PROV’s purpose is to support the effective management and use of the State’s public records, and one aspect of this is ensuring it is done on a sustainable basis. As such, PROV will facilitate and encourage sustainable records management across government, and work to preserve and provide access to records in a way that minimises resource use.
2007-08 2008-09 Energy 1057 Megajoules per m2 850 Megajoules per m2 Water 32.19 kL per FTE 23.7 kL per FTE Paper 15.5 reams per FTE 13.7 reams per FTE Waste (estimated, no data collection) 0.98 tonnes per FTE 0.91 tonnes per FTE Greenhouse gas emissions 6104 tonnes CO2 4548 tonnes CO2 (includes electricity, gas, waste to landfill, fuel and flights)
This table provides a comparison of environmental measures between last year and the current year and demonstrates the scale of savings that have been achieved to date. In 2008-2009, the focus was on ‘getting our house in order’ first. This included two major 41 projects to reduce energy use and collect rainwater, together with a number of smaller activities initiated and implemented by staff. As well as helping to address PROV’s environmental impacts, the sustainability program provides opportunities to contribute to the local community.
Reducing energy use at the Victorian Archives Centre The nature of PROV’s business makes energy use the organisation’s largest direct environmental impact-the Victorian Archives Centre has massive record storage repositories which must be kept at a strictly-controlled temperature and humidity to ensure preservation of the archives. During the year PROV undertook a project that resulted in a 20% reduction in energy use. In May 2008 PROV began a trial to determine how well conditions in the repositories could be maintained if some or all air-conditioning units were switched off. Constant air quality monitoring was conducted, with temperature and humidity readings logged every fifteen minutes. The success of the trial led to it being extended and the units remained switched off throughout summer and for the rest of the year; conditions stayed relatively steady and well within guidelines for archival storage. PROV now plans to make changes to the plant equipment to enable the trial to be made permanent. A number of other energy-saving initiatives were implemented at the same time, including reduced air-conditioning in office areas and removal of unnecessary lighting.
As part of PROV’s environment program, shredded paper and newspapers are regularly taken to the Lost Dogs Home in North Melbourne, where they provide bedding for homeless dogs and cats. Staff also bring old towels, sheets and blankets to work for ‘recycling’ to the home. Every day The Lost Dogs Home rescues and cares for at least thirty dogs and twenty cats (or more than 20,000 dogs and cats each year), so a lot of bedding is needed.
Water harvesting project PROV’s facilities also provided an opportunity to have a positive impact by reducing demand on Melbourne’s scarce water supply. The roof of the Victorian Archives Centre is 14,000 square metres and in an average year collects eleven mega-litres of rainwater. PROV undertook a joint project with the City of Melbourne, supported by a Federal Government grant, to install four rainwater tanks during the year. The tanks have the capacity to hold 500,000 litres, which will be used to water street trees in the area and for the Victorian Archives Centre’s sanitary system. Installation of an additional three tanks is planned for 2009-2010.
Three of PROV’s four tanks 42 Enabling initiatives
In order to achieve PROV’s priorities, a number of activities and initiatives were delivered. Some of these enabling initiatives are strongly associated with particular strategic outcomes whereas others contribute to all strategic outcomes.
