Standards for Records Management

On This Page

• Adequate Records Management Standard
• Document and Records Management Systems Standard
• South Australian Recordkeeping Metadata Standard
• EDRMS Design Standard
• EDRMS Functional Specification Standard
• The Victorian Electronic Records Strategy - VERS
• Information Technology Standards
• Management of Official Records in a Business System
• Australian Standard AS ISO 15489 2002
• Australian Standard AS 5090 - 2003
• Australian Standard HB 171- 2003
• Temporary Value Records Standard
• Contracting and Official Records Standard

Section 14 of the State Records Act, 1997 enables State Records of South Australia to issue Standards and Guidelines. The Standards and Guidelines support the development of Adequate Records Management practices within State and Local Government in South Australia.

This page describes the following standards:

• Standards developed and issued by State Records
• Australian Industry Standards endorsed by State Records
• International Standards endorsed by State Records.

Due to a document processing issue during October/November 2011 some standards appeared with version number errors.

This has now been rectified. Please note that no significant changes to the standards have been made.

Adequate Records Management Standard

The Adequate Records Management Standard is a key part of an across-government framework. The framework provides a records management regime for State and Local Government agencies within South Australia. This Standard, which is mandatory for State Government agencies, describes the Adequate Records Management Framework in detail. It includes the benchmarks that records management programs need to achieve in order to be classified as 'adequate'.

The Standard was developed to meet the broad goals of the State Records Act, 1997 and the Local Government Act, 1999. It also addresses the particular goal in section 16 of the Act which states: 'If the Manager [Director of State Records] is of the opinion that the records management practices of an agency are inadequate, the Manager is required to report the matter to the Minister'.

(244 KB DOC File) Adequate Records Management Standard

Related Information:

• Adequate Records Management

Document and Records Management Systems Standard

The Document and Records Management Systems Standard defines six key principles and related compliance requirements for the assessment and selection of Electronic Document and Records Management Systems (EDRMS) for South Australian Government.

The Standard was developed by State Records, in consultation with government stakeholders, to satisfy one of the requirements of the State Records Act, 1997.

This Standard is intended for use by those people involved in the assessment and acquisition of document and records systems and is the lead document in a suite of documents issued by State Records that includes:

• South Australian Recordkeeping Metadata Standard (SARKMS)
• EDRMS Design Standard
• EDRMS Functional Specification Standard
• EDRMS Procurement and Pre-Implementation Guideline
• The Victorian Electronic Records Strategy (VERS).

The Standard can also be used as a tool in assessing existing system requirements.

(171 KB DOC File) Document and Records Management Systems Standard

Related Information:

• South Australian Recordkeeping Metadata Standard
• EDRMS Design Standard
• EDRMS Functional Specification Standard
• EDRMS procurement and pre-implementation guideline
• The Victorian Electronic Records Strategy - VERS

South Australian Recordkeeping Metadata Standard

The South Australian Recordkeeping Metadata Standard (SARKMS) is a technical standard, which deals with the capture and maintenance of recordkeeping metadata. Recordkeeping metadata is defined as 'Data describing contexts, content and structure of records and their management through time'.

A range of recordkeeping and information professionals were consulted during the development of the Standard. In July 2008, the Standard was amended to align the security classification and caveat schema with the Commonwealth Protective Security Model (PSM) 2005 security classification regime. In July 2009, the Standard was revised to reflect aspects of the model adopted by the National Archives of Australia.

Retrospective application of the Standard to existing document and records management systems is not proposed. Compliance with the Standard is required only when agencies implement new document or records management systems or undertake significant upgrade to existing systems.

(1.56 MB DOC File) South Australian Recordkeeping Metadata Standard

EDRMS Design Standard

This Standard details the policy for South Australian Government agencies when implementing a compliant EDRMS.

The intent of this Standard is to provide agencies and authorities with a pragmatic approach to EDRMS design. It is acknowledged that agencies and authorities are likely to configure and customise their EDRMS, which may impede electronic communications and the transfer of information without system design criteria. This Standard facilitates the consistent capture and transfer of records managed in compliant systems despite agency customisation of the EDRMS interface.

This Standard aligns with the following National and State issued Standards:

• Adequate Records Management Standard
• South Australian Recordkeeping Metadata Standard (SARKMS)
• Victorian Electronic Recordkeeping Standard 2003
• Australian Government Locator Service Metadata Standard (AGLS)

(746 KB DOC File) EDRMS Design Standard

Related Information:

• Adequate Records Management Standard
• South Australian Recordkeeping Metadata Standard
• The Victorian Electronic Records Strategy - VERS

EDRMS Functional Specification Standard

This Specification details the South Australian Government defined recordkeeping and business functional compliance requirements for any proposed Electronic Document and Records Systems (EDRMS). These requirements are mandatory for meeting the Document and Records Management Systems Standard.

