This standard was developed by the State Records Authority of New South Wales. It was issued under the State Records Act 1998, in April 2000 and applies to NSW public offices, as defined in s.3 of the Act.
This standard forms part of the framework of standards and codes of best practice, supported by guidelines, training and other forms of advice and assistance provided by State Records to assist NSW public offices to meet Part 2 (Records management responsibilities of public offices) of the State Records Act. In particular, it aims to assist each public office to ‘…ensure the safe custody and proper preservation of the State’s records that it has control of’ (s.11).
Objectives of the standard
The objectives of the standard are to ensure that:
· records are stored in the most cost-effective manner possible
· records are protected, secure and accessible for as long as they are required to meet business and accountability needs and community expectations, and
· records of continuing value which will be transferred to State Records’ control and/or custody as State archives are stored in the best conditions possible.
Scope
This standard covers all types of storage media (for example, paper, tapes, disks) but excludes the storage of electronic records on networks or on hard drives. These electronic records will require different storage options. These will be examined under separate guidance to be issued by State Records.
The standard covers active and semi active records in the custody of public offices. Outsourced records and State records in the hands of private companies are also covered by the standard. Storage providers accredited by State Records under the accreditation scheme, to be established under s.19(4) of the State Records Act, will be required to meet similar storage requirements. If any State records are stored with unaccredited providers, public offices should ensure that the storage conditions still conform to this standard.
The standard contains reference to archives and how they should be stored in order to encourage public offices to adopt a ‘continuum’ approach, a holistic management strategy for storing records. It covers records that are subject to ‘still in use’ determinations under s.28 of the State Records Act. These records are of archival value and should be placed in the best conditions possible. At the very minimum they should be kept according to the requirements for active and semi active records in this standard.
The standard does not intend to cover storage of State archives, that is, records under the control of State Records. Storage issues for State archives in the custody of public offices under distributed management agreements will be examined in future guidance from State Records.
Contents of the standard
This standard outlines seven principles that should be taken into account by NSW public offices when they store records. The principles are:
Location:
Sites for records storage should be located away from known hazards.
Environmental Control:
Records should be stored in environmental conditions that are appropriate to their format and retention period.
Shelving and packaging:
The shelving, equipment and containers for records storage should ensure that records are secure, accessible and protected from deterioration.
Protection from disaster:
Disaster management programs should be established and maintained to ensure that risks to records are either removed or managed appropriately.
Maintenance:
Programs for the maintenance and monitoring of records and storage areas should be implemented.
Careful handling:
The retrieval and use of records in storage should be subject to controls in order to prevent damage and deterioration.
Accessibility:
Records should be stored in facilities where they can be identified, located and retrieved easily.
APPENDIX 5
Standard on Recordkeeping in the Electronic Business Environment
Standard No. 4 Issued December 2000
Introduction
Background
An increasing proportion of the business of public sector bodies in NSW is being conducted in the electronic environment, using electronic mail and a variety of other electronic tools and systems. This has been given further impetus by the NSW Government’s commitment, reaffirmed in Premier’s Memorandum 2000–12, that all appropriate government services should be available electronically by December 2001. In this rapidly evolving environment, the conduct of accountable and efficient electronic business depends on reliable and effective recordkeeping.
At the same time, a growing range of practical tools has become available which can help public sector bodies to capture and manage records in electronic form. These include records management systems which can interface with an increasing variety of e-mail and other common business applications or which can be adjusted to integrate with more specialised systems. Detailed practical guidance on designing and implementing systems and practices to capture and manage the necessary records in the electronic business environment is available from State Records and other sources.
Under s.12 of the State Records Act, each public office must make and keep full and accurate records of its activities. In addition, many kinds of business activity are subject to specific recordkeeping requirements, whether to meet legal requirements, the practical needs of ongoing business, or internal or external accountability. These requirements apply as much to business conducted in the electronic environment as to business conducted in more traditional ways.
Premier’s Memorandum No. 98–16, issued in June 1998, established a clear policy direction in which agencies should implement effective practices for recordkeeping in the electronic environment. The direction was set out in more detail in two policy documents, on Electronic Recordkeeping and Electronic Messages as Records (summarised later) respectively, issued under that Memorandum.
This standard is issued under s.13(1) of the State Records Act. Section 13 of the Act empowers State Records to approve standards and codes of best practice for records management by public offices. Records management extends to include all aspects of the making, keeping and disposal of records, in all business environments. By setting minimum requirements in relation to key aspects of managing records in the electronic business environment, this standard is intended to further to encourage public offices to implement effective electronic recordkeeping strategies in keeping with the Government’s policy direction as set out in Premier’s Memorandum No. 98–16 and the two policy documents noted above. This standard should be read and implemented in conjunction with those documents.
The standard is outcomes oriented and does not mandate specific technological solutions. It refines and focuses existing requirements for making and keeping official records for the electronic business environment, rather than introducing new obligations.
Purpose
The purpose of this standard is to ensure that full and accurate records are made and kept of business conducted by public offices in the electronic business environment. It achieves this purpose by requiring that:
¨ proper evidence of business conducted using e-mail applications is captured and managed as part of the official record, and that
¨ public offices plan for, acquire and implement electronic information systems that can make and keep the electronic records necessary to support and provide evidence of the relevant business. This includes systems required to support electronic service delivery.
