This policy supports the Strategic Plan and articulates the policy framework which will be adopted within DFAT for managing requirements for adequate recordkeeping of business activities and decision-making. Individual recordkeeping responsibilities applying to all staff and contractors are stipulated and mandatory. This policy supersedes all Show
previous recordkeeping and records management policies. This policy establishes a framework for the creation, capture, management and use of complete and accurate records in all formats, however in accordance with the whole-of-Government Digital Transition Policy the policy supports the transition from paper to digital recordkeeping. The policy also endorses the principles of digital continuity for electronic records to ensure that records are complete, available and useable for as long as needed by all potential users, including for purposes beyond the intended original use. The potential benefits of digital recordkeeping are broad-ranging, from individual to departmental level. At the individual level, recordkeeping tasks including filing can potentially be automated and made transparent to staff conducting their core business. Reduced time thinking how and where to file or find a document, along with version control, ready access, reusability and other benefits of working digitally, provides more time to focus on core work. Where feasible, automated records capture also ensures that they are created and managed appropriately. Potential benefits of digital recordkeeping are outlined in detail at Appendix D of the policy. A Records Management Manual supports this policy and provides a single reference source for detailed instructions, procedures and guidance on the management of specific types of records and use of the EDRMS. The manual is located on the DFAT intranet so that it is accessible by all staff and will be regularly updated. Compliance with this policy is mandatory for all staff including contractors. All officers working for the department have a responsibility to follow this policy and to maintain sound recordkeeping practices in their daily work. Peter Varghese Secretary Department of Foreign Affairs and Trade Table of Contents1.
|
Term |
Definition |
---|---|
Accountability |
Based on the principle that individuals, organisations and the community are required to be accountable to others for their actions. Organisations and their employees must be able to account to appropriate regulatory authorities, shareholders or members, and to the public. This is required to meet statutory obligations, audit requirements, relevant standards, codes of practice, and community expectations. |
Action Officer |
Staff who |
Activity (Business |
An umbrella term covering all the functions, processes, activities and transactions of an organisation and its employees. |
All staff |
This includes
|
Authorised |
A system that stores DFAT's Corporate records and associated information, and has been assessed by COR as complying with ISO 15489 and ISO 16175. Refer to Section |
Business |
A conceptual representation of the functions and activities performed by an organisation. The scheme is derived from the analysis of business activity. |
Classification |
Systematic identification and arrangement of business activities and/or records into categories according to logically structured conventions, methods, and procedural rules represented in a classification system. Source: See also: |
COR |
Corporate |
Commonwealth |
Any official See also: Corporate Refer to Section |
Complete and |
A complete and accurate record has characteristics that differentiate a record from other types of information and provide for a record to be admissible as evidence. These characteristics include that a record is:
Adapted from: |
Conversion |
Process of Adapted from: |
Corporate |
Information created, received, and maintained as information and evidence of the functions and activities performed by an organisation or person, in pursuance of legal obligations or in the transaction of business. Adapted from: See also: Complete Refer to Section |
DCP |
Digital Continuity Policy – whole-of-Government policy in support of ensuring that records and information are complete, available and useable by those who need it, for as long as required, but not kept for longer than needed. |
Destruction |
Process of Source: |
Digital |
Ensuring that records and information are complete, available and useable by those who need it, for as long as required across technological, migration and governance changes, but not kept for longer than needed. |
Digital record |
A record that is communicated and maintained in a digital format. Same as an electronic record. |
Digital |
The transition |
Disposal |
See |
Disposition |
Range of processes associated with implementing records retention, destruction or transfer decisions which are documented in disposition authorities or other instruments. Adapted from: Refer to Section |
Document |
Recorded information or an object that can be treated as a unit. A document becomes a record when it is registered into an authorised recordkeeping system with relevant associated metadata. Adapted from: International |
DTP |
Digital Transition Policy – whole-of-Government policy in support of transitioning away from a predominantly paper-based records management environment to digital recordkeeping. |
EDRMS |
Electronic |
Electronic |
A document that |
Electronic |
A record that is communicated and maintained in an electronic format. Same as a digital record. |
File Number |
A number |
Function |
The largest |
Instant |
The act of communicating in near real-time via a computer network (e.g. a local area network, a wide area network or the Internet). IM differs from email in several regards relevant to recordkeeping, including:
In DFAT, IM is not currently configured to directly capture records or metadata for recordkeeping purposes. Capturing records from IM communications is therefore a manual process involving making a Note for File. As such, IM is not recommended to conduct business communications that potentially require a record to be kept. |
Metadata |
Structured data or other information that describes context, content and structure of records and their management through time. It allows users to find, manage, control, understand or preserve the information it relates to. Adapted from: International |
Migration |
Act of removing records from one system to another, while maintaining the records' authenticity, integrity, reliability and useability. Source: |
Multimedia |
An extension of Short Message Service (SMS), by which users can transfer not only text but other kinds of material (images, video, audio) to mobile telephones. |
NAA |
National |
Naming |
Standards relating to the structure of the 'free text' part when naming files (including punctuation, capitalisation, use of acronyms and abbreviations), and applied within the context of records management. |
NAP |
See Normal |
Normal |
Normal Administrative Practice (NAP) is a provision under the Archives Act 1983 that permits the destruction of records that are not covered by a Records Authority. In general, this applies to records that are deemed to be:
Refer to |
Preservation |
Processes and operations involved in ensuring the technical and intellectual survival of authentic, complete and accurate records through time. Adapted from: |
Record |
See Corporate Refer to Section |
Recordkeeping |
The making and maintaining of complete, accurate and reliable evidence of business transactions in the form of recorded information into the EDRMS or an authorised business system. This 'recorded information' includes the record itself and relevant associated metadata. Recordkeeping includes:
Adapted from: See also: Complete and Accurate Record(s), Metadata, Authorised Recordkeeping System, Normal Administrative Practice Refer to the
|
Records |
The discipline and organisational function of efficiently and systematically controlling the creation, receipt, maintenance, use and disposition of records. This includes processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records, to meet operational business needs, accountability requirements and community expectations. Adapted from: |
Records Manager |
The person responsible for managing official Commonwealth records in DFAT using the recordkeeping System. Responsibilities include all processes from creation to disposal of official records and ensuring compliance with legal and administrative requirements. |
Registration |
Act of giving a Source: |
Scanning |
The process of capturing an electronic image of a document for storage in an electronic document system. |
Security |
A set of procedures for identifying and protecting official information whose disclosure could have adverse consequences for the Commonwealth. The security classification system is implemented by assigning markings (such as 'Top Secret' or 'Protected') that show the value of the information and indicate the minimum level of protection it must be afforded. Adapted from: Attorney-General's Department, Commonwealth Protective Security Manual, Glossary. |
Short Message |
A function available on most mobile telephones, which enables users to send brief typed text messages to other mobile telephones, and in some cases, other handheld computing devices such as personal organisers. |
Social Media |
An umbrella term for Internet-based tools for sharing and discussing information among people. It refers to user-generated information, opinion and other content shared and discussed over open digital networks. Social media may include (although is not limited to):
Refer to |
Storage |
The function of |
Thesaurus |
A (keyword) thesaurus provides control and consistency over the vocabulary used for titling and indexing of records. |
Transfer |
Change of Source: |
TRIM |
TRIM is the EDRMS |
Transaction |
The smallest |
Video instant |
An extension of instant messaging which enables users to videoconference using an instant messaging program. See also: |
Voicemail |
A centralised method of managing telephone recorded messages for a group of telephones. In its most basic form, voicemail is simply a large-scale answering machine, but most modern systems have added functionality, allowing users to check messages remotely, forward messages to other voicemail boxes or mobile telephones, and personalise greetings for different callers. |
17.2. Appendix B: Summary of Recordkeeping Legislation
Acts and Standards |
Description |
---|---|
Archives Act 1983 |
The Archives Act 1983 officially established the National Archives of Australia. The Act empowers the Archives to preserve the archival resources of the Commonwealth (those records designated 'national archives') and defines their role in supporting and governing the creation and management of these records. The Act establishes the framework in which agencies must create, capture and manage their records including: |
- Imposing statutory obligations on all Government departments and agencies for the management of their records
- Making it illegal to destroy or alter Commonwealth records without the permission of the Archives, unless otherwise stated by law
- Creating a fundamental right of public access, bringing forward the 'open access' period to most records from 30 years to 20 years, which began on 1 January 2011 and will be phased in over a ten year period other than Cabinet notebooks and census information which have been reduced from 50 years to 30 years
- Governing the retention and
disposal of records.
