Accreditation

• Accreditation of Records Management Practices
• Adequate Records Management - Assessment Reporting
• Records Management Audit

Accreditation of Records Management Practices

State Records of South Australia is required under the State Records Act, 1997 Section 5.1(c) 'to promote the observance of best practices by Agencies in their management of official records'.

State Records, through its Annual Report, informs the South Australian Parliament of the status of all Agencies' and Authorities' records management practices.

The basis of this is the Adequate Records Management Assessment Report, which measures Agency and Authority records management practices according to eleven outcomes. The outcomes are defined in the Adequate Records Management Standard, 2002.

To validate Agencies and Authorities assessment reporting scores, State Records has commenced a records management auditing program Records Management Audit.

An Adequate Records Management Improvement Matrix and Evidence Toolkit, to assist Agencies and Authorities more effectively establish a baseline from which to measure continuous improvement in their recordkeeping tools, systems, practices and resources, has been promulgated and can be downloaded from the links below.

Agencies and Authorities, who are able to provide sufficient evidence of compliance with the outcomes detailed in the Adequate Records Management Improvement Matrix (i.e. attain a level 4 or 5 score) will have their practices accredited by State Records.

An Adequate Records Management Auditing Policy and Toolkit has also been promulgated and can be downloaded from the links below.

Please note: State Records is currently undertaking a review of its assessment and audit program. For further information please contact Records Management.

Guidelines to assist State and Local Government in South Australia to achieve adequate records management. This is an improvement matrix to assist agencies in their progress. Adequate Records Management Improvement Matrix (346 KB PDF File) 
The Assessment Form in WORD format - as found in the ARM Improvement Matrix and Evidence Toolkit. This form must be completed using a suitably qualified RM professional or an independently accredited RM consultant. Assessment Reporting Form (295 KB DOC File) 
The Adequate Records management audit policy and toolkit for all Agencies who will have to be the subject of an audit. It contains the audit policy, work instructions, checklists, procedures and auditor's reports.. Adequate Records Management Audit Policy (266 KB PDF File) 

Related Information:

• Adequate Records Management - Assessment Reporting
• Records Management Audit
• Adequate Records Management Standard 2002
• State Records Annual Reports

Adequate Records Management - Assessment Reporting

All Agencies need to produce an assessment report of their Records Management practices against the Adequate Records Management Framework. To assist Agencies with this requirement, an Assessment Reporting and Evidence Toolkit has been included in the Adequate Records Management - Improvement Matrix.

Agencies need to demonstrate and report to State Records that:

• they have produced an independent assessment report
• they have determined (realistically) what level the Agency is currently operating at for each of the eleven Adequate Records Management Outcomes outlined in the Improvement Matrix
• they have identified what corrective actions / improvements need to take place in order to meet the Adequate Records Management outcomes
• they have identified a preliminary time-line for when progress is to be achieved for each of the various outcomes that require improvement.

Based on this independent assessment, Agencies will be in a position to effectively plan for, and progressively instigate, corrective actions.

An Assessment Report has several benefits for Agencies:

• measure existing practices against the outcome statements
  = an Adequacy Gap Analysis
• assess areas of Agency business that are potentially exposed to risks (i.e. lack of security control over commercial-in-confidence records such as contracts)
  = a Risk Assessment Analysis
• assess current records management practices
  = a realistic determinations of improvements required
• identify a priority list of outcomes to be achieved
  = a plan for progressive improvement to achieve adequate recordkeeping
• identify vital records
  = an inventory of business critical documents to be securely stored
• assess disaster preparedness
  = a Disaster Plan for all records.

State Records will be using information from the assessment report to:

• identify areas of particular need requiring attention
• structure its services and resources to best meet the needs of Agencies
• continue to refine its audit program.

Following the assessment process, if an Agency is found not to be pursuing necessary continuous improvement, an explanatory letter describing the findings will be forwarded by State Records to the Chief Executive of the Agency.

State Records will prepare a report to the Minister, under Section 16 State Records Act, 1997. This report will contain the results of all Agencies and Authorities for the Minister to table in Parliament.

Strategies for Across Government Adequate Records Management Across Government Records Management Strategy (229 KB PDF File) 

Related Information:

• Guidelines for Records Management
• Adequate Records Management - Implementation Plan
• Adequate Records Management Standard 2002
• Adequate Records Management
• Across-Government Records Management Strategy

Records Management Audit

The State Records Act, 1997 states that:

1. Part 5.15 - the Manager [Director of State Records] may conduct surveys of the official records and records management practices of Agencies as reasonably required for the purposes of this Act
2. Part 5.15 - an Agency must afford the Manager reasonable cooperation and assistance in the conduct of such a survey
3. Part 5.16 - if the Manager is of the opinion that the records management practices of an Agency are inadequate, the Manager must report the matter to the Minister.

State Records has developed a records management auditing process that it is applying across the South Australian Government. The first official annual reporting cycle for all Agencies and Authorities commenced in July 2005.

The auditing process will be conducted using the results of the Adequate Records Management Assessment Report. Agencies and Authorities need to have completed a Records Management Assessment Report before being audited by State Records.

The audit will focus on assisting Agencies and Authorities to:

• identify the priority elements of their records management programs
• highlight the likely initiatives required to achieve adequate records management practices
• determine the time needed to achieve outcomes and obtain the evidentiary requirements of the audit to attain records management accreditation.

Guidelines to assist State and Local Government in South Australia to achieve adequate records management. This is an improvement matrix to assist agencies in their progress. Adequate Records Management Improvement Matrix (346 KB PDF File) 
The Assessment Form in WORD format - as found in the ARM Improvement Matrix and Evidence Toolkit. This form must be completed using a suitably qualified RM professional or an independently accredited RM consultant. Assessment Reporting Form (295 KB DOC File) 
The Adequate Records management audit policy and toolkit for all Agencies who will have to be the subject of an audit. It contains the audit policy, work instructions, checklists, procedures and auditor's reports.. Adequate Records Management Audit Policy (266 KB PDF File)