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Recording GovernmentRecordkeeping Information SheetsOn This Page
The following recordkeeping information sheets have been developed by State Records of South Australia to support government agencies in meeting best practice for adequate records management, from creation to archive. An introduction to Adequate Records Management and its framework. Related Information:
Records - Creation to archiveState Records has developed the following flowchart to assist agencies and authorities understand records management within the South Australian government context. The flowchart clearly identifies which processes and decisions are agency/authority responsibilities and which are managed by State Records.
Introduction to Australian Standard AS ISO 15489AS ISO 15489, published in March 2002, is the Australian Standard on records management. The standard represents recognised international best practice guidance on records management. The new standard is an Australian codification of the International Standard on Records Management, ISO 15489, approved in October 2001. State Records has produced an information sheet to introduce you to the fundamentals of the standard. An overview of the Australian recordkeeping standard - AS ISO 15489.
Planned management of official recordsModern records management is a large and complex series of activities that affect all sections of State Government agencies and Local Government authorities. Like any other corporate program, records management should be planned, managed and monitored. As part of the planning for a records management program, there are a number of things that should be addressed including the staff that are required to do the job, the equipment and technology needed, accommodation, and budgetary needs. By ensuring that its records management activities are planned, an agency will satisfy the requirements of Outcome 7 of the Adequate Records Management Standard. To assist agencies, State Records has produced an information sheet outlining:
Outlines some of the components and benefits of adequate record management planning. Related Information:
Designing and implementing a records systemIf a records system is not carefully designed and implemented, the chances of managing, finding and preserving the records it contains, is almost impossible to achieve. This is particularly true in the modern world with the vast numbers of records being managed. The increasing use of electronic records to document business also drives the need for adequate records system design and implementation. By implementing adequate records systems, an agency will ensure compliance with Outcomes 2, 5, 6, 7 and 9 of the Adequate Records Management Standard. To assist agencies in this task, State Records has produced an information sheet outlining the key steps involved and supplying pointers to reference documents. An overview of designing and implementing a records management system. Related Information:
Assessment and audit records management practicesThis information sheet details the recently revised assessment and auditing processes and, in the interim, replaces both the Adequate Records Management Improvement Matrix and Audit Policy and Toolkit. Information sheet detailing the recently reviewed assessment and auditing processes for records management practices. Related Information:
Recordkeeping metadataOne of the key areas to be designed when implementing a records system is the definition of metadata to be used across all aspects of the management of the records. What is metadata? Australian Standard AS ISO 15489 2002 - Records Management defines recordkeeping metadata as: 'Data describing context, content and structure of records and their management through time'. What does recordkeeping metadata include?
To assist agencies to better understand the role of metadata, from whence it can be sourced and the standards involved, State Records has produced an information sheet, Recordkeeping Metadata, outlining various aspects of metadata. Outlines the role of metadata, the standards involved and sources for metadata. Related Information:
Creating official recordsState Government agencies and Local Government authorities should be aware that both hard copy and electronic records, created as part of their business, are considered to be official records for the purposes of the State Records Act, 1997. By ensuring that its official records are created, an agency will satisfy the requirements of Outcome 1 of the Adequate Records Management Standard. State Records has created an information sheet that outlines:
An overiew of recordkeeping advice for the creation of official records. Related Information:
Capturing official recordsThe Australian Standard AS ISO 15489 2002 - Records Management defines 'capture' as a deliberate action that results in the registration of a record into a records system. By ensuring that its official records are captured appropriately, an agency will satisfy the requirements of Outcome 2 of the Adequate Records Management Standard. State Records has produced an information sheet outlining:
An overview of the process of capturing official records in an Adequate Records Management framework. Related Information:
Classifying official recordsRecords classification is the systematic identification and arrangement of business activities and/or records into categories according to logically structured conventions, methods, and procedural rules represented in a classification system. Classification facilitates description, control, links and determinations of disposal and access status. By ensuring that records are classified, an agency will satisfy Outcomes 2 and 5 of the Adequate Records Management Standard. State Records has produced an information sheet that outlines:
An overview of the process of classifying an official record within the Adequate Records Management framework. Related Information:
Storing official recordsThe storage of official records in adequate conditions is a key factor in ensuring the records are:
Adequate storage will also:
By storing official records in an adequate manner, agencies will ensure compliance with Outcomes 3, 5 and 6 of the Adequate Records Management Standard. State Records has produced an information sheet outlining:
An overview of storing official records in an Adequate Records Management framework. Related Information:
Day batching of official recordsDay batching is defined as storing source records together based on the date the record was received into an agency's custody or the date the record was scanned. Day batching is used by agencies that receive high quantities of routine records, such as finance records or correspondence, on a daily basis. As there are a number of risks associated with day batching, State Records has produced an information sheet outlining:
Advice sheet highlighting the risks associated with day batching and State Records suggested approach.