Scope
For the purposes of this standard, ‘electronic business’ is a broad term which encompasses all forms of business activity carried out using electronic means. This includes all forms of electronic service delivery and electronic commerce, the sending and receiving of e-mail and the use of other electronic business tools and information systems for administrative or agency-specific purposes. This standard addresses the capture and management of electronic records created or generated in this environment. This standard is, in particular, focussed on addressing the recordkeeping needs associated with the capture and management of electronic mail and on the planning for and acquisition of new information systems to support electronic business.
The minimum compliance requirements of the standard do not apply to existing information systems .
Responsibilities
Implementing effective strategies for recordkeeping in the electronic business environment requires the commitment of chief executives and senior management and coordinated effort by a multidisciplinary team including Corporate Records Managers, Chief Information Officers, Information Management and Technology Managers and Electronic Service Delivery Managers.
The Principles
1 Electronic Mail
Electronic mail that needs to be kept as evidence of business activity should be captured systematically and managed in official recordkeeping systems.
Transmitted e-mail provides evidence of business transactions and should therefore be managed appropriately.
Implementation of this principle does not mean that all e-mail should automatically be kept, but rather that requirements for evidence should be met by the integration of electronic messaging systems and electronic records management systems. These requirements for evidence, or recordkeeping requirements, should be determined by an analysis of the business conducted by the organisation and by identifying the accountability, business and social expectations for evidence arising from this business.
It is also important to note that electronic messages are subject to the same requirements for lawful disposal as other State records, as set out in Part 3 of the State Records Act. That means they should generally be disposed of only in accordance with an approved disposal authority or as part of the normal administrative practice of the public office. Schedule 1 of the Act provides guidelines on normal administrative practice (guidelines reproduced later in this Records Management Policy).
Records management policies and procedures can be used to establish rules for capturing, arranging and storing e-mail in corporate recordkeeping systems. Applications can now be acquired that manage e-mail as records in their electronic form rather than having to print them for attachment to a file. These systems can also link the appropriate disposal information to messages to ensure they are disposed of lawfully and in accordance with the relevant disposal authority.
This principle relates to electronic mail as it is commonly used in Government, for the sending of computer based messages to one or more recipients. It does not refer to the transmission of electronic information in other formats, such as the automated transfer of data from computer to computer, sometimes referred to under the umbrella term ‘electronic messaging’. These types of business transactions are covered by Principle 2.
Minimum compliance requirements:
· Internal policies on the management of electronic mail reflect Government-wide policy as enunciated in the Policy on Electronic Messages as Records.
· Systems and procedures are in place, and operating routinely, for capturing and managing electronic mail as records of the public office.
2 Acquisition of Information Systems
Information systems acquired by public offices for the transaction of business, including electronic service delivery, should help satisfy the recordkeeping requirements affecting the business supported by the systems.
Explanation
Public offices acquire information systems (sometimes referred to as business systems) to support all sorts of business activities. These activities can include common administrative activities such as the management of finances or assets, human resources management or reporting, or they may be activities which are specific to the public office. Increasingly, public offices are acquiring systems to support electronic service delivery initiatives in line with the Government’s commitment to the widespread provision of information and services on-line. In order to ensure that such business operates efficiently and that public offices are accountable in the short and long term, transactions conducted using any of these types of systems should be suitably documented to provide the necessary evidence of the business activity concerned.
Requirements for evidence of the business conducted using new information systems should be identified and assessed during the initial system analysis and design stage and included in the functional requirements for the systems. Such requirements for evidence (‘recordkeeping requirements’) will vary widely, from short term business needs to more substantial, longer term requirements. Advice on how to determine recordkeeping requirements is provided in the ‘Designing and Implementing Recordkeeping Systems (DIRKS)’ Manual. The New South Wales Recordkeeping Metadata Standard is also an important source to be considered in the development of functional requirements for new information systems.
Recordkeeping requirements described in functional requirements for proposed systems may then be met in the actual systems by a variety of means. They may, for example, be incorporated into the final design and implementation of the system as an integral part of the system itself or through an interface with an electronic records management system. The ‘DIRKS’ Manual can again be used as a guide for ensuring that recordkeeping requirements are met in the design and implementation stages of new systems.
Minimum compliance requirements:-
· Requirements for evidence of business to be conducted electronically using new information systems, including systems used for electronic service delivery, are identified and documented.
· These requirements are documented as part of the functional requirements for the proposed systems.
· The systems as implemented can be demonstrated to satisfy these requirements.
APPENDIX 6
Standard on Recordkeeping Metadata
Standard No 5 Issued June 2001
Executive Summary
State Records of NSW assert that “the NSW Recordkeeping Metadata Standard has been developed as a tool to assist NSW public offices to manage records in efficient and accountable ways”.
Metadata is defined by State Records as: “structured data about data”: and “recordkeeping metadata is metadata designed to meet specific recordkeeping requirements”. The following is a summary of State Records available material on Metadata.
Recordkeeping metadata is information that helps records to be identifiable, accessible and meaningful. It also supports the management of records for as long as they are needed. Capture and management of this information has traditionally been a routine part of records management. The majority of systems designed to control and manage records, such as automated records management products, should already capture this information. In these cases, the standard acts as a benchmark against which these systems can be measured and improved.
