Records Managers’ Forum

28 February 2007

Draft standard on the appraisal and disposal of State records

Catherine RobinsonSenior Project Officer, Government Recordkeeping

Overview

• Background• The principles• Implementation of requirements • Consultation process

Background

• Why develop a new standard?• Relationship to other standards and the

State Records Act 1998• Appraisal and disposal of records

The Principles

• Decisions and actions to make, keep, and dispose of records should be:– Analytical– Comprehensive– Accountable– Authorised, and– Implemented

Principle 1: Analytical

• Decisions for retaining and disposing of records should be based on an analysis of business needs, organisational accountability and community expectations.

Compliance requirements

1. Decisions on the creation, capture and disposal of records are based on an analysis of the administrative, legal, social, and recordkeeping contexts within which records are created and maintained.

2. Decisions are documented and justified.3. Recordkeeping requirements, appraisal

decisions, and retention and disposal authorities for the public office are regularly reviewed.

Principle 2: Comprehensive

• Decisions made regarding the retention and disposal of records should include all records of the organisation in all formats.

Compliance requirements

1. Retention periods and disposal actions for records in any format and of all business functions and activities of a public office are documented in approved retention and disposal authorities.

2. Legacy records or records of non-current business functions and activities of a public office are documented in approved retention and disposal authorities.

Principle 3: Accountable

• Actions to keep, destroy or transfer records should be accountable.

Compliance requirements

1. Disposal of all records is documented, including:

– the nature and time of disposal action– identity of the person authorising the

action, and– disposal authority authorising the action.

2. Sentencing and records disposal activities are carried out by personnel who have appropriate skills and knowledge for these tasks.

Principle 4: Authorised

• Decisions and actions to keep, destroy or transfer records should be authorised.

Compliance requirements

1. Decisions to keep, destroy or transfer records are authorised.

2. Disposal activities are approved, supervised and authorised in accordance with established procedures and by those with the appropriate delegated authority.

3. The sentencing of records is monitored before disposal actions are carried out.

Principle 5: Implemented

• Decisions to keep, destroy or transfer records should be routinely implemented.

Compliance requirements

1. Policy, procedures and business rules direct how appraisal and disposal activities are undertaken in the public office.

2. Records sentencing and disposal actions are undertaken as a routine and regular part of the public office’s RM program.

3. Records identified as State archives are transferred to archival custody.

Implementation of requirements

• Many of the requirements are already in use in public offices

• Draft standard supported by a range of guidance and training

• Phasing-in of compliance requirements

Consultation process

• State Records required to consult with all public offices under section 13(3) of the State Records Act

• all public offices contacted on 5 February• draft standard available on website at

www.records.nsw.gov.au/recordkeeping• all public offices have the opportunity to review

the draft standard and to provide written comments and submissions

Consultation continued..

• deadline for submissions: 9 March• all comments considered carefully• final version approved and issued by late

April 2007• all public offices will be notified once the

new standard is approved and issued

For more information

• Phone: 8247 8631• Email: standards@records.nsw.gov.au• www.records.nsw.gov.au/recordkeeping

Updates

Government Recordkeeping

Updates

• Revision of Procedures for Disposal Authorisation– include additional guidance on methodology for

developing an authority, provision of justifications, assessing the need for and undertaking external stakeholder consultation and drafting the authority

• Revision of the General Retention and Disposal Authority for administrative records– the period for commenting on the exposure draft has

now come to an end. Our thanks to those who took the time to comment as the feedback will greatly contribute to the quality of the final product.

Updates

• Free briefings on ‘DIRKS’ in March– 9.30 to 12.30, Wednesday, 21 March– Sydney Records Centre, Level 2, 66 Harrington

Street, The Rocks– to book a place: contact Grace Hui, (02) 8247

8627 or govrec@records.nsw.gov.au

• Further technical advice on imaging– further technical advice has been added to

State Records' short guide Recordkeeping in Brief 11 - Digital imaging and recordkeeping.

Updates

• Model access directions for Councils• Forthcoming RIB on recordkeeping and

committees• Approved functional retention and

disposal authorities go online in March 2007