Standards for Records Management

• Adequate Records Management Standard 2002
• South Australian Recordkeeping Metadata Standard
• Document and Records Systems Standard 2001
• Introduction to Electronic Records Management
• Australian Standard AS ISO 15489 2002
• The Victorian Electronic Records Strategy - VERS
• EDRMS Design Standard - Exposure Draft
• Australian Standard AS 5090 - 2003
• Australian Standard HB 171- 2003
• Temporary Value Records Standard
• Contracting and Official Records Standard

Section 14 of the State Records Act, 1997 enables State Records of South Australia to issue Standards and Guidelines. The Standards and Guidelines support the development of Adequate Records Management practices within State and Local Government in South Australia.

This page describes the following Standards:

• Standards developed and issued by State Records
• Australian Industry Standards - endorsed by State Records
• International Standards - endorsed by State Records.

Adequate Records Management Standard 2002

The Adequate Records Management Standard is a key part of an across-government framework. The framework provides a records management regime for State and Local Government agencies within South Australia. This Standard, which is mandatory for State Government agencies, describes the Adequate Records Management Framework in detail. It includes the benchmarks that records management programs need to achieve in order to be classified as 'adequate'.

The Standard was developed to meet the broad goals of the State Records Act, 1997 and the Local Government Act, 1999. It also addresses the particular goal in section 16 of the Act 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 is required to report the matter to the Minister.'

The standard describing what an agency has to achieve to adhere to the adequate records management framework. Adequate Records Management Standard 2002 (211 KB PDF File)

Related Information:

• Adequate Records Management

South Australian Recordkeeping Metadata Standard

The South Australian Recordkeeping Metadata Standard (SARKMS) is a technical standard, which deals with the capture and maintenance of recordkeeping metadata. Recordkeeping metadata is defined as 'Data describing contexts, content and structure of records and their management through time'.

A range of recordkeeping and information professionals were consulted during the development of the standard. Input was gained via a metadata workshop held in September 2002. In addition, broader comment was sought via the State Records website. In July 2008, the Standard was amended to align the security classification and caveat schema with the Commonwealth Protective Security Model (PSM) 2005 security classification regime.

Retrospective application of the Standard to existing document and records management systems is not proposed. Compliance with the Standard is required only when agencies implement new document or records management systems.

This technical standard provides guidance on the capture and maintenance of recordkeeping metadata. Metadata is described as data which describes context, content and structure of records and their management. South Australian Recordkeeping Metadata Standard (1.45 MB PDF File)

Document and Records Systems Standard 2001

The Document and Records Systems Standard defines six key principles and related compliance requirements for the assessment and selection of Electronic Document and Records Management Systems in South Australian State and Local Government agencies.

The Standard was developed by State Records, in consultation with government stakeholders, to satisfy one of the requirements of the State Records Act, 1997, and was approved by the Minister and endorsed by Cabinet in July 2001.

This Standard was intended for use by those people involved in the assessment and acquisition of document and records systems. However, the Standard also formed one of the selection criteria for the Electronic Document and Records Management Systems (EDRMS) Panel. This Panel of endorsed products was announced in August 2004. EDRMS solutions selected from this Panel will not require an Agency to seek exemption from State Records.

The Standard can also be used as a tool in assessing existing system requirements.

The standard defines six key principles and related compliance requirements for the assessment and selection of Electronic Document and Records Management Systems in South Australian State and Local Government agencies. Document and Records Systems Standard 2001 (188 KB PDF File)

Related Information:

• EDRMS Panel Announcement

Introduction to Electronic Records Management

This Standard (May 2002) is a high level standard principally aimed at senior management within government. It provides a general introduction to the management of electronic records within the South Australian Government context.

Standard provides an introduction to electronic records management. May 2002 Introduction to Electronic Records Management (115 KB PDF File)

Australian Standard AS ISO 15489 2002

The International Records Management AS ISO 15489 Standard is an Australian endorsed standard that provides guidance on managing records for both public and private organisations.

All the elements of this Standard are recommended to ensure that an organisation's systems create, capture and maintain records. The Standard applies to the management of records, in all formats or media, created or received in the conduct of an organisation's activities. It provides guidance on records management in support of a quality process framework to comply with ISO 9000 and ISO 14000, and provides instruction on the design and implementation of a records system.

