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Transfer of Permanent Records to Public Record Office Victoria - Guidelines Online

Overview | Guidelines Online | Transferring Physical Records | Transferring Electronic Records | Checklist | After Transfer | Glossary | Archival Supplies at PROV

Please note: the Overview page contains introductory information, guidelines and downloadable versions of the forms and guidelines. Further, the numbering system in this page corresponds to that used in the downloadable guidelines.

3. Getting ready to transfer

3.1 Training

Before your agency begins a documentation and transfer project, the person managing the project must attend the Documentation and Transfer training run by PROV. Details about the training sessions can be found on the training section of the PROV website.

It is important to note that only transfers that have been prepared by someone who has undertaken the Documentation and Transfer training will be accepted by PROV.

3.2 Resources

Documentation and transfer projects can take many months depending on the complexity of the recordkeeping systems and the quantity of the records. It is important to ensure that your agency has allocated the resources to complete the transfer project.

You should allow for:

• preparation time to meet the documentation requirements
• sufficient budget, time, space and technical capability to prepare the records for transfer
• trained and skilled staff to prepare and manage the transfer project

3.3 Records survey

It is recommended that you undertake a records survey before you start any documentation and transfer project. Where you have inherited the records of a predecessor agency it is necessary to separate the records by agency before you identify series. A records survey will help you identify records in the same series. This will save you time and effort as records in the same series can be transferred in a single consignment rather than as multiple consignments.

3.4 Relocation of agency

If your agency is anticipating relocation to new premises, you should advise PROV of this (12 months in advance, if possible). With sufficient notice about about the relocation, it may be possible for your agency and PROV to successfully manage disposal of both permanent and temporary records.

4. The documentation and transfer process

4.1 Contact PROV

Contact PROV as early as possible to discuss the proposed transfer. This will ensure that correct procedures are followed and that the documentation and transfer process runs smoothly. Transfers of records may be refused if, for example, records are not prepared to the required standards.

When you contact PROV you can discuss the documentation and proposed transfer with reference to:

• training requirements
• any previous transfer of records (if applicable)
• whether the transfer is physical, electronic or both
• the scope of the transfer (size, complexity)
• arrangements for public access
• resources to prepare the records according to PROV’s requirements
• details of your VERS-compliant recordkeeping system
• how to send PROV a sample set of VEOs for testing

PROV can also provide you with information about training, advice on how to complete the required documentation, and advice on practical issues such as preparing the records.

If you engage a service provider to manage the documentation and transfer project for you, it is your responsibility (i.e. the responsibility of the transferring agency) to consult with PROV regarding the transfer proposal.

4.2 Undertake transfer training

PROV provides training on how to document and transfer permanent records. Details about the training sessions can be found on the training section of the PROV website.

Once you have undertaken transfer training you will be ready to start the documentation and transfer process. It is important to note that only transfers that have been prepared by someone who has undertaken this training will be accepted by PROV.

4.3 Identify records for transfer

Use relevant Retention and Disposal Authorities (RDAs) to identify (and cull if necessary) permanent records targeted for transfer. An RDA provides a mechanism for the disposal of public records in accordance with the Public Records Act 1973. Contact PROV for advice.

Current RDAs are available on the PROV website.

Please note that if your agency’s RDA is under review, or has expired, PROV may not accept the proposed transfer.

4.4 Arrange for public access

Considering whether access restrictions should be placed on some or all of the records is an important step in the documentation and transfer process. In consultation with PROV, it must be determined whether records will be on open access, or whether they should be withheld from public inspection under Section 9, 10 or 11 of the Public Records Act 1973.

In making this assessment, you should refer to PROS 97/0004 Specification 4: Access to Public Records in which the access provisions that apply to public records in the custody of PROV are described in detail. Access arrangements are negotiated between the agency responsible for the records and PROV. See below, 2.7.1 Access Authorities, for more information.

4.5 Prepare the transfer documentation

Once you have identified the records for transfer, you must complete and submit the following forms:

• PRO 21A Proposal to Document Sentenced Permanent Public Records
• PRO 21B Series Identification Report

These forms must be received and approved by PROV before the transfer of records can proceed. The information that you provide will assist PROV to identify or describe record series and their provenance (i.e. the organisation that created, received or accumulated the records) so that the records may be accessed and understood in future.

4.5.1 Completing the forms

For each series you have identified, you will need to complete a PRO 21B Series Identification Report. If you think that some records should be withheld from public inspection because they contain personal, private or commercially sensitive information, you must indicate this on the form and specify the grounds for closure.

Public access arrangements will impact on the construction of consignments, as records that are to be withheld from public inspection are usually put in a separate consignment from records on open access.

For detailed information about public access see PROS 97/004 Specification 4: Access to Public Records.

After you have identified the series to be transferred, you can complete PRO 21A Proposal to Document Sentenced Permanent Public Records.

4.5.2 Submitting the forms

Once you have completed the forms you can email them to prov.agency.queries@dvc.vic.gov.au.

The hard copy version, with signature, should be sent to:

Documentation and Disposal, Record Services
Public Record Office Victoria
PO Box 2100
NORTH MELBOURNE VIC 3051

PROV will acknowledge receipt of your forms and will keep in touch about progress.

Your completed forms will be reviewed and allocated Victorian Public Record Series (VPRS) numbers and consignment numbers. PROV will seek further clarification about your records if necessary.

4.6 Prepare the records for transfer

When you have received VPRS and consignment numbers, you will be able to commence preparing the records for transfer to PROV. There are different procedures in place for the preparation of electronic and physical records.

4.6.1 Physical records

For details on how to prepare physical records for transfer please refer to Transferring Physical Records to PROV.

4.6.2 Electronic records

For details on how to prepare electronic records for transfer please refer to Transferring Electronic Records to PROV.

4.6.3 Mixed media transfers (electronic and physical)

Please contact PROV Documentation and Disposal ph. 03) 9348 5600 regarding this type of transfer.

4.7 Finalise the transfer documentation

4.7.1 Access Authorities

Once the public access status of the records has been determined, PROV will prepare the appropriate Access Authorities and forward them to you for action. Access Authorities are the means by which the access arrangements for the records are formalised.

The PRO 21B Series Identification Report, manifest or RDL will serve this purpose.

Please note that records may not be transferred to PROV custody until signed Access Authorities have been received.

4.7.2 Request to transfer

After PROV has received and approved the following documentation:

• PRO 21A Proposal to Document Sentenced Permanent Public Records
• PRO 21B Series Identification Report(s)
• RDL(s) or manifest(s)
• signed Access Authorities

you must complete and submit PRO 21C Request to Transfer Documented Public Records.

4.8 Approval to transfer

PROV will then contact you to arrange the physical transfer of your records.

Please note that there are different procedures for the transfer of electronic and physical records into PROV custody.

4.8.1 Physical records

For details on how to transfer physical records please refer to Transferring Physical Records to PROV.

4.8.2 Electronic records

For details on how to transfer electronic records please refer to Transferring Electronic Records to PROV.

4.8.3 Mixed media transfers (electronic and physical)

Please contact PROV Documentation and Disposal ph. 03) 9348 5600 regarding this type of transfer.

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