Last updated:

August 7, 2018

Record Keeping Assessment Tool 

PROV is developing an online Recordkeeping Assessment Tool (RKAT) for agencies to use to assess their performance maturity against the mandatory PROV Recordkeeping Standards / Specifications.

The structure and content for the tool have been developed, with the assistance of an external stakeholder advisory group, and piloted with four organisations. A contract has now been signed with a company to build the tool, commencing on the 1 July 2018. It is expected that the tool, with accompanying guidance materials, will be ready for release by 1 January 2019. It will be promoted widely to encourage agencies to use it for their own assessment and improvement programs.


How RKAT works

The content has been developed as a maturity tool, with measurement areas where agencies select from a range of maturity statements about their practices. For each measurement area there are five maturity statements, and agencies are instructed to select the statement that best fits with their current state. Agencies are also able to assess their practices as being halfway between two statements.

This approach was chosen so that:

  • agencies do not need to provide metrics, some of which may not be readily to hand. Depending on the size of the agency, the assessment should be able to be completed by a specialist member of staff or by a small group as a workshop.
  • agencies are not discouraged by being faced with yes / no questions, with subsequent low scores. The experience is not one of pass/fail, but of continuous improvement
  • small improvements are able to be reflected
  • agencies are able to see what improved practice looks like and what they need to do to achieve the next level.

The measurement areas correspond to the Standard / Specification areas, and requirements from the PROV Standards / Specifications are included throughout the measurement questions and practice statements. However, the structure and content were deliberately designed so that they roughly align with but are not lifted verbatim from the Standards / Specifications. This approach allows RKAT and the Standards / Specifications to each be adjusted over time, to ensure currency and relevance, without adversely affecting the other.


Relationship between IM3 Tool and RKAT

PROV has already developed a successful Information Management Maturity Measurement (IM3) Tool, which has been widely taken up by agencies. This is a high level tool which agencies use to assess their information management maturity in order to identify areas for improvement. It assesses information management maturity at a strategic level against a range of requirements including some PROV requirements, using ratings of Unmanaged, Aware, Formative, Operational and Proactive.

The intention is for the RKAT to focus explicitly on the records management requirements set out in the PROV Standards and Specifications. The ideal situation would be for an agency to complete the IM3 Tool and then complete the RKAT to produce a detailed picture of their performance.