It is likely that the standard will be of most benefit in environments where records are not currently controlled or managed. In electronic business systems, for instance, record controls are not often included in the functional requirements of the system. In these situations, the NSW Recordkeeping Metadata Standard can be used, in conjunction with State Records’ Standard on Recordkeeping in the Electronic Business Environment and the Manual for Designing and Implementing Recordkeeping Systems, to build appropriate record controls into such systems.
The NSW Recordkeeping Metadata Standard forms part of the suite of tools developed by State Records to help public offices meet their obligations under the State Records Act 1998. In particular, it aims to assist each public office to make and keep full and accurate records of the activities of the office (s.12(1)). Unlike other standards issued by State Records, the NSW Recordkeeping Metadata Standard is a technical standard for achieving better metadata management rather than being compliance oriented.
Part 1 of the standard is an introductory document which provides an overview of its metadata requirements. Part 2 of the standard is a technical specification which describes each component of the standard in full. It provides details of the metadata records systems should capture and gives basic implementation guidance. Further guidance on implementation of the standard as a whole is available from State Records.
This standard is issued under the State Records Act and applies to NSW public offices, as defined in s.3 of the Act.
Background
Recordkeeping metadata is information that helps records to be identifiable, accessible and meaningful. It also enables records to be effectively managed by indicating such things as how long they need to be kept and who should have access to them. Furthermore, recordkeeping metadata ensures that there is an audit trail showing what has happened to records over time.
The capture and management of recordkeeping metadata is a standard component of recordkeeping practices. Metadata has traditionally been captured on the covers of files or within registers, indexes, and other means of controlling and managing records. In practice, not all information needed to control and manage records has always been captured as metadata. For example, important information relating to record use or management has frequently been conveyed through the physical nature or arrangement of the records or has been common knowledge among the people using the records. In the modern business environment, however, where records can be created and stored in electronic form and managed in decentralised ways across an organisation, there is a need to make information necessary for record use and management more explicit.
The NSW Recordkeeping Metadata Standard has been developed as a tool to help public offices improve their records management systems to ensure they encompass all necessary metadata. The standard is based on, and is consistent with, current national best practice. It has principally been derived from the Australian Recordkeeping Metadata Scheme, developed in the course of the Recordkeeping Metadata Project led by Monash University. It has also drawn from the National Archives of Australia’s Recordkeeping Metadata Standard for Commonwealth Agencies. Importantly, the standard has also been developed to be compatible with the Australian Government Locator Service (AGLS) metadata specification.
Purpose
The purpose of this standard is to:
· codify the information required to effectively control and manage records
· function as a benchmark for recordkeeping metadata within the NSW public sector, and
· support the interchange of records from different organisations and different systems.
Mandate
This standard is issued under s.13(1) of the State Records Act. Section 13 of the Act empowers State Records to approve standards and codes of best practice for records management by public offices.
Application
This standard applies to public offices as defined in s.3 of the State Records Act
Scope
The standard can be applied to all systems that manage records. The standard consequently applies to all records, including paper and electronic records, created and managed by public offices within these systems.
Structure
Part 1 of the standard comprises an introduction and includes a summary of the standard’s elements, element qualifiers and value components.
Part 2 of the standard is a technical specification which describes each of the elements, element qualifiers and value components that comprise the NSW Recordkeeping Metadata Standard in detail.
Responsibilities
Implementing recordkeeping metadata requires the commitment of chief executives and senior management and coordinated effort by a multidisciplinary team including Corporate Records Managers, records staff, Chief Information Officers and information management and technology managers. All employees of public offices may also be required to share the responsibility for appropriate and timely metadata creation.
Implementation
The standard does not mandate specific technological solutions for metadata capture and management. It is intended that public offices will implement the standard’s requirements in the manner that is most appropriate to their particular business needs and current means of controlling and managing records.
Already, much of the information specified in the standard is commonly found within many records management software packages. From late 2001, it is anticipated that all products on the GSAS (Government Selected Application Systems) contract for Records and Information Management Systems will be compliant with the standard.
However it is likely that electronic business systems that have not been adequately designed to manage the records they generate, may not currently include this information. In these situations, the NSW Recordkeeping Metadata Standard can be used, in conjunction with State Records’ Standard on Recordkeeping in the Electronic Business Environment and the Manual for Designing and Implementing Recordkeeping Systems, to build appropriate recordkeeping controls into such systems.
The guidance developed to accompany this standard, Managing Metadata – Strategies for creating and maintaining recordkeeping metadata, advises public offices on methods by which they can assess their current records and other systems against the requirements of this standard. It is intended that this guidance will enable public offices to monitor their own performance against the requirements of the standard and to make any adjustments to recordkeeping practice or procedures that may be necessary. The standard’s implementation will also be supported by training and other advice and assistance provided by State Records.
State Records will monitor implementation of the standard by examining responses to the annual Records Management Survey and through other means.
APPENDIX 7
POLICY ON ELECTRONIC RECORDS
1. Agencies’ electronic records are official records
1.1 Electronic records generated or received by an agency or a government employee in the course of official duties are to be treated as official records. For public offices subject to the State Records Act these are State records as governed by the Act.
1.2 As records of government agencies, electronic records, like records in other formats, are subject to legislation such as the Freedom of Information Act and to legal processes such as discovery and subpoenas. The records may also be required by Royal Commissions, the Courts, auditors and other people or bodies to whom or which they may be subject.