Volunteers program PROV has a highly-skilled team of volunteers undertaking a range of activities that support staff and increase public access to records in the collection. During the year volunteers worked on projects in a number of areas including online resources, collections management and the Koorie Index of Names (KIN) project, together with conducting tours and maintaining PROV’s technical library. The program has succeeded in diversifying its membership with the recruitment of volunteers from different age groups and cultural backgrounds. During 2008-2009 more than 110 volunteers contributed a total of 15,633 hours; a massive effort that enabled PROV to provide increased resources and services to researchers. PROV greatly appreciates the work and commitment of our volunteers:
Amanda Towan Helen Rowe Margaret Wright Anh Dinh Ian Braybrook Maria Baker Anuya Chuah Ingrid Hood Marjory Knight Barbara Addie Irene Kearsey Marlene Gray Barbara Minchinton Jacek Pakula Mary Maxwell Bernadette Griffiths Jean Smith Maureen Molloy Beryl Mainon Jennifer Connor Mei Wong Betty Keay John Bolt Melissa Punchard Brian Dixon John Hogan Millie Marsh Carole Field John Killian Neil Morris Claudia Gulli John MacKinnon Neil Robinson Constance Eastwood Jon Rennison Noel Logan David Warnock Judith Mason Pamela Weller Dawn Riddel Judith Vardy Patricia Porigneaux Dawn Walduck Judy Johnston Robyn Luczynski Dianne Carmody Julie Chippindale Rosalind Faichney Dianne Hughes Kathleen Goodman Roslyn Burns Dion Kocamis Katrina Hodgson Russell O’Connell Dot Skewes Keith Thomas Sara Hardy Edna Lowe Ken MacKenzie Sharmila Suthakaran Elizabeth Brown Ken Walduck Shirley Krumnow Elizabeth Buckle Keng Chong Shirley Turner Emily Johns Kim Clayton-Greene Steven McMillan Ersie Burke Kim Henderson Sue Dawson Flora Walker Laurice Cross Sue Rickard Gail Thornwaite Lavinda Basi Susan Minetti Gavin Faichney Leanne Goss Tim Marriott Geoff Currey Leonie Marshall Trudy Collins Giorgia Galli Les Sharf Val Connors Gordon Dadswell Levina Mbugua Val Latimer Graeme Cardillo Louise Jesson Vicki Montgomery Graeme Dawson Liz Grant Wendy Smith Graham Bence Liz Raven Yasemin Hussein Grazina Ramanauskas Maggie Robinson Yvonne Pratt Gregory Hall Marcel Gerner 43 Volunteers and PROV staff including (centre of photo) Colin Kemp, Beryl Mainon and Andy Joyce].
Chief Information Officer 2008-2009 saw the establishment of the Chief Information Officer (CIO) role at PROV. A new Information Services team was built around this role incorporating recordkeeping, information management, information communication technology, and communications and marketing. The CIO and Information Services team will ensure PROV more efficiently creates, communicates, manages and stores information. In addition, the team will be responsible for PROV’s information framework. The scope of the CIO and the Information Services team encompasses the management of PROV’s obligations under the Freedom of Information Act 1982, Privacy Act 1988 and the Public Records Act 1973. 2008-2009 focussed on planning around an information management strategy and policy. In 2009-2010, the focus will be on their implementation. Under the umbrella of new whole-of-Victorian-government recordkeeping Standards, PROV is expected to be a trial site for test-driving the new Standards. 44 Disability Action Plan In 2008-2009, the Office for Disability provided training to PROV to establish a Disability Action Plan for the organisation. ‘The subsequent development of PROV’s plan is now close to completion and will emphasise both the organisation’s commitment to inclusion and its willingness to ensure that PROV policies, programs and services are accessible and responsive to the needs of people with disabilities.
Online Business Services To increase the visibility and usability of PROV’s collection, an Online Business Development unit was established in May 2009, to look at ways in which PROV could establish relationships with third parties to undertake collaborative digitisation projects. A range of records series are being considered to be included in these projects should suitable funding become available, including passenger lists (inward and outward), teacher records and asylum records 45 Appendices 46 Appendix 1: Assets and Financial statement
Assets The assets include both community and operating assets in the following four categories:
Community assets These assets are the state’s archival holdings. The holdings have been valued at $189.3 million.
Buildings Records repositories for storage of the state archives and the state government’s non-current records are located at North Melbourne and Ballarat.
Motor vehicles Public Record Office Victoria operates two vehicles: a sedan and a station wagon.
Plant and operating equipment Operating assets are used for the upkeep of the repositories so public records can be stored safely and made available for public inspection. They include microform readers and printers, photocopiers, computer equipment, buggies and forklift vehicles, compactus shelving, general office furniture and equipment and stores.
