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Summary of What's New
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Information about State Records Freedom of Information (FOI) General Awareness course during October and November 2008. FOI General Awareness Courses 2008 |
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Details about Certificate III and Certificate IV in Recordkeeping in 2009 and the new alternative to traditional face-to-face delivery of studying via correspondence. Certificate III and IV in Recordkeeping in 2009 |
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Publicising the Christmas and New Year opening hours for State Records City and Gepps Cross Research Centres. Christmas 2008 Research Centre Hours |
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State Records Council has approved the permanent retention of all pre-1901 official records. Pre-1901 Records Made Permanent |
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State Records has recently updated the Adequate Records Management Standard and South Australian Recordkeeping Metadata Standard and created the Contracting and Official Records Standard. Across-Government Standards for Record Management |
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News item re change to October 2008 Research Centre opening hours at Gepps Cross. Change to October 2008 Sunday Opening Hours |
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Freedom of Information (FOI) training courses being conducted for public sector employees in September and October 2008. FOI Training Courses - September/October 2008 |
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News item to announce that State Records has updated its Authorised Agency Retrieval Request Form. Agency Retrieval Request Form Updated |
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To promotes the availability of Freedom of Information (FOI) Induction Training as an on-line module via ERNI, State Records E-Resource Network Initiative. Freedom of Information (ERNI) Induction Training |
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Notifying agencies that May 2007 version of the guideline for agencies making public access determinations for official records which they control is now available. Public Access Determination Guideline for Agencies |
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Recordkeeping PracticesOn This Page
Records Management (RM) Policies, Procedures and Practices outlines the need for policies, procedures and practices to support an Adequate Records Management Framework. The rest of this web page gives more detail of the whole records management cycle from Introduction to Australian Standard AS ISO 15489, which outlines the Australian Recordkeeping Standard, through to Disaster Planning, where we attempt to give guidance on planning for a disaster occurring to Agencies' records. The standard describing what an agency has to achieve to adhere to the adequate records management 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 those that are managed by State Records. There is a help commentary to further assist you when scrolling across each of the boxes in the flowchart.
Introduction to Australian Standard AS ISO 15489AS ISO 15489, published in March 2002, is the new 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 - Meeting the Standard. To assist Agencies, State Records has produced an information sheet outlining:
Outlines some of the components and benefits of adequate record management planning.
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 - Meeting the 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:
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. An Information Sheet outlining 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 - Meeting the 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 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 - Meeting the 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 - Meeting the 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 - Meeting the Standard. State Records has produced an information sheet outlining:
An overview of storing official records in an Adequate Records Management framework. Related Information:
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 - Meeting the 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 - Meeting the 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 - Meeting the 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.
Appraisal of Official RecordsState Records has produced a guideline outlining the policy of State Records for the appraisal of official records and the fundamental objectives used to identify records of ongoing value. Appraisal is the process of evaluating the business activities of an agency to determine which records need to be created and captured and how long the records need to be kept, to meet business needs, the requirements of organisational accountability and community expectations. This includes determining which records should be kept as part of our community's collective memory and cultural heritage. The basis of the functional appraisal approach is the exploration of the functions and activities of an organisation. Based on the functional analysis, the appraiser recommends retention periods for official records generated as evidence of the agency's functions and activities. The outcome of appraisal is that an agency and State Records are both able to identify records that fall into one of four categories:
Once appraisal is completed disposal schedules can be developed. Guideline to outline the appraisal policy for official records in South Australia. 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 legally, an Agency will satisfy the requirements of Outcome 3 of the Adequate Records Management - Meeting the 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. It enables 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 an information sheet outlining:
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:
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 - Meeting the 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 - Meeting the 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: |
Adequate Records Management Standard 2002 (211 KB PDF File)