2. Electronic recordkeeping should comply with recognised best practice
2.1 Agencies should keep and manage their electronic records in compliance with standards approved under the State Records Act and with Australian Standard AS 4390, Records Management issued as a code of best practice under the Act. The Government expects the same standards of recordkeeping to apply in the electronic environment as in the paper environment.
2.2 Electronic recordkeeping should comply with recognised authority sources influencing recordkeeping that are relevant to an agency’s business environment, such as the AS/NZS ISO 9000 series of quality systems standards.
3. Electronic recordkeeping should be built into business processes and tools
3.1 Agencies should make recordkeeping a routine part of business in the electronic environment by building it into business processes and tools.
3.2 Agencies should make use of the opportunities afforded by business process re-engineering exercises, the replacement or upgrading of information systems and quality systems certification to help ensure that this occurs.
4. Business conducted by electronic means should be adequately documented to meet identified recordkeeping requirements
4.1 Agencies should ensure that they adequately and properly document those aspects of their business that are conducted in the electronic environment by making and keeping electronic records.
4.2 Agencies should ensure that these records satisfy identified business needs, accountability requirements and community expectations.
5. Electronic records should be maintained in electronic form
5.1 The Government’s objectives for using information management and technology to deliver government services to the people of NSW will be supported by maintaining electronic records in electronic form where it is appropriate to do so. Electronic records are more accessible and generally have greater value than printed versions of them. Some kinds of electronic records, such as compound documents, cannot be maintained in hard copy form without loss of content or meaning.
5.2 As agencies make more use of information management and technology to deliver services, conduct business and manage their information resources, they should establish ways of maintaining records generated in the electronic environment, and their associated metadata, in electronic form.
6 Electronic records should be maintained in reliable recordkeeping systems
6.1 Agencies should systematise electronic recordkeeping practices through the design and operation of reliable electronic recordkeeping systems. These may be dedicated recordkeeping systems or business systems and processes which incorporate recordkeeping and, thereby, function as recordkeeping systems. Only reliable recordkeeping systems produce authentic and trustworthy records.
6.2 This principle requires that agencies establish policies, business rules, formal methodologies and procedures incorporating sound recordkeeping practices for recordkeeping in the electronic environment. These should conform to Government-wide standards, formats and models.
6.3 Agencies should identify all their electronic recordkeeping systems, document them, including changes made over time, and assign responsibilities and delegations regarding their development, modification, operation and use.
7 Electronic records should be managed effectively as part of a comprehensive records management program
7.1 Agencies should ensure that policies, practices and systems for the management of electronic records are fully integrated into their records management programs. While electronic records should be regarded as a mainstream part of records management, compliance with this principle is likely to require specific and systematic attention.
7.2 Where electronic records and records in other forms document the same business activities or matters, agencies should manage these records in such a way that all relevant records can be easily retrieved and the relationships between the records are clear.
8 Maintaining and providing access to electronic records over time is a shared responsibility
8.1 Maintaining electronic records and providing official and public access to them over time, including as State archives, involves shared responsibilities between agencies and State Records. Agencies should cooperate with State Records to establish arrangements for the long-term management of electronic records and for providing access to them.
Establishing and operating effective electronic recordkeeping systems and practices within agencies requires a multidisciplinary approach. Agencies should make effective use of the necessary range of expertise available in the agency and elsewhere. This includes expertise in records management, information management and technology, business systems analysis and design, risk assessment, auditing and the law (first published 1998).
APPENDIX 8
POLICY ON ELECTRONIC MESSAGES
1 Electronic messages are records
1.1 An electronic message is a form of business communication. The sending of an electronic message is a business transaction and therefore a record.
1.2 Records sent and received by a government employee in the course of official duties are to be treated as official records. For public offices subject to the State Records Act these are State records as governed by the Act.
1.3 As records of government agencies, electronic messages, like records in other formats, are subject to legislation such as the Freedom of Information Act 1989 and to legal processes such as discovery and subpoenas. The records may also be required by Royal Commissions, the Courts, auditors and other people or bodies to whom or which they may be subject.
2 Electronic messages are to be captured and maintained as functioning records
2.1 In order to function as a record, electronic messages require the preservation of their structure, context and content.
Structure refers both to the software instructions for the layout (format) of the message and the links to attachments and related documents for a particular transaction. Content refers to the content of the message as received. Context refers to the information documenting the source and destination of the message and gives the message meaning (found, for example, within header information for electronic mail).
2.2 In order to maintain their value as evidence, electronic messages must be inviolate, that is, they cannot be altered or manipulated, for as long as they are retained.
3 Electronic messages must be captured into an identifiable recordkeeping system
3.1 Electronic messages required as evidence of substantive business activity should be captured directly into an electronic recordkeeping system.
3.2 If the preferred method of capturing records above cannot be satisfied an agency must satisfy one of the following options:
· recordkeeping functionality can be built into the electronic messaging system
· electronic mail and voice mail, with appropriate contextual detail, can be printed or transcribed and filed into a paper-based recordkeeping system.
3.3 Back-up stores of electronic messages within messaging systems and ad-hoc saving of messages to directories are not to be considered a form of recordkeeping system.