Finding official recordsFinding official records refers to the ability of State Government agencies and Local Government authorities to locate and access required official records upon demand. By ensuring that its official records can be found, an agency will satisfy the requirements of Outcome 5 of the Adequate Records Management Standard. State Records has produced an information sheet outlining:
An overview of finding official records in an Adequate Records Management framework. Related Information:
Managing access to official recordsThe official records of an agency contain information that can be sensitive and highly personal. The records can also contain information that will be useful to, and of interest to, people outside the agency. As a result it is important that an agency manage the access to its records. By ensuring that access to its official records is managed, an agency will satisfy the requirements of Outcome 4 of the Adequate Records Management Standard. State Records has produced an information sheet outlining:
An overview of managing access to offcial records in an Adequate Records Management framework. Related Information:
Records management reportingRecords management impacts on the entire business of State Government agencies and Local Government authorities. Consequently it is important that senior management are aware of what is happening to the official records of their agency. This can be achieved by a regular reporting regime. By ensuring that a regular records management reporting regime is in place, an agency will satisfy the requirements of Outcome 9 of the Adequate Records Management Standard. State Records has produced an information sheet outlining:
An overview of reporting requirements in a records management environment that conforms with Adequate Records Management framework. Related Information:
Appraisal and DisposalAppraisal is the process of evaluating business activities to determine what records need to be created and captured and for how long these records need to be retained. Disposal consists of a range of processes associated with implementing records retention, destruction and transfer to the archives. Together appraisal and disposal make up an important component of a records management program. To read more about the appraisal and disposal process and to access this recordkeeping advice sheet please use the link below. State Records has developed an advice sheet to assist agencies undertake appraisal and disposal activities. Related Information:
Transfer process for temporary value recordsThe following options are available to agencies for the secondary storage of their temporary value records:
Once an agency has selected one of the above options, the process to transfer the temporary records to a storage site is undertaken. To assist agencies, State Records has produced an information sheet detailing the transfer process to secondary storage. The process to transfer an agency's temporary value records to an ASP nominated site. Related Information:
Onsite storage of temporary value recordsTo assist agencies with managing their temporary value records, State Records has developed a recordkeeping advice sheet outlining the requirements and processes for agencies wanting to store temporary records onsite. A recordkeeping advice sheet outlining the requirements and processes for agencies wanting to store temporary records onsite. Related Information:
Disposal of official recordsDisposal is the process by which official records of agencies are either destroyed, retained or transferred between agencies. By ensuring that its official records are disposed of not only legally but in a planned and systematic manner an agency will satisfy the requirements of Outcome 3 of the Adequate Records Management Standard. Disposal is controlled by the use of a disposal schedule. A disposal schedule is an important component of best practice records management. It is a tool to enable the management of an organisation's records. Disposal schedules enable the application of a proposed disposal action at the creation and or capture of a record regardless of media. This is part of the metadata and triggers further appraisal and disposal action when a record becomes inactive. It is good records management practice to be able to dispose of pre-sentenced records on a regular, systematic and controlled basis. To assist agencies, State Records has produced the following information sheets: An overview of disposal of official records in an Adequate Records Management framework. Related Information:
Normal Administrative Practice - NAPNAP is the concept that material can be destroyed according to 'normal administrative practices'. This provides for the routine destruction of drafts, duplicates and publications, with the test that it is obvious that no information of continuing value to the organisation will be destroyed. Originating in the National Archives, the term is in general use in Commonwealth Government agencies and has been adopted by some Australian States. Material that can be disposed of under NAP comprises items of an ephemeral or transitory nature created, acquired or collected by agency officers in the course of their official duties. Such material has no ongoing value and is not usually incorporated into the agency recordkeeping system. NAP falls into six main groups:
NAP in electronic media Just as telephone conversations or other verbal communications that contain information of ongoing value should be documented, so voice mail, e-mail, facsimiles, word-processed documents, spreadsheets, etc. should be captured into corporate recordkeeping systems when they contain information of ongoing value. Agency induction and procedures must ensure that all officers are aware of their recordkeeping responsibilities and that electronic records with ongoing value are captured and retained in an appropriate way. Only data included in the six categories outlined under NAP may be deleted from electronic systems according to normal administrative practice. The NAP test Where the information is not duplicated in the agency recordkeeping system, ask:
If the answer to any of these questions is YES then the material must not be destroyed according to NAP. Therefore, the following types of items may be destroyed under NAP:
NAP is provided in the interest of efficient recordkeeping and extends to material of ephemeral and transitory value only. Related Information:
Managing NAP in an EDRMSThis information sheet assists agencies and authorities with the disposal of material against normal administrative practices (NAP) within an Electronic Document and Records Management System (EDRMS). As an interim measure, the information sheet provides guidance and a disposal table with item numbers to enable the destruction of ephemeral and transitory material against NAP in an EDRMS. The inclusion of disposal item numbers to manage material being disposed of against NAP will be included in the review of GDS 15 (currently scheduled for 2012-2013) and GDS20 (currently scheduled for 2014-2015). To read more, and to download the information sheet, please select the link below. Provides assistance to agencies and authorities with the disposal of material against NAP within an EDRMS Related Information:
