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Last updated: : 31 August 2007
Note for file: A report on recordkeeping in the Australian Public Service
Appendix 1: Key products, initiatives and agencies
This part of the report lists and briefly describes the purpose of products, initiatives and agencies that can be used in APS agencies to improve recordkeeping.
Australasian Digital Recordkeeping Initiative (ADRI)
ADRI is an undertaking of the Council of Australasian Archives and Records Authorities, the peak body of government archives and records institutions in Australia and New Zealand.
The primary objective of ADRI is to pool resources and expertise to find better ways to ensure that digital records are preserved and made accessible for the future.
The initiative promotes a single Australasian approach to digital public recordkeeping across all jurisdictions and provides a space for communication and information sharing between the members. The collaboration ensures the best possible strategic use of limited collective resources and broadens awareness and maximises the impact of the agreed approach to addressing the challenge of digital records.
The collaboration builds on and acknowledges many years of Australasian collaboration in developing concepts, tools, standards and strategies for good recordkeeping. The approach will add value to existing jurisdiction-specific initiatives.
Australian Government Information Management Office (AGIMO)
AGIMO develops whole of government information and communications technology (ICT) management policies to inform the design and implementation of government programmes and delivery of government services. AGIMO also provides assistance, guidance and advice to agencies applying ICT to government operations, and fosters the efficient and effective use of ICT by Australian Government departments and agencies.
Australian Government Information Interoperability Framework
This framework and guidance assists agencies to manage, transfer and exchange information across agency boundaries.
<http://www.agimo.gov.au/publications/2006/may/iif>
AGIMO’s Better Practice Programme
This programme develops checklists and highlights innovative examples of new technologies used for information provision, service delivery and administration in a range of areas. The checklists aim to help managers put services online, improve existing services, or negotiate and manage contractual arrangements through which these services are provided, and include:
Use of Metadata for Web Resources
<http://www.agimo.gov.au/practice/delivery/checklists/metadata>
Archiving Web Resources
<http://www.agimo.gov.au/practice/delivery/checklists/archiving>
Selecting a Content Management System
<http://www.agimo.gov.au/practice/delivery/checklists/select_cms>
Implementing a Content Management System
<http://www.agimo.gov.au/practice/delivery/checklists/implement_cms>
Knowledge Management
<http://www.agimo.gov.au/practice/delivery/checklists/knowledge>
Designing and Managing an Intranet
<http://www.agimo.gov.au/practice/delivery/checklists/intranet>
Digitisation of Records
<http://www.agimo.gov.au/practice/delivery/checklists/digitisation>
Decommissioning a Government Website
<http://www.agimo.gov.au/practice/delivery/checklists/decommissioning_government_websites>
Australian Government Information Technology Security Manual (ACSI 33)
Electronic documents can exist in multiple places, including an electronic records management system. ACSI 33 complements the Australian Government Protective Service Manual and describes the policies and guidance required to achieve an assured information technology security environment, including guidance on destroying records in electronic form.
<http://www.dsd.gov.au/_lib/pdf_doc/acsi33/ACSI33_U_0304.pdf>
Australian Government’s Protective Security Manual (psm)
The PSM is issued by the Attorney-General’s Department. It is the principal means for disseminating Australian Government protective security policies, principles, standards and procedures to be followed by all Australian Government agencies for the protection of official resources.
The revised PSM issued in 2005 provides minimum common standards in protective security for all Australian Government agencies and contractors and their employees performing services for and on behalf of the Australian Government. These minimum standards ensure that there is a consistent approach to protective security within and between agencies and covers areas such as the classification of records and the handling and storage of records.
For all inquiries regarding the revised Protective Security Manual 2005 please email <psm@ag.gov.au>.
Australian National Audit Office
Recordkeeping including the Management of Electronic Records, Audit Report No. 6, 2006–07
The objective of the audit was to assess the extent to which entities were meeting their recordkeeping responsibilities. In particular, the audit examined how effectively the entities were managing records that were created and stored electronically in corporate recordkeeping systems and in other electronic systems in accordance with recordkeeping requirements.
<http://www.anao.gov.au/uploads/documents/2006-07_Audit_Report_6.pdf>
Recordkeeping in large Commonwealth Organisations, Audit Report No. 7, 2003–04
The audit reviewed the recordkeeping frameworks of four large Commonwealth organisations. The objective was to assess whether recordkeeping policies, systems and procedures were in accordance with relevant government policies, legislation, accepted standards and recordkeeping principles, and applicable organisational controls.