4. Electronic messages must be effectively managed
4.1 Effective practices for managing electronic messages as records will help ensure that an agency can meet its business needs, accountability requirements and community expectations through recordkeeping.
4.2 Records should be retained for as long as required to meet identified recordkeeping requirements and no longer. Ephemeral messages, therefore, are records which only need to be retained for a short time and may not need to be captured into a recordkeeping system.
4.3 Public offices subject to the State Records Act should dispose of electronic messages as records in accordance with the provisions of that Act.
4.4 Electronic messages should be managed in accordance with sound data management practices.
5 Electronic messages must be appropriately accessible
5.1 Electronic messages must be readily accessible to meet business and accountability requirements.
5.2 Electronic messages must be accessible for as long as they are required to be retained.
6 Electronic messages must be appropriately protected
6.1 Arrangements for maintaining electronic messages as records should operate in accordance with Government-approved policies, such as those protecting personal or commercially sensitive information from unauthorised disclosure.
7 Management of electronic messages as records must be supported by internal policies, procedures and guidelines
7.1 Corporate level policies, procedures and guidelines should cover the following:
¨ ownership of the messaging system and messages received or sent
¨ legislation that directly affects the agency’s recordkeeping and legal processes
¨ conditions for use of the corporate messaging facilities, including any private use
¨ responsibilities for management of the messaging system and of electronic messages as records
¨ capture, management and disposal of electronic messages as records
¨ security and access requirements
All the Standards and Policies are drawn from State Records Authority of NSW and national and international best practice, notably Australian Standard, AS 4390 on Records Management”. For further general information or enquiries about the Act, Standards and Policies, please contact:
State Records Authority of New South Wales
Level 3
66 Harrington Street
The Rocks
Sydney NSW 2000
E-mail: govrec@records.nsw.gov.au
Web site: http://www.records.nsw.gov.au
Telephone: 9673 1788
Information on implementation can also be provided by:
Pete Hughes
Manager Records
Department of Attorney General and Justice
Justice Precinct Offices
160 Marsden Street
PARRAMATTA NSW 2150
GUIDELINES ON NORMAL ADMINISTRATIVE PRACTICE
1. Introduction
The purpose of this document is to provide guidance on the destruction of records under the normal administrative practice (‘NAP’) provisions of the State Records Act 1998.
1.1 Scope and application
These guidelines apply to the whole of the NSW public sector. They are aimed specifically at individual officers within public offices who have the responsibility of implementing these guidelines in the workplace.
1.2 Background
Public offices create and maintain records as evidence of business activities and transactions. These records contribute to the ability of the public office to meet accountability standards and requirements. They are essentially the corporate memory of the organisation and are part of the memory of society as a whole. They can also play an important role as a cultural resource.
State Records produces various standards and guidelines to assist public offices to meet appropriate standards in the creation and management of State records.
1.2.1 Responsibilities of public offices
Under Part 2 of the Act, it is the responsibility of each public office to ensure that adequate recordkeeping practices and recordkeeping systems are in place throughout the organisation. It is also the responsibility of the public office to ensure the development of adequate policies and procedures regarding these recordkeeping practices and recordkeeping systems and that individual officers properly implement these policies and procedures.
1.2.2 Responsibilities of individual public officers
Individual officers are responsible for ensuring that all records that provide evidence of business transactions or decisions, or that contain information essential to the public office, are captured within the recordkeeping systems of the organisation (these being records of continuing value to the organisation).
The Australian Standard AS4390—1996 on Records Management recommends that:
Where an individual employee performs an action that does not itself generate a record, [such as a telephone conversation] the employee should decide whether a record needs to be made. Whether this is necessary should be decided through the analysis of recordkeeping requirements, including the likelihood of the employee having to account for himself or herself later.
Individual officers make such recordkeeping decisions routinely and it is crucial that they are clear about their recordkeeping activities and responsibilities.
1.2.3 Capture of records into recordkeeping systems
Each public office must ensure that appropriate records documenting its business activities are captured into the organisation’s recordkeeping systems. Records that are ephemeral, facilitative or duplicate in nature (and not of continuing value to the organisation) may not need to be placed within recordkeeping systems and may be required for only a few hours or days. The destruction of these types of records is acceptable as a part of normal administrative practice for a public office (see Section 3 of these guidelines for more details).
1.3 Protection of State Records
Part 3 of the State Records Act deals with the protection of State records. The purpose of this part is to protect State records from unauthorised disposal by public offices. Section 21(1) provides various protection measures for State records and states:
A person must not:
a) abandon or dispose of a State record, or
b) transfer or offer to transfer, or be a party to arrangements for the transfer of, the possession or ownership of a State record, or
c) take or send a State record out of New South Wales, or
d) damage or alter a State record, or
e) neglect a State record in a way that causes or is likely to cause damage to the State record.
1.4 Legal disposal of records
The Act provides a number of means to lawfully dispose of State records. Under s.21 (2) State records can be authorised for disposal in five main ways:
¨ with the permission of the State Records Authority
¨ under the provisions of certain pieces of legislation (these specifically being any of the Acts that are exempted by regulation from the operation of Part 3 of the State Records Act)
¨ in accordance with ‘normal administrative practice’ in a public office
¨ by an order or determination of a court or tribunal, or
¨ in accordance with a resolution of a House of Parliament, in relation to a State record for which the House is the responsible public office.