Financial statement 2007–2008 2008–2009 Operating $2,584,482 $3,377,119 Other operating1 $9,657,700 $9,679,409
Salary $5,052,712 $5,431,670 1 Other operating includes capital asset Sub-total $17,294,894 $18,488,198 charge and depreciation expense. 2 Capital investment includes progress Capital2 $1,387,554 $723,000 payments for the building of the digital archive and investment against the PROV Total expenditure $18,682,448 $19,211,198 asset management plan.
Staff profile
Total Female Male Number of Employees (head count) At 30 June 2008 69 43 26 At 30 June 2009 76 49 27 Number of staff members, by position type Executive 1 1 0 Professional 65 41 24 Administration 10 7 3 Number of staff members, by employment type Permanent full-time 55 32 23 Permanent part-time 15 12 3 Fixed term 6 5 1 Number of male and female directors and managers Director 1 1 0 Managers 4 2 2 Appendix 2: Publications 47
A full list of current PROV publications is available on the PROV website at www.prov.vic.gov.au/publications. Publications are available from: Publication Sales Public Record Office Victoria PO Box 2100 North Melbourne VIC 3051 Phone: (03) 9348 5600 Fax: (03) 9348 5656 Email: [email protected]
Publications 2008–2009 PROV produced the following publications during 2008–2009:
Magazines, newsletters and journals PROactive Summer 2008–09, No. 44 Access Services magazine published ISSN 1321-9545 simultaneously in print and on the PROV website. The magazine has now been discontinued.
rEsearch August 2008, No. 30 A bi-monthly text-only newsletter published October 2008, No. 31 simultaneously by email to subscribers and December 2008, No. 32 on the PROV website. February/March 2009, No. 33 April/May 2009, No. 34 June/July 2009, No. 35 ISSN 1499-0331 Provenance: the Journal of Issue 7, September 2008 Public Record Office Victoria ISSN 1832-2522 An annual online journal presenting research from the records held at PROV. POD Newsletter July 2008, No. 8 A bi-monthly newsletter for the Places of Deposit (POD) network published simultaneously by email to subscribers and on the PROV website. Koorie Records Unit Newsletter February 2009, No. 3 A bi-annual newsletter from PROV’s Koorie June 2009, No. 4 Records Unit published simultaneously by email to subscribers and on the PROV website. 48 Appendix 3: Standards and advice issued
Section 12 of the Public Records Act 1973 requires the Keeper of Public Records to establish standards for the efficient management of public records and to assist public offices in the application of those standards to records under their control. The Act requires public offices to implement records management programs in accordance with the standards established by the Keeper. For a complete list of standards see www.prov.vic.gov.au/records/standards.
Advices These assist Victorian government agencies with applying the standards and provide guidance on specific issues.
Advices issued No Advices were issued in the financial year 2008/09.
Retention and Disposal Authorities Retention and Disposal Authorities specify mandatory retention periods for Victorian public records.