<http://www.anao.gov.au/uploads/documents/Audit%20Report%207-2.pdf>
Recordkeeping, Audit Report No. 45, 2001–02
An assurance and control assessment audit of recordkeeping was undertaken across four Commonwealth organisations to assess whether their recordkeeping policies, systems and processes accord with requirements under the Archives Act 1983, with relevant government policies, and with accepted standards and recordkeeping principles; and to identify better practices and recommend improvements. The audit addressed both electronic and traditional records.
<http://www.anao.gov.au/uploads/documents/Audit%20Report%2045.sep.pdf>
Australian Public Service Commission
Supporting Ministers, Upholding the Values. A good practice guide, 2006
This good practice guide examines broad principles associated with establishing the roles and responsibilities that define interactions between Australian public servants and Ministers and their advisers. It also identifies particular issues that present challenges to APS staff from time to time that might call for more specific guidance at the agency level.
Part 2.2.7 of the guide discusses recordkeeping in the context of liaising with Ministers and their staff.
<http://www.apsc.gov.au/publications06/supportingministers.pdf>
Australian Standards
AS ISO 15489 Australian Standard on Records Management
The standard provides a descriptive benchmark that organisations can use to assess their recordkeeping systems and practices. Both parts of the Standard (Part 1—General and Part 2—Guidelines) are designed to help organisations create, capture and manage full and accurate records to meet their business needs and legal requirements as well as to satisfy other stakeholder expectations. Both parts apply to records in any format or media, created or received by any public or private organisation during the course of its activities.
AS 5090:2003 Work process analysis for recordkeeping
This standard was developed for use by any organisation that wishes to analyse its work processes as the starting point for a variety of recordkeeping purposes. It arose from the need for guidance on what has been identified as a foundation activity in recordkeeping. The intention was to eliminate confusion about the recordkeeping analysis of work processes as distinct from the profusion of practices and products referred to as ‘workflow’.
AS ISO 23081:2006 Information and documentation—Records management processes—Metadata for records
This standard is a guide to understanding, implementing and using metadata within the framework of AS ISO 15489. It addresses the relevance of records management metadata in business processes and the different roles and types of metadata that support business and records management processes. It also sets a framework for managing those metadata.
Elections and Machinery of Government changes
National Archives of Australia 2006, Handling administrative change: archives advice 27
This advice sets out the required information on management of records in a changed government scenario.
<http://www.naa.gov.au/recordkeeping/rkpubs/advices/advice27.html>
Australian Public Service Commission 2007, Implementing Machinery of Government Changes: A Good Practice Guide
This publication has been designed to provide practical guidance to help agencies implement machinery of government changes. It has been developed jointly by the Australian Public Service Commission, the Department of Finance and Administration, and the Department of Employment and Workplace Relations, in consultation with the Department of the Prime Minister and Cabinet and the National Archives.
<http://www.apsc.gov.au/publications07/machineryofgovernment.htm>
National Archives of Australia
All of the following resources are available on the National Archives’ website <http://www.naa.gov.au>.
Disposal
Obtaining a records disposal authority (RDA)
These guidelines cover the requirements for obtaining a disposal authority covering an agency’s specific business records. It outlines the legal basis for records disposal authorisation in the Commonwealth, the process of undertaking a records appraisal and steps for submitting disposal recommendations to the National Archives for obtaining a records disposal authority. When issued, the Records Disposal Authority (RDA) can be used together with General Disposal Authorities issued by the National Archives, and with agency specific policies and procedures for using the Normal Administrative Practice provisions of the Archives Act, for managing the retention and destruction of an agency’s records.
Why Records Are Kept—Directions in Appraisal
This publication outlines the National Archives’ five objectives and criteria for assessing and selecting records of archival value.
Normal Administrative Practice (NAP)
This updated advice provides guidance for agencies about defining and implementing policies and procedures to make use of the NAP provisions of the Archives Act 1983.
Administrative Functions Disposal Authority (AFDA)
AFDA is a general disposal authority that authorises the disposal of records relating to 17 functions carried out by every Commonwealth agency:
| Community Relations | Compensation | Equipment & Stores |
| Establishment | Financial Management | Fleet Management |
| Government Relations | Industrial Relations | Information Management |
| Legal Services | Occupational Health & Safety | Personnel |
| Property Management | Publication | Staff Development |
| Strategic Management | Technology & Telecommunications |
Other General Disposal Authorities
In addition to the Administrative Functions Disposal Authority (AFDA), the National Archives has issued a number of other general disposal authorities that can be used by every Commonwealth agency. Records covered include encrypted records, source records that have been copied, converted or migrated, and records relating to the intelligence function in any agency.