Australian
Information Commissioner Act 2010
The Australian
Information Commissioner Act 2010 established the Office of the Australian Information Commissioner (OAIC). The OAIC has three sets of
functions:
- freedom of information
- privacy
- government and information
policy
The OAIC aims to facilitate public access to government information and encourages agencies to
proactively publish information.
Electronic
Transaction Act 1999
The Electronic
Transactions Act 1999 provides a regulatory framework that enables business and the community to use electronic communications in their dealings with government. The primary objective of the Act is to remove impediments that might prevent a person from using electronic communication to satisfy
obligations under Commonwealth law.
Broadly, the Act provides that electronic communications and electronic forms of documents may be used to satisfy requirements or permissions, under Commonwealth laws, for a person
to:
- give information in writing
- provide a handwritten signature
- produce a document that is in the form of paper or other material
- record information in writing
- retain a document that is in the form of paper or other material
- retain information that was the subject of an electronic communication
The Act provides for exemptions and it identifies conditions that must be met in order to maintain
the integrity and accessibility of information.
Evidence Act 1995
The Evidence Act 1995 recognises the role of modern technologies in business and government. It abolishes the 'original document' rule and ensures that faxes, telexes and electronic communications may be admitted
into evidence in all federal courts.
The Act defines a 'document'
:
'anything on which there is writing, anything on which there are marks, figures, symbols or perforations having a meaning for persons qualified to interpret them or anything from which sounds, images or
writings can be reproduced with or without the aid of anything else.'
If the document in question is an 'article or thing on or in which information is stored in such a way that it cannot be used by the court unless a device is used to retrieve, produce or collate it', it is permissible to tender 'a document that was or
purports to have been produced by use of the device'.
To be admissible the record must be:
- authentic - it must be clear that the record or document has not been altered or modified without authority;
- complete and accurate; and
- logically sequenced and
arranged.
Freedom of Information Act 1982
The Freedom of Information Act 1982 provides that a person has a legally enforceable right to obtain access to a document of an agency or an official document of a Minister unless that document falls within one of the exemptions set out in the Act. Generally, exempt documents are those which must be kept confidential to protect essential public
interests, personal or business information.
Under changes to the FOI
Act 1982, agencies are required to publish agency plans as well as other
specific categories of information.
ISO 15489
Records Management
The International Standard For Records Management - ISO 15489 provides strategies and operational guidelines for the implementation of records management practices and procedures in any organisation. The Standards are designed to help organisations create, capture and manage complete and accurate records to meet their business needs and legal requirements as well as to satisfy other stakeholder expectations. They apply to records in any format or media, created or received by any public or private organisation
during the course of its activities.
The Standard has been used
as guidance in preparation of these instructions.
ISO 16175
Principles and
Functional Requirements for Records in Electronic Office Environments
ISO 16175 provides internationally agreed principles and functional requirements for software used to create digital information in
office environments.
NAA has endorsed the use of ISO 16175 for use by Australian Government agencies to assess the records
management functionality of a business information or transactional system.
Privacy Act 1988
The Privacy Act
1988 makes provision to protect the privacy of individuals and prevent the misuse of personal information about members of the public. It governs the collection, use and disclosure of information about individuals by Australian Government agencies to ensure that it is only used for purposes that relate directly to the functions or role of the agency. It specifies that the information agencies keep must be secure, accurate, relevant, complete, and not misleading. The Act also gives people
a right to see records about themselves.
Records over 30 years old are exempt from the Privacy Act. Access to these records is controlled
through the Archives Act 1983.
Public Governance,
Performance and Accountability Act 2013
The Public
Governance, Performance and Accountability Act 2013 includes specific provisions for Commonwealth entity
records relating to governance and reporting, performance and accountability.