Authorities issued in 2008–2009
PROS Title of authority Issue date Expiry date PROS 08/06 Retention & Disposal Authority for Records of the 28/07/2008 28/07/2018 Port of Melbourne PROS 08/07 Retention & Disposal Authority for Records of the 05/12/2008 05/12/2018 Working with Children Check Function PROS 08/08 Retention & Disposal Authority for Records of the 11/11/2008 11/11/2018 Rural Finance Function PROS 08/09 Retention & Disposal Authority for Records of the 10/10/2008 10/10/2018 Essential Services Function PROS 08/10 Retention & Disposal Authority for Records of the 06/01/2009 06/01/2019 Curriculum and Assessment Functions PROS 08/11 Retention & Disposal Authority for Records of the 06/01/2009 06/01/2019 Legal Services Commissioner PROS 08/12 Retention & Disposal Authority for Records of Child Protection 12/02/2009 12/02/2019 & Family Services Functions PROS 08/13 Retention & Disposal Authority for Records of the 12/02/2009 12/02/2019 Disability Services Function PROS 08/14 Retention & Disposal Authority for Records of the 12/02/2009 12/02/2019 Housing Function PROS 08/15 Retention & Disposal Authority for Records of the 12/02/2009 12/02/2019 Public Health Function PROS 08/16 Retention & Disposal Authority for Records of the 12/02/2009 12/02/2019 Youth Services and Youth Justice Functions PROS 08/17 Retention & Disposal Authority for Records of the 12/02/2009 12/02/2019 Youth Parole and Residential Boards PROS 09/01 Retention & Disposal Authority for Records of the 03/04/2009 03/04/2019 Dispute Settlement Centre of Victoria PROS 09/02 Retention & Disposal Authority for Records of the 19/03/2009 19/03/2019 Legal Services Board Variations to existing authorities 49
PROS Title of authority Issue date Expiry date PROS 94/02 Retention and Disposal Authority for Records of the Department of Justice 15/12/2008 30/07/2010 – Police Station Records – Variation 10 PROS 96/10 General Retention and Disposal Authority for Prison Records – Variation 5 15/12/2008 22/12/2010 PROS 96/21 Retention & Disposal Authority for Records of the Apprenticeship and 5/02/2009 30/06/2010 Traineeship Function – Variation 2 PROS 97/06 Retention and Disposal Authority for Records of the Victorian Arts Centre 12/08/2008 30/04/2010 Trust – Variation 2 PROS 97/07 Retention and Disposal Authority for Records of Vehicle Registration and 25/08/2008 30/05/2009 Driver Licensing – Variation 3 PROS 97/07 Retention and Disposal Authority for Records of Vehicle Registration and 6/05/2009 31/07/2009 Driver Licensing – Variation 4 PROS 97/08 Retention and Disposal Authority for Records of the Building Commission – 29/08/2008 30/06/2009 Variation 3 PROS 98/01 General Retention and Disposal Authority for Records of Local Government 21/05/2009 31/08/2009 – Variation 4 PROS 98/02 Retention & Disposal Authority for Records of the Department of Education 12/08/2008 30/04/2010 & Early Childhood Development – Variation 2 PROS 98/02 Retention & Disposal Authority for Records of the Department of Education 12/03/2009 30/05/2010 & Early Childhood Development – Variation 3 PROS 98/08 General Retention and Disposal Authority for Records of the Ambulance 01/10/2008 31/05/2010 Services Victoria – Variation 2 PROS 99/01 Retention and Disposal Authority for Records of the Department of Premier 12/06/2009 19/07/2009 and Cabinet – Variation 1 PROS 99/02 Retention and Disposal Authority for Records of the Department of Treasury 06/05/2009 23/12/2011 and Finance – Variation 3 PROS 99/03 Retention and Disposal Authority for Records of the Victorian WorkCover 25/02/2009 16/10/2009 Authority – Variation 2 PROS 99/04 General Retention & Disposal Authority for Public Health Services Patient 18/05/2009 31/03/2011 Information Records – Variation 5 PROS 99/05 Retention and Disposal Authority for Records for the State Coroner’s Office 04/05/2009 29/10/2010 Records – Coronial Investigations – Variation 1 PROS 99/06 Retention and Disposal Authority for Records of the Office of Gas Safety 22/05/2009 31/12/2011 Function – Variation 1 PROS 99/08 Retention and Disposal Authority for Records of the Gambling Regulation 10/10/2008 11/12/2009 Function – Variation 2 PROS 99/08 Retention and Disposal Authority for Records of the Gambling Regulation 29/10/2008 11/12/2014 Function – Variation 3 PROS 01/01 General Retention & Disposal Authority for School Records – Variation 2 22/12/2008 02/03/2011 PROS 01/04 Retention and Disposal Authority for Records of the State Revenue Office 11/05/2009 10/07/2011 – Variation 1 PROS 08/06 Retention & Disposal Authority for Records of the Port of Melbourne – 23/01/2009 28/07/2018 Variation 1
Standards PROV’s standards and specifications establish requirements for the creation, management and use of Victorian public records. No standards or variations to standards were issued in the financial year 2008/09. 50 Appendix 4: Approved Public Record Office Victoria Storage Suppliers (APROSS)
APROSS sites are commercial facilities that have been inspected by PROV and approved for the storage of temporary and unsentenced public records. For a complete list of APROSS sites see www.prov.vic.gov.au/records/apross.asp.