Recordkeeping Advice
Check-up: A tool for assessing an agency’s information and records management
Check-up is an interactive tool for agencies to use in assessing:
- if they meet the minimum requirements for basic records management
- if they meet the higher standards required for records of importance and high risk business functions
- how they can improve their business information and records management.
Check-up can be used to prepare a ‘traffic-light ’report which will highlight an agency’s relevant risk areas. It will help to identify and develop tailored records management solutions to mitigate business risks.
Archives Advices
Archives advices provide summary advice on a range of recordkeeping issues including preservation, standards, National Archives’ policies and products, and government online strategies.
Australian Government Implementation Manual: AGLS Metadata
This manual sets out Australian Government requirements for the implementation of the Australian Government Locator Service (AGLS) metadata and provides practical advice and direction for staff responsible for coordinating agency policy and practice on web-based information and services. The major change between this version of the manual and the earlier version 1.1 (2002) is the removal of the requirement for agencies to create and maintain Harvest Control Lists.
Developing a Functions Thesaurus: Guidelines for Commonwealth Agencies
These guidelines provide practical advice on designing, constructing and maintaining a functions thesaurus, to assist organisations with classification and other records management processes.
Digital Recordkeeping: Guidelines for Creating, Managing and Preserving Digital Records
Digital Recordkeeping Self-Assessment Checklist
These guidelines provide comprehensive guidance to Australian Government agencies on creating, managing and preserving digital records. The guidelines will assist those responsible for digital records and information to make appropriate arrangements for managing digital records for as long as they are required.
The checklist provides Australian Government agencies with a self-assessment tool to evaluate the management of their digital records. The checklist complements the Digital Recordkeeping guideline and should be used in conjunction with it.
Archiving Web Resources: Guidelines for Keeping Records of Web-based Activity in the Commonwealth Government
This document sets out guidelines to help Commonwealth agencies develop good recordkeeping strategies for records of web-based activities. The guidelines complement policy guidelines in the document below by offering specific strategic and technical advice on how agencies can comply with the policy.
Archiving Web Resources: A Policy for Keeping Web-based Records in the Commonwealth Government (2000)
This document sets out the National Archives’ position on the status and management of websites and other online resources as Commonwealth records.
e-permanence Made Easy: A Manager’s Guide to the Strategic Management of Records and Information
This is a pocket guide to the National Archives’ suite of products and services. It provides information that will help APS managers to understand and access the tools and resources needed to manage their organisation’s records and information assets in accordance with best practice standards and legal requirements.
Recordkeeping Standards
Australian Government Email Metadata Standard (AGEMS)
This standard describes the metadata that the Chief Information Officer Committee and the National Archives recommends should be used by Australian Government agencies when transmitting electronic mail (email) communications. Its aim is to help ensure that email messages are used, transmitted and managed in ways that recognise their central significance to the workings of government.
Functional Specifications for Electronic Records Management Systems Software & Guidelines for Implementing the Functional Specifications for Electronic Records Management Systems Software
This document provides a generic set of requirements to ensure adequate recordkeeping functionality in electronic records management systems software used to make and keep digital records. These requirements will help Australian Government agencies develop design specifications to build or purchase new systems, or upgrade existing systems.
The implementation guidelines complement the Functional Specifications for Electronic Records Management Systems Software. The guidelines will help Australian Government agencies use the specifications to design, purchase, build and evaluate systems software. The guidelines also describe how the specifications relates to similar documents produced in other jurisdictions.
Recordkeeping Metadata Standard for Commonwealth Agencies
This publication describes the type of information agencies should incorporate in their recordkeeping systems to establish physical and intellectual control over their records. Compliance with the standard will help agencies maintain reliable, meaningful and accessible records over time in a systematic and consistent way to meet business, accountability and archival requirements.
Training
Keep the Knowledge—Make a Record
This is a package to help trainers to teach Australian Government employees about their recordkeeping responsibilities.
Office of the Privacy Commissioner
For information on the use of personal information, agencies should consult the website of the Office of the Privacy Commissioner <http//:www.privacy.gov.au>.
