Adequate Records Management

• Scope of Adequate Records Management
• Outcomes of Adequate Records Management
• Adequate Records Management Benchmarks
• Adequate Records Management Affects
• Benefits of Adequate Records Management
• Inadequate Records Management - Potential Outcomes
• Government Agency Responsibilities
• Assistance and Advice

According to the State Records Act, 1997, State Records of South Australia is responsible for a governance role in the recordkeeping practices of state and local government agencies and authorities. It is also responsible for providing advice and guidance to these agencies in the area of records management.

The Adequate Records Management Framework grew out of the directive in the State Records Act, 1997, which states:

'If the Manager [Director of State Records] is of the opinion that the records management practices of an agency are inadequate, the Manager [Director] must report the matter to the Minister.'

Part of State Records role is to define what 'Adequate Records Management' means and to ensure that agencies meet these standards.

The Adequate Records Management Framework is composed of a range of South Australian Government approved:

• Standards and Strategies
• Guidelines, Policies and Toolkits
• Recordkeeping Practices.

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

Related Information:

• Adequate Records Management Standard 2002
• Standards for Records Management
• Guidelines for Records Management
• Recordkeeping Practices
• Adequate Records Management - Assessment Reporting
• Our Role

Scope of Adequate Records Management

Adequate Records Management is an overarching framework for the South Australian Government. It is an outcome-based regime for the records management practices of all state and local government agencies and authorities. It has been developed with reference to the Australian Standard for Records Management, AS ISO 15489-2002.

Owing to the diverse nature of business covered by the South Australian Government, this is not a prescriptive standard, but rather outlines the minimum requirements that agencies and authorities need to meet and, ideally, exceed.

Related Information:

• Adequate Records Management Standard 2002
• Australian Standard AS ISO 15489 2002

Outcomes of Adequate Records Management

There are eleven Adequate Records Management outcomes for agencies. These are:

• official records are created
• official records are captured
• official records are disposed of systematically
• access to official records is managed
• official records can be found
• official records can be relied upon
• the management of official records is planned
• records management training is provided to staff
• records management reporting mechanisms are implemented
• policies, procedures and practices exist for the management of official records
• sufficient numbers of skilled records management resources are allocated.

Related Information:

• Recordkeeping Practices
• Records Management Resourcing Benchmarks

Adequate Records Management Benchmarks

The benchmarks set the minimum requirements for Adequate Records Management. State Records encourages agencies to aim beyond this minimum level.

Agencies will be required to undertake regular assessment reporting against their records management policies and practices. These assessments, accompanied by formal monitoring by State Records, will ensure that agencies meet the benchmarks.

Related Information:

• Adequate Records Management - Assessment Reporting
• Accreditation

Adequate Records Management Affects

The Adequate Records Management is a new regime for all South Australian government agencies and authorities, state and local, and is applicable throughout the workplace.

As part of the Adequate Records Management outcomes, all staff need to be provided with training regarding records management principles and practices.

Related Information:

• Benefits of Accredited Training and Education
• Accredited Training and Education Structure

Benefits of Adequate Records Management

Benefits of adequate records management practices include:

• informed policy making, decision making and planning for the delivery of services
• good risk management and corporate governance
• enhanced operational effectiveness
• increased client satisfaction
• better management and delivery of services
• increased productivity
• increased accountability
• improved access to and sharing of corporate information
• improved ability to meet community expectations.

By meeting and exceeding the outcomes of Adequate Records Management, agencies will be meeting the legislative imperatives outlined in the State Records Act, 1997.

Inadequate Records Management - Potential Outcomes

There are many potential problems and costs associated with inadequate records management. Some of which include:

• an Agency/authority being unable to adequately defend itself in court and subsequently being financially penalised
• inefficient and ineffective processes for the discovery of records associated with legal proceedings
• embarrassment for Agencies and authorities if they are unable to justify actions of their staff and / or appropriateness of their decision-making (or administrative processes)
• many public servants operate in an information vacuum as they are unaware of the work being undertaken by other work-groups/Agencies/authorities that is linked to or impacts their business as a consequence Across-Government savings are not realised
• escalating costs to manage the number and antiquated nature of existing inefficient recordkeeping systems
• loss of corporate information and knowledge due to failure to capture records, including e-mail records, outgoing correspondence and the knowledge of staff on retirement and separation.

Government Agency Responsibilities

Best Practice

Subject to the State Records Act, 1997, every agency must ensure that the official records in its custody are maintained in good order and condition. The provision of quality record management practices is likely to require consultation with State Records as to the best standards and processes to be adopted.

Disposal of official records

Destruction, or disposal, of records occurs when a record is no longer required in government and has no enduring value to the community. Record disposal is a key element in good records management. Disposal needs to be managed carefully and often in consultation with State Records.

The Act does not allow agencies to destroy their records without a determination made by State Records with the approval of the State Records Council, unless there is another specific legislative provision.

Transfer of custody

An official permanent record of an agency must be delivered into the custody of State Records:

• when the agency ceases to require access to the record for current administrative purposes
• during the year occurring 15 years after the record came into existence.

Postponements and exemptions from this rule may be granted upon discussion with State Records. While agencies are allowed to hold records for longer periods, the Act anticipates that there will be requirements to ensure the records are subject to appropriate preservation standards.

Sanctions

Agencies need to be aware that the Manager [Director] of State Records is required by the Act to report inadequate records management practices to the Minister. Unauthorised and wilful damage, alteration or disposal of records can also lead to a fine or up to $10,000 or two years imprisonment.

Related Information:

• You and the State Records Act
• Recordkeeping Practices
• Disposal Schedules
• State Records Council

Assistance and Advice

State Records provides a range of services to support agencies in the achievement of adequate records management practices. Available support includes:

• State Records' Policy team can give policy advice regarding the Adequate Records Management Standard and related guidelines and tools
• State Records' Records Management Services team provides practical advice, support and consultancies to agencies and authorities (on a fee-for-service basis)
• guidelines and information sheets dealing with specific aspects of the Adequate Records Management outcomes and related benchmarks
• training and accreditation of Records Management staff by State Records
• private records management consultants available from the South Australian Government accredited service provider list
• general awareness education courses which incorporate Records Management, Freedom of Information, Information Privacy Principles and copyright for all public servants.

Related Information:

• Records Management Services
• Recordkeeping Practices
• Training
• Awareness Education
• Accredited Operational Training
• Services for Government

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