1.4.1 Disposal with permission of State Records
State Records has the power to authorise the disposal of State records. Under s21(2)(c) the following is not a contravention of the protection measures established in s.21(1):
‘anything done by or with the permission of the Authority or in accordance with any practice or procedure approved by the Authority either generally or in a particular case or class of cases (including any practice or procedure approved of under any standards and codes of best practice for records management formulated by the Authority’
State Records generally gives permission for disposal by issuing disposal authorities (DAs). Disposal authorities can be issued as general disposal authorities (GDAs) or functional disposal authorities (FDAs). General disposal authorities can cover broad categories of public office (eg universities, local government, or hospitals) or apply to common classes of records (eg administrative, personnel and accounting records). Functional disposal authorities cover the functional records specific to a particular public office.
State Records must not give permission or approval for any disposal action unless it has been first approved by the Board of the State Records Authority. Section 21 (3) states:
The Authority must not do, or give permission or approval for or with respect to the doing of, anything referred to in subsection (1) except with the approval of the Board given either generally or in a particular case or class of cases.
In practice, this means that all general disposal authorities and functional disposal authorities are submitted to the Board for approval. After that approval has been given, State Records will then issue the disposal authorities for use. See State Records Procedures for the Disposal of State Records for more details on disposal procedures and requirements.
1.4.2 Destruction of records in accordance with NAP
The Act also provides for limited legal disposal of State records without the specific authorisation of State Records. This is allowed for under the ‘normal administrative practice’ provisions. The inclusion of the normal administrative practice ('NAP') provision in the Act is intended to enable public offices to carry out a number of everyday, common sense procedures and practices.
The destruction of records according to normal administrative practice is authorised under s.21(2)(a), which states that the following is not a contravention of the protection measures established in s.21(1):
anything done in accordance with normal administrative practice in a public office (as provided by section 22).
Section 22 further states:
Something is considered to be done in accordance with normal administrative practice in a public office if it is done in accordance with the normal practices and procedures for the exercise of functions in the public office.
Schedule 1 contains guidelines on some aspects of normal administrative practice. The guidelines do not limit what constitutes normal administrative practice and do not affect the operation of subsection (2).
The guidelines in this document (Section 3) describe in more detail the types of records that can be legally destroyed without further reference to State Records. The scope of what is included in the definition of normal administrative practice will need to be updated from time to time. State Records is authorised by the Act to provide further directions on NAP procedures for public offices.
It should be noted that records that can not be destroyed and should, therefore, be captured into the organisation’s recordkeeping system are also described in the guidelines.
1.4.3 Unacceptable NAP practices
The Act identifies some unacceptable practices and provides State Records with powers to notify a public office of other unacceptable practices. Section 22(2) states:
However, something is not considered to be done in accordance with normal administrative practice if:
a) it is done corruptly or fraudulently, or is done for the purpose of concealing evidence of wrongdoing, or is done for any other improper purpose, or
b) it is conduct or conduct of a kind declared by the regulations to be unacceptable for the purposes of this Part, or
c) it is done in accordance with a practice or procedure declared by the regulations to be unacceptable for the purposes of this Part, or
d) it is done in accordance with a practice or procedure that the Authority has notified the public office in writing is unacceptable for the purposes of this Part.
State Records may issue further guidelines identifying unacceptable NAP practices from time to time.
1.5 Internal policies and procedures for NAP
Public offices should produce internal policies and procedures to further define what are meant by normal administrative practice for their own organisation. For example, the public office will need to clarify how they define ‘drafts containing significant or substantial changes or annotations’. Specific retention periods should also be determined for these records. These policies and procedures should then be circulated to all agency staff so that they are aware of their recordkeeping responsibilities.
1.6 Related documents
These guidelines should be read in conjunction with the other publications contained in the Government Recordkeeping Manual.
2 Definitions
NOTE:
The definitions which are taken from Australian Standard AS4390-1996, Records Management. Part 1, General are marked *.
The definitions which are taken from the State Records Act (NSW), 1998 are marked #. For the purposes of these guidelines the following definitions apply:
Appraisal *
The process of evaluating business activities to determine which records need to be captured and how long the records need to be kept, to meet business needs, the requirements of organisational accountability and community expectations.
Business activity *
Umbrella term covering all the functions, processes, activities and transactions of an organisation and its employees. Includes public administration as well as commercial business.
Disposal *
A range of processes associated with implementing appraisal decisions. These include the retention, deletion or destruction of records in or from recordkeeping systems. They may also include the migration or transmission of records between recordkeeping systems, and the transfer of custody or ownership of records.
Documents *
Structured units of recorded information, published or unpublished, in hard copy or electronic form, and managed as discrete units in information systems.
Ephemeral records #
Records of little value that only need to be kept for a limited or short period of time. Ephemeral records have no continuing value to the organisation and, generally, are only needed for a few hours or a few days.
Facilitative records #
Records of little value and of a routine instructional nature that are used to further some activity. Most facilitative records have no continuing value to the organisation and, generally, are only needed for a few hours or a few days.
Information systems *
Organised collections of hardware, software, supplies, policies, procedures and people, which store, process and provide access to information.
Recordkeeping *
Making and maintaining complete, accurate and reliable evidence of business transactions in the form of recorded information.
Recordkeeping systems *
Information systems which capture, maintain and provide access to records over time.