APROSS facilities approved in 2008–2009 Archive Security Unit 3 71-93 Western Avenue Tullamarine Vic 3043 Fort Knox Records Management 22 Salta Drive Altona North Vic 3025 Grace Records Management 31/9 Ashley Street West Footscray Vic 3012 Grace Records Management 61 Wigg Street Wodonga Vic 3689 Iron Mountain Building 30/9 Ashley Street West Footscray Vic 3012 Iron Mountain Media Vault Storage Building 37a/9 Ashley Street West Footscray Vic 3012 Tape Management Services Pty Ltd Dryburgh Street North Melbourne Vic 3051 Appendix 5: Approved Places of Deposit 51 for temporary records
Places of Deposit are community facilities that meet the storage standards required by PROV to preserve records of significance to local communities. For a complete list of Places of Deposit see www.prov.vic.gov.au/about/collection/deposit.asp
PLACES OF DEPOSIT appointed 2008-2009
Buninyong and District Historical Society 1 September 2008 Court House Learmonth St Buninyong 3357 Web: http://home.vicnet.net.au/~buninhis/ Boort Historical Society Inc 15 July 2008 Godfrey Street Boort 3537 East Gippsland Family History Group 1 September 2008 21 Morgan St Bairnsdale 3875 Web: http://home.vicnet.net.au/~egfhg/ East Gippsland Historical Society Inc. 15 July 2008 40 Macathur Street Bairnsdale 3875 Euroa Historical and 15 July 2008 Kirkland Avenue Genealogical Society Inc. Euroa Lakes Entrance Family History 1 September 2008 2 Marine Parade Resource Centre Inc Lakes Entrance 3909 Web: http://home.vicnet.net.au/~lefhrc/ Lakes Entrance Regional 15 July 2008 2 Marine Parade Historical Society Inc. Lakes Entrance 3909 Omeo Historical Society Inc 1 September 2008 Historical Park Day Avenue Omeo 3898 Web: http://www.omeo.org.au/ Orbost and District Historical Society Inc 1 September 2008 East Gippsland Council Administration & Library Building Ruskin St Orbost 3888 Pyramid Hill and District Historical Society 15 July 2008 McKay Street Pyramid Hill 3575 Wangaratta High School 15 July 2008 Phillipson Street Wangaratta 3677 52 Appendix 6: VERS-compliant products
After testing conducted by PROV, the following systems have demonstrated a capability of meeting either all or part of the requirements for long-term electronic records management outlined in PROS 99/007: Standard for the Management of Electronic Records (also known as the VERS standard). Systems may be certified against some or all of the specifications listed in the standard. Please see the VERS compliance pages on the PROV website for more information (www.prov.vic.gov.au/vers/assessment).