17.3. Appendix C: Legislation Administered by DFAT
Anti-Personnel
Mines Convention Act 1998
Australian
Centre for International Agricultural Research Act 1982
Australian
Civilian Corps Act 2011
Australian
Passports Act 2005
Australian
Passports (Application of Fees) Act 2005
Australian
Passports (Transitionals and Consequentials) Act 2005
Australian
Trade Commission Act 1985
Australian Trade Commission (Transitional Provisions and Consequential Amendments) Act
1985
Autonomous
Sanctions Act 2011
Charter
of the United Nations Act 1945
Chemical
Weapons (Prohibition) Act 1994
Comprehensive
Nuclear Test-Ban Treaty Act 1998
Consular
Fees Act 1955
Consular
Privileges and Immunities Act 1972
Diplomatic
and Consular Missions Act 1978
Diplomatic
Privileges and Immunities Act 1967
Export
Finance and Insurance Corporation Act 1991
Export Finance and Insurance Corporation (Transitional Provisions and Consequential
Amendments) Act 1991
Export
Market Development Grants Act 1997
Export
Market Development Grants (Repeal and Consequential Provisions) Act 1997
Foreign
Passports (Law Enforcement and Security) Act 2005
Intelligence
Services Act 2001, except to the extent administered by the Prime Minister, the Attorney-General and the Minister for Defence
International
Development Association Act 1960
International
Fund for Agricultural Development Act 1977
International
Organisations (Privileges and Immunities) Act 1963
Nauru
Independence Act 1967
Nuclear
Non-Proliferation (Safeguards) Act 1987
Nuclear
Safeguards (Producers of Uranium Ore Concentrates) Charge Act 1993
Overseas
Missions (Privileges and Immunities) Act 1995
Papua
New Guinea Independence Act 1975
Papua New Guinea (Staffing Assistance) Act 1973, except to the extent administered by
the
Minister for FinanceRegistration
of Deaths Abroad Act 1984
Security
Treaty (Australia, New Zealand and the United States of America) Act 1952
South
Pacific Nuclear Free Zone Treaty Act 1986
Tourism
Australia Act 2004
Tourism
Australia (Repeal and Transitional Provisions) Act 2004
Trade
Representatives Act 1933
United
Nations Educational, Scientific and Cultural Organization Act 1947
United
States Naval Communications Station Agreement Acts
US
Free Trade Agreement Implementation Act 2004
Source: http://www.naa.gov.au/Images/AAO_23_December_2014_tcm16-83959.rtf
17.4. Appendix D: Potential Benefits of Digital Recordkeeping
Digital records management provides a number of efficiency and other benefits including
improved corporate governance, improved business processes and reduced costs:
- Improved access to and retrieval of relevant records and information - facilitates better-informed decision-making; better service delivery; fewer information silos; enhanced information sharing across the agency and between agencies; and potential for re-use of information by government and the Australian community.
- Improved corporate governance - lower compliance costs and enhanced ability to provide accurate, timely and transparent responses to legislative and regulatory requirements. Australian Government agencies need to meet a range of legislative, regulatory and governance requirements. Managing records digitally strengthens corporate governance by helping agencies meet legal obligations and regulatory and governance requirements in an efficient and cost-effective way.
- Legislative obligations - well-managed digital records support transparent, accurate and timely responses to applications under information access legislation or under subpoena. Under freedom of information reforms charges must be waived if a statutory time frame is not met, so quickly locating the right records can avoid a cost penalty. It is easier to publish digital information on websites, in keeping with Information Publication Scheme requirements, in formats that allow use and re-use.
- Transparency and accountability - authoritative records provide evidence of, justify or explain actions or decisions. They substantiate responses to audit, official inquiry or other types of investigation. Records protect the democratic rights and entitlements of individuals and provide evidence of interactions between Australia's people and elected governments. Good digital management means records are trustworthy, authoritative and able to withstand scrutiny. Digital management provides accountability benefits that are difficult to duplicate in paper systems. Comprehensive and accurate audit trails not only help an understanding of communications, decisions and actions that have been carried out but also show when a record was created, accessed or amended and by whom.
- Risk management - a well-managed digital information and records management program is a business and reputational risk mitigation strategy. The ability to demonstrate what and why decisions and actions were taken and how they were carried out reduces the risk of non-compliance due to incomplete or inaccurate records. Reduced reputational risks that can result when information cannot be found or is compromised through unauthorised access.
- Business continuity - Digital records management will better support disaster recovery and business continuity. Managing information digitally allows off-site back-up of records which a paper-based system cannot easily offer. It also safeguards vital corporate information from loss, misuse, tampering and physical damage.
-
Records management cost savings - from less creation, storage, retrieval and handling of paper
records.
Last Updated: 21 July 2014