Records *
Recorded information, in any form, including data in computer systems, created or received and maintained by an organisation or person in the transaction of business or the conduct of affairs and kept as evidence of such activity.
Records of continuing value #
All records and information of continuing value must be captured into the agency recordkeeping system. Records of continuing value to the organisation can be defined as ‘any record that has administrative, fiscal, legal, evidential or historic value to the organisation’. Such records are not the subject of the ‘NAP’ provisions and, consequently, must be disposed of in accordance with an appropriate disposal authority (such as, the General Disposal Authorities or the Functional Disposal Authorities developed by each public office).
State archive #
A State record that the [State Records] Authority has control of under [the] Act.
State record #
Any record made and kept, or received and kept, by any person in the course of the exercise of official functions in a public office, or for any purpose of a public office, or for the use of a public office.
Transaction *
The smallest unit of business activity. Uses of records are themselves transactions.
3 Guidelines
These guidelines apply to records irrespective of format (including electronic records). Where the guidelines indicate that a record may be destroyed, then the record may be destroyed without further reference to State Records. Where the guidelines indicate that a record may not be destroyed according to these guidelines, then disposal must be authorised under other disposal authorities issued by State Records.
It should be noted that disposal may already be covered by an existing disposal authority, such as the General Disposal Authority (for Administrative Records, Accounting Records and Personnel Records) or by a functional disposal authority specific to each organisation.
The guidelines have two parts. Firstly, 3.1 deals with categories 1-2 (below) which have been produced in accordance with s.21(2)(c) of the Act. Secondly, 3.2 deals with categories 3-11 as covered in Schedule 1 of the Act.
The following categories of records are covered by the guidelines:
1. outgoing correspondence
2. temporarily taking records out of the State
3. drafts
4. working papers/records
5. duplicates of records
6. computer support records
7. facilitating instructions
8. messages
9. facsimiles
10. stationery, and
11. solicited and unsolicited advertising material
The guidelines for each of these categories contain a definition and a set of disposal directions. In some cases the disposal direction is divided into those records that can be disposed of and those which can not be disposed of under the NAP provisions. The whole section relating to a category should be read before any of the guidelines or directions relating to that category are applied.
An authority to destroy records under the NAP provisions is not a direction to destroy. A public office must be satisfied that a record authorised for destruction is no longer required for any other purpose by the public office and that requirements under any other Act have been met. Refer to the State Records publication Destruction of Records: A Practical Guide for appropriate methods and procedures for records destruction.
3.1 Guidance from State Records
3.1.1 Outgoing correspondence
Meaning
This covers original correspondence that is dispatched from a public office in the course of normal business activities.
Disposal
An authorised copy of outgoing correspondence should be captured in an appropriate way within an agency recordkeeping system. The original can then be dispatched from the public office.
3.1.2 Temporarily taking records out of the State
Meaning
From time to time it may be necessary for records to be taken out of NSW for the conduct of official business.
Disposal
It is acceptable for an authorised person (NSW public servant or official) to take records temporarily out of NSW for official business, where those records are relevant or necessary to the conduct of that official business. Such records should remain in the custody of the authorised person and should be returned to the public office when no longer required for the conduct of that business. Records should not be taken or sent out of NSW permanently without explicit and legal authorisation.
3.2 State Records Act 1998: Schedule 1
The following has been reproduced from Schedule 1 of the Act. Other practices not covered by Schedule 1 have been addressed in Section 3.1 of this publication.
Schedule 1 Guidelines on some aspects of normal administrative practice
(Section 22)
Part 1 Preliminary
1 General
These guidelines give guidance as to what is normal administrative practice in a public office.
2 Definitions
In this Schedule:
ephemeral records means records of little value that only need to be kept for a limited or short period of time. Ephemeral records have no continuing value to the organisation and, generally, are only needed for a few hours or a few days.
facilitative records means records of little value and of a routine instructional nature that are used to further some activity. Most facilitative records have no continuing value to the organisation and, generally, are only needed for a few hours or a few days.
record of continuing value means any record that has administrative, fiscal, legal, evidential or historic value to the organisation.
Part 2 Drafts
3 Meaning
Drafting is the activity associated with preparing preliminary drafts or outlines of addresses, speeches, reports, correspondence, tables, statistics, file notes, plans, and sketches, etc, prior to production of a final version or the final form of the record. Drafting records can be in paper form or electronic form.
4 Drafts that must not be disposed of
Drafts that must not be disposed of are those for which there is an identified recordkeeping requirement to retain them because they document significant decisions, reasons and actions and contain significant information that is not contained in the final form of the record. Examples of such drafts are:
a) drafts containing significant or substantial changes or annotations,
b) drafts relating to the formulation of legislation, legislative proposals and amendments,
c) drafts relating to the formulation of policy and procedures, where the draft provides evidence of the processes involved or contains significantly more information than the final version of the record,
d) drafts of legal documents (contracts, tenders etc).
5 Drafts that can be disposed of
Drafts that can be disposed of are draft documents and working papers of a routine nature used for the preparation of such documents as:
(a) budget documents,
(b) charts,
(c) correspondence,
(d) file notes,
(e) minutes,
(f) reports,
(g) spreadsheets,
(h) tabulations.