Product Vendor Standard Spec 1 Spec 2 Spec 3 Spec 4 Spec 5 version Open Text eDOCS RM, Open Text Corp 2 Jan 08 Dec 05 Oct 07 Oct 07 Oct 07 VERS VEO Edition (formerly Hummingbird) IBM FileNet P8 Records IBM 2 Jan 08 Jan 08 Jan 08 Jan 08 Jan 08 Manager 4.x Bluepoint Content Manager Bluepoint 2 Feb 08 Feb 08 Mar 08 Feb 08 Feb 08 7.5 Meridio 4.4 Meridio Ltd 2 Apr 07 Apr 07 Objective 7.3 Objective Corp Ltd 2 Oct 06 Apr 07 Sep 07 Sep 07 Sep 07 Livelink 3.0.1 OpenText Pty Ltd 2 Mar 06* Mar 06* Trim Context 6.2 TOWER Software 2 Feb 08 Jan 08 Jan 08 Feb 08 Feb 08 Dataworks 3.0.4 Avand Pty Ltd 2 Jan 06* Image REAL Document Canon Australia 2 Nov 05* Management Win VEO 2.0 VERS Pty Ltd 2 Apr 05* Apr 05 Documentum Content EMC Corp 2 Sep 04* Server 5.2.5/Document Records Manager 4.1a Electronic Document Alphawest 1.2# Sep 05* Sep 05* Sep 05 Management System as installed at the Essential Services Commission for the EDM project Document WorkBench Fuji Xerox Australia 1.2# Feb 05* Feb 05* Feb 05 2000 Release 6 Pty Ltd Electronic Document Alphawest 1.2# Mar 04* Mar 04* Mar 04 Management System as installed at the Department of Justice for the EDM project Win VEO 1.1.0.13 VERS Pty Ltd 1.2# Nov 03* Nov 03 Objective 6i Objective Corp 1.2# Aug 02* VERS Compliant Alphawest 1.2# Jun 02* Jun 02* Jun 02 Recordkeeping System as installed at the Department of Infrastructure for the VERS@DOI project versions 1 & 2 Recordpoint for Microsoft Uniqueworld 2 Apr 08 Apr 08 Nov 08 Dec 08 Nov 08 Sharepoint (MOSS 2007) I5 I5 Software 1.0 Feb 08 Jan 08 Feb 08 iGate Jul 08 Jul 08 Recfind KnowledgeOne 6 Apr 08 Apr 08 May 08 May 08 Jun 08 Corporation
* Denotes conditions associated with certificate. # Standard version 1.2 Specification 3 included VERS Standard Electronic Record Format, VERS Long Term Preservation Formats and Export of Electronic Records to PROV. Appendix 7: VERS consultancy services 53
All Victorian government departments continued with initiatives designed to improve their digital records management capability and achieve VERS compliance. VERS consultancy services support the implementation of effective and integrated records management through a range of programs. During 2008-2009 PROV undertook 102 general VERS consultancies to government agencies throughout Victoria and system vendors. In addition, PROV delivered 9 major VERS consultancy projects to agencies and commenced 3 more. Mentoring was provided to 5 Victorian Government agency staff to increase their records management capacity.
Major VERS consultancy projects delivered Department of Education and Early Childhood Development – Development of Key Performance Indicators for Records Management Department of Human Services – Permanent Record Imaging Project Department of Innovation, Industry and Regional Development – Records Management Strategy Department of Justice – Classification Implementations Options Paper for State Revenue Office Department of Justice – Requirements for Electronic Prisoner Health Records Department of Justice – Recordkeeping Requirements for Business Applications Department of Premier and Cabinet / Department of Treasury and Finance – Records Management Process Review Department of Transport – Review of Records Management Processes at the Victorian Taxi Directorate Municipal Association of Victoria – Records Management Better Practice Guide for Local Government
Major VERS consultancy projects commenced Whole of Victorian Government – VERS Stage Two Planning Department for Human Services – Contract Managers Guide to Managing the Records of Outsourced Activity Department for Planning and Community Development – Scoping of Information Management Strategy 54 Glossary
accession A group of records from the same transferring agency taken into PROV custody at the same time. The records may be formally arranged and described into records series and consignments or they may be unarranged and undescribed. Accessioning refers to the process of formally accepting and recording the receipt of records into custody (Keeping Archives1). advice A document issued by PROV providing advice to Victorian agencies on a recordkeeping issue. (Includes formal advice about standards as well as forms and other tools to help Victorian government agencies manage and use public records.) appraisal The process of evaluating business activities to determine which records need to be captured and how long the records need to be kept to meet business needs, the requirements of organisational accountability and community expectations (Australian Standard AS ISO 15489.1). APROSS Approved Public Record Office Storage Supplier – the PROV program for the storage of records which the Keeper of Public Records has approved for eventual destruction or which are awaiting a decision as to their archival value. archive The whole body of records of continuing value of an organisation or individual. Sometimes called ‘corporate memory’ (AS 4390.1 -1996). archives Records considered to have continuing or permanent value that have been, or will be, transferred to the custody of an archival organisation; also used to refer to the buildings in which archival records are stored and to organisations that have responsibility for archival records (Private lives, public records2). consignment A consignment comprises record items belonging to a single record series that has been transferred to