In 1995, Australia became the first country in the world to approve a standard on records management - AS 4390. The International Standard ISO 15489 was developed using AS 4390 as the starting point. Hence, AS ISO 15489 - 2002 replaces the old standard AS 4390 - 1996. However, Standards Australia is developing a Compliance Guide to complement Part 1 and 2 of the Standard. This Compliance Guide is required as some of the Australian recordkeeping references in AS 4390 - 1996 have not been included in AS ISO 15489.

The Council of Federal, State and Territory Archives (COFSTA) endorsed AS ISO 15489 in 2002. As a result, State Records has endorsed this Standard for use by agencies in South Australia.

A hardcopy of AS ISO 15489 2002 can be purchased on-line from SAI Global WebShop.

Related Information:

• Introduction to Australian Standard AS ISO 15489

The Victorian Electronic Records Strategy - VERS

The South Australian Government is increasingly doing business electronically. Much of the digital information created in the course of this business is important and must be kept for legal, accountability or historical reasons.

State Records of South Australia has decided to adopt the VERS strategy to complement the various standards that it has outlined in previous areas of this web section. The VERS standard is to be used, in addition to the specific standards developed for South Australian Government, as a compliance standard for all Electronic Document and Records Management Systems.

The Victorian Electronic Records Strategy has been developed by Public Record Office Victoria to preserve the electronic records of the state for the long term.

The first version of the Standard was launched on 26 April 2000 by the Hon. John Brumby, MP, Minister for State and Regional Development. The revised version of the Standard was launched on 31 July 2003 by the Hon. John Thwaites, MP, Minister for Victorian Communities.

Further details on VERS can be found on the Victorian Electronic Records Strategy website.

Related Information:

• EDRMS Panel Information

EDRMS Design Standard - Exposure Draft

A need has been identified for an Electronic Document and Records Management System (EDRMS) Design Standard to underpin a number of other records management policies, standards and guidelines that apply to State Government agencies and Local Government authorities. Notably to support the Government's EDRMS Panel of products.

This standard aligns with the following National and State issued standards:

• Adequate Records Management: Meeting the Standard 2001
• South Australian Recordkeeping Metadata Standard (SARKMS) 2002
• Victorian Electronic Recordkeeping Standard 2003
• Australian Government Locator Service - Metadata Standard (AGLS) 2002.

This standard outlines the South Australian Government's mandatory set of metadata elements required to manage official records within a compliant Electronic Document and Records Management System (a system procured through the Government's EDRMS Panel of products).

The intent of this standard is to provide agencies and authorities with a pragmatic approach to EDRMS design. It is acknowledged that agencies and authorities are likely to configure and customise their EDRMS, which may impede electronic communications and the transfer of information without system design criteria. This standard will ensure that despite any changes to the EDRMS interface the records managed by any compliant system (i.e. all documents, including e-mails, files and web documents) are consistently captured and transferable across government.

EDRMS Design Standard based upon the South Australian recordkeeping Metadata Standard (SARKMS 2002) EDRMS Design Standard (131 KB PDF File)

Related Information:

• EDRMS Panel Information

Australian Standard AS 5090 - 2003

AS 5090 - 2003 Work Process Analysis for Recordkeeping Standard provides some useful tools to assist organisations to analyse business processes. Analysis of business processes is an important aspect of records management; it enables organisations to identify where records are created in the daily conduct of business.

A hardcopy of AS 5090-2003 can be purchased on-line from SAI Global WebShop.

Australian Standard HB 171- 2003

Australian Standard HB 171- 2003 Guidelines for the Management of IT Evidence provides useful guidelines for agencies in management of evidence held in computerised systems.

A hardcopy of HB 171 - 2003 can be purchased on-line from SAI Global WebShop.

Temporary Value Records Standard

To facilitate the management of Temporary Value Records, State Records has developed a standard. Details of this standard and a related guideline can be found at the link below.

Related Information:

• Standard and Guidelines for Temporary Records

Contracting and Official Records Standard

The Contracting and Official Records Standard outlines nine principles to be considered by agencies bound by the State Records Act, 1997 to ensure that the records of agencies are adequately managed throughout the contracting process and any risks associated with records management are mitigated.

The Standard was developed by State Records to assist agencies in meeting their obligations under section 13 of the Act, to ensure all Official Records are maintained in good order and condition.

This Standard is aimed at procurement staff, contract managers, records managers, legal practitioners, senior management and other stakeholders involved in the contracting process.

The Minister approved this Standard on 14 July 2008.

The Contracting and Official Records Standard outlines 9 principles to be considered by agencies to ensure that their records are adequately managed throughout the contracting process. Contracting and Official Records Standard (169 KB PDF File)