Appendices
Appendix A: List of Compliance Requirements | Appendix B: Implementing the Standard
Appendix A: List of Compliance Requirements
The table below lists the compliance requirements contained in the draft standard.
| 1 | Decisions for retaining and disposing of records should be based on an analysis of business needs, organisational accountability and community expectations |
|---|---|
| 1.1 | 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. |
| 1.2 | Decisions are documented and justified. |
| 1.3 | Recordkeeping requirements, appraisal decisions, and retention and disposal authorities for the public office are regularly reviewed. |
| 2 | Decisions made regarding the retention and disposal of records should include all records of the organisation in all formats. |
|---|---|
| 2.1 | 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. |
| 2.2 | Legacy records or records of non-current business functions and activities of a public office are documented in approved retention and disposal authorities. |
| 3 | Decisions and actions to keep, destroy or transfer records should be authorised. |
|---|---|
| 3.1 | Decisions to keep, destroy or transfer records are authorised. |
| 3.2 | Disposal activities are approved, supervised and authorised in accordance with established procedures and by those with the appropriate delegated authority. |
| 3.3 | The sentencing of records is monitored before disposal actions are carried out. |
| 4 | Actions to keep, destroy or transfer records should be accountable. |
|---|---|
| 4.1 | Disposal of all records is documented including the nature and time of the disposal action, the identity of the person authorising the action and the disposal authority authorising the action. |
| 4.2 | Sentencing and records disposal activities are carried out by personnel who have appropriate skills and knowledge for these tasks. |
| 5 | Decisions to keep, destroy or transfer records should be routinely implemented. |
|---|---|
| 5.1 | Policy, procedures and business rules direct how appraisal and disposal activities are undertaken in the public office. |
| 5.2 | Records sentencing and disposal actions are undertaken as a routine and regular part of the public office's Records Management Program. |
| 5.3 | Records identified as State archives are transferred to State Records' control when no longer in use for official purposes in the public office. |
Appendix B: Implementing the Standard
This appendix is provided for advice only and will be updated as required. It does not form part of the requirements of the standard.
Records management processes and practices will vary between public offices because of differences in size, complexity and ways of carrying out business. However the principles in the standard will be the same for all NSW public offices.
The principles of the standard are focused on outcomes so that they are flexible enough to accommodate the different organisational contexts in which they will be implemented. This appendix gives some guidance on implementing the principles, including links to existing guidance from State Records, and links to other standards.
| Requirement | Examples of how to comply | Further guidance | |
|---|---|---|---|
| 1.1 | 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. | To ensure appropriate appraisal decisions are made for your organisation's unique functions, use the 'DIRKS' methodology to analyse legislation, accountability requirements, community expectations and risk factors affecting recordkeeping. Interview relevant staff to confirm your analysis. Document the analysis and requirements to create, capture and dispose of records by source or by function or business area within the public office. |
Strategies for Documenting Government Business - the DIRKS Manual (Steps A-C) Standard on Full and Accurate Records Developing a Functional Retention and Disposal Authority training course |
| 1.2 | Decisions are documented and justified. | Document the analysis and decision-making process. Have decisions approved at a senior level in the organisation. Refer to State Records Procedures for disposal authorisation for appropriate details and form of justifications for decisions. |
Procedures for disposal authorisation |
| 1.3 | Recordkeeping requirements, appraisal decisions, and retention and disposal authorities for the public office are regularly reviewed. | Establish a cycle for the review of recordkeeping requirements, appraisal decisions and functional authorities, eg. every 5 years unless administrative change or business changes prompt an earlier review. Include reviews in the planning cycle for the Records Management Program for the public office. Reviews should examine DIRKS analysis and decision-making to determine if the analysis and decisions are still correct. |
Strategies for Documenting Government Business - the DIRKS Manual (Steps A-C and H) Developing a Functional Retention and Disposal Authority training course |
| 2.1 | 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. | NSW Government agencies must:
Government agencies should check with State Records regarding the currency and use of older Disposal Recommendations. For councils, universities and the public health sector, disposal coverage is authorised through General retention and disposal authorities (GAs). |
Procedures for disposal authorisation General retention and disposal authorities Functional retention and disposal authorities Developing a Functional Retention and Disposal Authority training course |
| 2.2 | Legacy records or records of non-current business functions and activities of a public office are documented in approved retention and disposal authorities. | Functional retention and disposal authorities (FAs) should include (where relevant):
When administrative change occurs, such as the merger of two organisations or the transfer of functions between organisations, functional retention and disposal authorities may continue to be used by those public offices that continue to perform the functions covered by the authority. |