Part 3 Working papers/records
6 Meaning
Working papers/records are papers, background notes and reference materials that are used to prepare or complete other documents.
7 Working papers/records that must not be disposed of
Working papers/records that must not be disposed of are those for which there is an identified recordkeeping requirement to retain because they document significant decisions, reasons and actions or contain significant information that is not contained in the final form of the record.
Examples are:
(a) working papers/records of a project officer or investigative officer where they are the substantive record of the project or investigation (that is, they contain substantial and valuable information not found elsewhere),
(b) papers in an unofficial filing system where a registered file has not been created or kept within an agency's recordkeeping system, for example, within small business units, or within the office of the Chief Executive Officer.
8 Working papers/records that can be disposed of
Working papers/records can be disposed of when they are primarily facilitative and when the retention of the final version of a document is sufficient to meet the recordkeeping requirements of an agency, so long as they are not required to be retained in order to account for policies, decisions, reasons and actions or not required to function as evidence.
Examples are:
a) audio recordings of dictated correspondence, conferences and meetings used to prepare correspondence, papers, minutes and transcripts,
b) calculations,
c) rough notes (including rough notes of meetings and telephone conversations where a formal record has been made),
d) statistics/figures.
Part 4 Duplicates of records
9 Meaning
Duplicates are reproductions of records where the original or authorised copy of the record is contained within an agency recordkeeping system.
10 Duplicates that must not be disposed of
Duplicates that must not be disposed of are:
a) duplicates of documents sourced from outside the agency that should properly be placed on file or captured in an appropriate way within the recordkeeping system of the agency (electronic records will need to be maintained electronically),
b) duplicates of internal agency documents that in themselves may form part of a record, for example an authorised copy of a document sent from a central office to a regional area where that copy should be captured in the recordkeeping system of the regional area.
11 Duplicates that can be disposed of
Duplicates that can be disposed of are:
a) information copies or duplicates of records that have already been captured within a recordkeeping system elsewhere in the agency, and that are generally kept for reference purposes by individuals (for example, information copies of correspondence, reports and memos),
b) duplicates of internal publications held for informational purposes (for example, annual reports, brochures and leaflets),
c) duplicates of external documents and publications (for example, external annual reports, price lists, trade journals and catalogues).
Part 5 Computer support records
12 Computer support records that must not be disposed of
Computer support records that must not be disposed of are those that support significant functions of the agency and that may be needed as evidence of particular activities (for example, records that provide audit trails).
13 Computer records that can be disposed of
The following computer records can be disposed of once they have been acted upon or superseded and are not required for ongoing business requirements:
a) input/output formats from mechanical and electronic records systems, such as:
I. error or control reports,
II. input forms for data entry,
III. output used for checking/verifying,
IV. regular batch reports,
V. system reports,
VI. transaction reports used for checking and control purposes
b) reference copies of user manuals etc,
c) superseded computer logs,
d) superseded or obsolete computing software,
e) systems back-ups,
f) test data.
Part 6 Facilitating instructions
14 Meaning
Facilitating instructions are records that contain routine or facilitative instructions to officers (for example, keyboard operators and records staff) in the form of ‘post-it’ or sticky notes, forms etc.
15 Facilitating instructions that must not be disposed of
The following facilitating instructions must not be disposed of:
a) those that are identified as having continuing value (for example, are part of an actual business transaction itself),
b) those that have policy/procedural implications,
c) those that are identified as important to the agency.
16 Facilitating instructions that can be disposed of
Facilitating instructions that can be disposed of are those that are ephemeral and have short term value. They may relate to such activities as:
a) correcting typing errors,
b) file creation or retrieval,
c) filing a letter,
d) formatting documents,
e) internal distribution lists for informational purposes,
f) running off duplicates.
Part 7 Messages
17 Meaning
Messages may be in the form of e-mail, voice mail, facsimiles, ‘post-it’ or sticky notes, slips of paper, telephone messages, transmission reports, etc.
18 Messages that must not be disposed of
Messages that are not to be disposed of are those that are identified as having continuing value.
19 Messages that can be disposed of
Messages that can be disposed of are those that:
a) are ephemeral and are only of short term value,
b) have had a copy placed on the relevant file or captured in an appropriate way within an agency recordkeeping system.
Part 8 Facsimiles
20 Preservation of facsimiles
As thermal paper deteriorates, it is vital that facsimiles that have been printed on thermal paper be photocopied onto appropriate paper to ensure long-term preservation.
21 Facsimiles that must not be disposed of
Facsimiles that must not be disposed of are those that are identified as having continuing value.
22 Facsimiles that can be disposed of
Facsimiles that can be disposed of are those that:
a) are ephemeral and are only of short term value,
b) have an authorised copy captured in an appropriate way within an agency recordkeeping system.
Part 9 Stationery
23 Stationery that can be disposed of
The following items can be disposed of:
a) unused numbered volumes/pads,
b) unused printed forms,
c) unused stationery,
d) unused letterhead.
Part 10 Solicited and unsolicited advertising material
24 Meaning
This refers particularly to advertising and other material generally known as ‘junk mail’. It includes (but is not limited to) the following:
a) advertising ‘flyers’,
b) brochures,
c) catalogues,
d) price lists
25 Disposal
Solicited and unsolicited advertising material can be disposed of. Some catalogues may need to be placed on the appropriate equipment or purchase files. | 