the custody of PROV as part of the one accession. A consignment may comprise the whole or only part of a series. Each consignment is identified by a code (e.g. VPRS 1234/P1). digital / A record produced, housed or transmitted by electronic means rather than physical electronic record means. A record expressed in an electronic digital format. A record stored in a form that only a computer can process. digitised record / An electronic reproduction of a picture, photograph or physical item (e.g. letter or digital image document) that can be stored on computer or disk, and can be viewed, transmitted, manipulated and/or printed via computer. A subset of digital records (Private lives, public records). disposal A range of processes associated with implementing appraisal decisions. These include the retention, deletion or destruction of records in or from recordkeeping systems. They may also include the migration or transmission of records between recordkeeping systems, and the transfer of custody or ownership of records. Within the Victorian public sector, records are appraised to determine their significance (business, legal or historical) and then judged to be either of temporary or permanent value to the state. Government bodies are guided by standards or schedules issued by PROV to regulate the disposal of records. disposal A legal document that defines the retention periods and consequent disposal actions authority authorised for specific classes of records (AS 4390.1 -1996). permanent Records which have been appraised as being of permanent value to the State of Victoria records and which must be kept forever. place of deposit A location approved by the Victorian government minister responsible for PROV for the (POD) storage by community groups of temporary records of local value.
1 J. Ellis (ed.), Keeping Archives, 1993, The Australian Society of Archivists Inc., Australia. 2 B. Fensham et al., Private lives, public records, 2004, Public Record Office Victoria, Australia. provenance A principle that involves establishing the administrative context in which records were 55 created and used. The provenance of records includes their original creators and users, and the subsequent administrators who were responsible for the recordkeeping system in which the records were kept (Private lives, public records). public record A record made or received by any person employed in a public office while carrying out his or her public duties (Public Records Act 1973). public records Information or documents created as part of the activities of state government departments, agencies and local government (Private lives, public records). reading room Area set aside at PROV centre for public access to records (Private lives, public records). record Something that documents a particular event or decision, or a document and its contents that have some evidentiary value. A record can take many forms: • a document in writing • a book, map, plan, graph or drawing • a photograph • a label marking or other writing which identifies or describes anything of which it forms part, or to which it is attached by any means whatsoever • a disc, tape, soundtrack or other device in which sounds or other data (not being visual images) are embodied so as to be capable (with or without the aid of some other equipment) of being reproduced therefrom • a film, negative, tape or other device in which one or more visual images is embodied so as to be capable (as aforesaid) of being reproduced therefrom • anything whatsoever on which is marked any words, figures, letters or symbols which are capable of carrying a definite meaning to persons conversant with them (AS ISO 15489.1). recordkeeping Making and maintaining complete, accurate and reliable evidence of business transactions in the form of recorded information. records Field of management responsible for the efficient and systematic control of the creation, management receipt, maintenance, use and disposal of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records (AS ISO 15489.1). repository The building (or part of the building) in which the collection/holdings are housed. series A group of records which are recorded or maintained by the same agency or agencies and which: • are in the same numerical, alphabetical, chronological or other identifiable sequence; or • result from the same accumulation or filing process, perform the same function or may be of similar physical shape or information content. standard A set of criteria that states a level of requirement for Victorian agencies. Standards are established by the Keeper of Public Records under the Public Records Act 1973. Standards can be compliance-oriented or oriented towards best practice. temporary Records which are appraised as being of value for a bounded time span and which may records be destroyed once they are older than that time span. transfer The removal of public records from the offices which have created or inherited them. Custody, ownership and/or responsibility for the records is changed (e.g. from the office to PROV) (AS ISO 15489.1). unsentenced Records which have not yet been appraised and whose status is therefore not yet records determined (Public Records Act 1973). VPRS An abbreviation for Victorian Public Record Series. A VPRS number is allocated to each record series when it is transferred to PROV. 56