Functional retention and disposal authorities Procedures for disposal authorisation Developing a Functional Retention and Disposal Authority training course |
| 3.1 | Decisions to keep, destroy or transfer records are authorised. | Include description of how decision-making is done in organisational policy and procedures. Include authorisations to approve decisions to keep, destroy or transfer records in business rules and delegation manual for the organisation, where appropriate. Include a requirement in the decision-making process to confirm whether the records are required for any legal matters, inquiries or GIPA Act requests, prior to the disposal of the records. Develop organisational policy and procedure to define what is meant by Normal Administrative Practice for the organisation and what are acceptable Normal Administrative Practices in the context of the organisation's business processes. Policy and procedure should identify and document the types of records that are authorised to be disposed of under Normal Administrative Practice. |
Guideline 12 - Implementing a Disposal Authority Guideline 8 - Normal Administrative Practice |
| 3.2 | Disposal activities are approved, supervised and authorised in accordance with established procedures and by those with the appropriate delegated authority. | Delegate and assign responsibility for the sentencing and disposal of State records to an appropriate employee/s. The employee/s also need to be authorised to dispose of records (either by destruction or transfer to archival custody). Establish accountable and authorised processes for disposal activities in policy and procedures (including the appropriate and authorised processes for the destruction or transfer of records). See requirement 5.1. |
Guideline 12 - Implementing a Disposal Authority |
| 3.3 | The sentencing of records is monitored before disposal actions are carried out. | Confirm and document:
|
Guideline 12 - Implementing a Disposal Authority |
| 4.1 | Disposal of all records is documented including the nature and time of the disposal action, the identity of the person authorising the action and the disposal authority authorising the action. | Document all disposal actions, excluding those records covered by Normal Administrative Practice policies and procedure, including:
Where appropriate use records management software or manual systems to record information about disposal. If records are to be destroyed or deleted, public offices must be able to demonstrate that the records have been physically destroyed (eg. certificate from secure destruction service) or deleted from the system (eg. copy of the audit log showing the deletion; the system's metadata updated to include information about the deletion of records from the system). |
Guideline 12 - Implementing a Disposal Authority Guideline 3 - Destruction of records: A practical guide Recordkeeping in Brief 18: Introducing recordkeeping metadata Implementing a Retention and Disposal Authority training course Guideline 8 - Normal Administrative Practice |
| 4.2 | Sentencing and records disposal activities are carried out by personnel who have appropriate skills and knowledge for these tasks. | Ensure that staff carrying out disposal activities understand:
Ensure contractors employed to sentence records have adequate knowledge of the above. Provide adequate supervision and monitoring of the work of contractors to ensure quality and accuracy of record sentencing. Advise all staff, including contractors, that the disposal of records is an accountable process (see 5.1) via:
|
Implementing a Retention and Disposal Authority training course Implementing a Retention and Disposal Authority for Local Government Records training course Retention and Disposal of Public Health Sector Records training course Strategies for Documenting Government Business - the DIRKS Manual ( Step F: Develop a training strategy) Leaflets giving records management advice eg What have records got to do with me?, Recordkeeping reminders |
| 5.1 | Policy, procedures and business rules direct how appraisal and disposal activities are undertaken in the public office. | Include statements about appraisal and disposal in organisational policy and procedures. Incorporate in policy, procedures and business rules an accountable process for appraisal and disposal activities (including Normal Administrative Practice). Include definitions of the responsibilities of staff appropriate to their roles, for example:
Note: If records management is performed through a shared services arrangement, roles and responsibilities can be assigned via service level agreement or similar. If the organisation has a delegations manual, include information on appraisal and disposal authorisation processes. |
Strategies for Documenting Government Business - the DIRKS Manual ( Step F: Applying the policy strategy) Guideline 13 - Create and Capture: Guidelines of better recordkeeping (section 4.2) Examples of policy on State Records website Guideline 8 - Normal Administrative Practice |
| 5.2 | Records sentencing and disposal actions are undertaken as a routine and regular part of the public office's Records Management Program. | Incorporate up to date authorised appraisal decisions and triggers for disposal into recordkeeping systems and business systems as soon as functional retention and disposal authority approved, or general retention disposal authority issued by State Records. Establish and plan a regular program of sentencing and disposal activities across the organisation. This can be done as part of the Records Management Program. Undertake disposal (ie destruction or transfer of records to archival custody) on a regular basis as part of the Records Management Program. |
Guideline 12 - Implementing a Disposal Authority |
| 5.3 | Records identified as State archives are transferred to State Records' control when no longer in use for official purposes in the public office. | Determine if records identified as State archives are:
|
Transferring State Records training course Making still in use determinations procedures Transferring custody of records as State archives procedures |