This Specification needs to be read in conjunction with the:

• Document and Records Management Systems Standard, and
• South Australian Recordkeeping Metadata Standard (SARKMS)

It is recommended that EDRMS suppliers unfamiliar with the South Australian Government's Records Management regulatory environment also download, using the related information links below, the:

• State Records Act, 1997
• Adequate Records Management (ARM) Standard
• Adequate Records Management Improvement Matrix
• EDRMS Design Standard

(535 KB DOC File) EDRMS Functional Specification Standard

Related Information:

• Document and Records Management Systems Standard
• South Australian Recordkeeping Metadata Standard
• Adequate Records Management Standard
• Adequate records management - Improvement matrix
• EDRMS Design Standard
• Adequate Records Management

The Victorian Electronic Records Strategy - VERS

Increasingly the South Australian Government is doing business electronically. Much of the digital information created in the course of this business is important and must be kept for legal, accountability or historical reasons.

State Records of South Australia has decided to adopt VERS to complement the various standards that it has outlined in previous areas of this web section. VERS is to be used, in addition to the specific standards developed for South Australian Government, as a compliance standard for all Electronic Document and Records Management Systems.

The Victorian Electronic Records Strategy has been developed by Public Record Office Victoria to preserve electronic records for the long term.

Further details on VERS can be found on the Victorian Electronic Records Strategy website.

Information Technology Standards

South Australian Government IT Standards relevant to the operating environment for State Government agencies can be found on the Office of the Chief Information Officer website.

Management of Official Records in a Business System

Many agencies have business systems that do not appropriately manage the official records they generate. This Standard is designed to address the gap and assist agencies meet legislative and business requirements.

The Standard, and its companion document Functional Specification for Records in a Business System, were based on the Guidelines and Functional Requirements for Records in Business Systems document developed by the International Council of Archives (ICA).

Functional Specification for Records in a Business System

The Specification aims to assist agencies improve electronic records management practices by identifying the recordkeeping functionality to be incorporated within a business system. This can be achieved by interfacing or integrating the business system with an EDRMS or by building the functionality into an existing business system.

The Specification aligns with the Victorian Electronic Recordkeeping Standard (VERS) in regard to the export and transfer of records to a digital archive.

The recordkeeping functionality outlined in the Standard and Specification should be incorporated during design, evaluation or upgrade of business systems. The Standard and Specification do not require retrospective changes to current business systems.

The Standard and Specification should be read in conjunction with:

• South Australian Recordkeeping Metadata Standard
• Adequate Records Management Standard

(140 KB DOC File) Management of Official Records in a Business System
(279 KB DOC File) Functional Specification for Records in a Business System

Australian Standard AS ISO 15489 2002

The International Records Management AS ISO 15489 Standard is an Australian endorsed standard that provides guidance on managing records for both public and private organisations.

All the elements of this Standard are recommended to ensure that an organisation's systems create, capture and maintain records. The Standard applies to the management of records, in all formats or media, created or received in the conduct of an organisation's activities. It provides guidance on records management in support of a quality process framework to comply with ISO 9000 and ISO 14000, and provides instruction on the design and implementation of a records system.

In 1995, Australia became the first country in the world to approve a standard on records management - AS 4390. The International Standard ISO 15489 was developed using AS 4390 as the starting point. Hence, AS ISO 15489 - 2002 replaces the old standard AS 4390 - 1996. However, Standards Australia is developing a Compliance Guide to complement Part 1 and 2 of the Standard. This Compliance Guide is required as some of the Australian recordkeeping references in AS 4390 - 1996 have not been included in AS ISO 15489.

The Council of Federal, State and Territory Archives (COFSTA) endorsed AS ISO 15489 in 2002. As a result, State Records has endorsed this Standard for use by agencies in South Australia.

A hardcopy of AS ISO 15489 2002 can be purchased on-line from SAI Global WebShop.

Related Information:

• Introduction to Australian Standard AS ISO 15489

Australian Standard AS 5090 - 2003

AS 5090 - 2003 Work Process Analysis for Recordkeeping Standard provides some useful tools to assist organisations to analyse business processes. Analysis of business processes is an important aspect of records management; it enables organisations to identify where records are created in the daily conduct of business.

A hardcopy of AS 5090-2003 can be purchased on-line from SAI Global WebShop.

Australian Standard HB 171- 2003

Australian Standard HB 171- 2003 Guidelines for the Management of IT Evidence provides useful guidelines for agencies in management of evidence held in computerised systems.

A hardcopy of HB 171 - 2003 can be purchased on-line from SAI Global WebShop.

Temporary Value Records Standard

To facilitate the management of Temporary Value Records, State Records has developed a standard. Details of this standard and a related guideline can be found at the link below.

Related Information:

• Standard and guidelines for temporary records

Contracting and Official Records Standard

The Contracting and Official Records Standard outlines nine principles to be considered by agencies bound by the State Records Act, 1997 to ensure that the records of agencies are adequately managed throughout the contracting process and any risks associated with records management are mitigated.

The Standard was developed by State Records to assist agencies in meeting their obligations under section 13 of the Act, to ensure all Official Records are maintained in good order and condition.

This Standard is aimed at procurement staff, contract managers, records managers, legal practitioners, senior management and other stakeholders involved in the contracting process.

The Minister approved this Standard on 14 July 2008.

(218 KB DOC File) Contracting and Official Records Standard