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Appendix 1: Requirements from State Records Standard on Digital Recordkeeping (GA33)

Includes minimum requirements for digital recordkeeping system functionality; recordkeeping metadata; recordkeeping metadata management.
No Requirement
1 Minimum requirements for digital recordkeeping system functionality 
1.1 The public office must define the digital State records that it will make and keep.

Note: The level of detail used by the public office to define the digital records to be made and kept should be adequate for implementation purposes and based on an assessment of the risk associated with the records and the business they document.
1.2 The digital State records that the public office has defined must be captured into an official digital recordkeeping system.

Note: A digital recordkeeping system can be:
  • a business system with recordkeeping functionality, or
  • a business system linked with a dedicated records management/information asset management system, or
  • a dedicated records management / information asset management system.
1.3 Any digital recordkeeping system used for keeping official records must possess the following functionalities:
  • capture read only versions of digital records
  • retrieve and present digital records in human readable form
  • restrict or permit access to records by specified individuals or groups, and
  • capture and manage the minimum required recordkeeping metadata as defined in this standard.
2 Minimum requirements for recordkeeping metadata
2.1 Digital records must be captured into a digital recordkeeping system with:
  • unique identifier
  • title
  • date of creation
  • who/what created the record
  • the business function/process it relates to
  • the creating application
  • record type (e.g. document/letter/memo/report/contract/fax/schematic/blog, or locally defined types).
2.2 Any of the recordkeeping processes (listed below) that are performed on a record must be documented with:
  • the date of the action
  • identification of who/what undertook the action
  • what action was undertaken.

The recordkeeping processes are:
  • registration into a recordkeeping system
  • apply or change access rules
  • transfer of control
  • destruction
  • migration
2.3 The transfer of control or destruction of records must be documented with:
  • process metadata as above
  • an authorisation reference for the transfer or destruction (e.g. FA234 2.4.5; GA27 1.2.3; By court order etc.), and
  • in the case of transfer of the records, the name of the receiving organisation (e.g. Dept of X; State Records).
2.4 At least the minimum required recordkeeping metadata as specified in this standard must be persistently linked with digital records and aggregations of digital records, including when they are transferred out of their original creating environment and through subsequent migrations.
3 Minimum requirements for recordkeeping metadata management
3.1  Recordkeeping metadata must be disposed of in accordance with the requirements of the State Records Act.
3.2 Metadata mappings from the minimum requirements of this standard to organisational digital recordkeeping systems must be documented and maintained, including any changes to these.