Reliability of official recordsThe official records of an agency provide an invaluable tool to proving, and if necessary defending, the actions and decisions of an agency. As a result it is crucial that the records can be relied upon. By ensuring that its official records are reliable, an agency will satisfy the requirements of Outcome 6 of the Adequate Records Management Standard. State Records has produced an information sheet outlining:
An overview of the issues around reliability of official records in an Adequate Records Management framework. Related Information:
RM policies, procedures and practicesDocumenting records management policies, procedures and practices is an essential part of an accountable records management program. Such documentation should be written to suit the environments of individual State Government agencies and Local Government authorities. An agency needs to establish, document, maintain and implement records management policies, procedures and practices to ensure all staff understand their roles and responsibilities regarding records management. By developing records management policies, procedures and practices, an agency will satisfy the requirements of Outcome 10 of the Adequate Records Management Standard. To assist agencies in this area, State Records has produced an information sheet outlining:
An overview of the need for policies, procedures and practices in an Adequate Records Management framework. Related Information:
Ministers Office caretaker responsibilitiesState Records has developed a recordkeeping advice sheet to ensure records created and maintained within the Ministers Offices are managed adequately during the caretaker period. This advice sheet provides information concerning the management and disposal of ministerial office records during the caretaker period, including ministerial records, cabinet documents, portfolio (agency) records and private/personal records. Information concerning the management and disposal of ministerial office records during the caretaker period.
Introduction to electronic recordsElectronic records can include email, internet content, documents, spreadsheets, databases, drawings and digitally recorded images. Often they are official records documenting the conduct of the business of the Government of South Australia. As such, electronic records must be properly created and captured, survive without alteration or degradation and remain accessible for as long as they are required. This information sheet provides a general introduction to the management of electronic records within the South Australian Government context. A general introduction to the management of electronic records within the South Australian Government context.
Records management trainingA records management training plan provides a key tool to enable State Government agencies and Local Government authorities to satisfy the requirements of the State Records Act, 1997. It will also identify and give a clear structure to the actions required to improve records management practices across agencies. A training plan will also enable agencies to meet the requirements of Outcome 8 of the Adequate Records Management Standard. State Records has produced an information sheet outlining:
An overview of the requirements for records management training in an Adequate Records Management framework. Related Information:
Disaster managementIt is essential for State Government agencies and Local Government authorities to plan and protect records and records systems from risk and to allow for the continuation of business during a disaster event. A disaster is defined as any event that creates an inability on an organisation's part to provide critical business functions for some predetermined period of time. To assist agencies in planning for disaster management, State Records has produced an information sheet outlining:
In addition, State Records has produced a Records Management Disaster Planning Guide, a Records Management Disaster Planning Toolkit and a number of specialised courses in Disaster Preparedness Planning. Together, these supply extensive planning suggestions, recommendations and a variety of templates and checklists to assist agencies in defining a disaster plan for business records. An overview of planning for, and managing, a disaster involving records in an Adequate Records Management framework. Related Information:
Technical Requirements for the Scanning of Official RecordsScanning or digitising enables the reproduction of paper source records or images into an electronic or digital format. Scanning can provide a range of benefits for agencies provided it is managed within an EDRMS or a business system that meets established government specifications. This advice sheet provides information on the scanning of official records and provides a minimum set of technical requirements for the scanning of permanent and long term temporary paper source records to archival quality. An advice sheet to assist agencies with the scanning of source records. Related Information:
Microsoft SharePoint Server and EDRMSMicrosoft SharePoint is a web-based server that can be used to build portals, collaborate on documents, and create content management sites. It provides search capabilities, workflow and reporting functionality when used with MS Office. SharePoint can also be used as a platform on which to build an EDRMS. To read more, and to download the digital information sheet, please select the link below under Related Information. Related Information:
Digital Rights Management and records managementDigital Rights Management (DRM) refers to technology that allows the creator/provider of digital information to control when and how that information is used. It consists of a set of technologies designed to apply and enforce persistent access restrictions, as specified by the information creator/provider, to digital information. To read more, and to download the digital information sheet, please select the link below. Related Information:
Whistleblowers Protection Act 1993 - ImplicationsThe Whistleblowers Protection Act, 1993 aids the investigation of allegations of maladministration, waste, corruption and illegal conduct in the public sector. As a person who has made an allegation under the Act is protected from having their identity divulged, records that have been created or received regarding a complaint made under the Act, must be managed appropriately. Accordingly, State Records has produced an information sheet outlining how best to handle records in relation to disclosures made under the Whistleblowers Protection Act, 1993, from receipt to disposal. Advise on how to best handle records received and created in relation to disclosures made under the Whistleblowers Protection Act, 1993.
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Adequate Records Management - An Introduction (49 KB PDF File)
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