The purpose of this document is to outline the objectives that guide the identification of State archives by the State Records Authority NSW (State Records NSW).
This policy applies to State records created or received by NSW public offices as defined by the State Records Act 1998. Public offices include the Houses of Parliament, Courts and Tribunals, NSW Government agencies and departments, State Owned Corporations (SOCs), councils, universities, and the public health system.
Under the State Records Act 1998, the principal responsibilities of State Records NSW are to oversee recordkeeping by public offices and to identify State records that have enduring value and should be retained as State archives. The transfer and management of State archives are the responsibility of Museums of History NSW (MHNSW).
Generally, State Records NSW identifies State archives through retention and disposal authorities which are issued by State Records NSW. These retention and disposal authorities require the prior approval of the Board of the State Records Authority NSW, whose membership represents a range of stakeholder interests from the Government and the community as prescribed in the Act
State archives are important in documenting the business of Government. The selection of State archives must be transparent, considered, and documented.
State Records NSW will identify State records for permanent retention as State archives if they meet one or more of the objectives under the following headings:
It is not in the interest of the Government or the community to retain records for longer than they are reasonably required to support identified needs. The ongoing preservation and management of archives has both financial and environmental resourcing implications, and there are also legislative and community expectations that certain types of information are not retained unnecessarily.
State Records NSW recognises that government actions – past and present – have had a disproportionate impact on some individuals, families, and communities and we aim to embed principles of equity, fairness, and cultural responsiveness into our work to meet their needs
State Records NSW understands both the pain and healing that can be found in State archives for First Nations peoples. Special consideration is given to identifying records for permanent retention that document important aspects of First Nations experiences, cultures, and languages.
The following objectives are applicable to records in any format, both physical and digital. The arrangement of the objectives does not reflect any order of priority.
In meeting these objectives, State Records NSW seeks to identify as State archives an adequate record to document the authority and functions of Government, its decision-making processes and the implementation and outcomes of those decisions, including the nature of their influence and effect on the people of NSW.
Where duplication of records exists between public offices, State Records NSW may choose to only require the records of one public office as State archives.
Each objective includes a description of the activities and examples considered likely to meet the objective. These are not intended to be comprehensive.
To identify records for permanent retention as State archives that provide evidence of the authority, establishment and structure of the NSW Government and public offices, and of their deliberations, decisions and actions relating to key functions, programs and significant issues faced in governing NSW.
This includes records that:
Examples of the types of records identified under this objective include:
To identify records for permanent retention as State archives that provide evidence of the identity, legal status, and fundamental rights and entitlements of individuals, groups, and communities.
This includes records that:
Examples of the types of records identified under this objective include:
To identify records for permanent retention as State archives that provide evidence of significant interactions of individuals with the NSW Government and public offices.
This includes records that:
Examples of the types of records identified under this objective include:
To identify records for permanent retention as State archives that substantially contribute to the knowledge and understanding of the history, society, cultures, economy, people of NSW, including First Nations peoples, and the social impact of Government policies and actions.
This includes records that:
Examples of the types of records identified under this objective include:
To identify records for permanent retention as State archives that contribute to the understanding, use, and management of the environment.
This includes records that:
Examples of the types of records identified under this objective include:
There are three key participants involved in the identification of State archives and, within the statutory framework provided by the State Records Act, each has its own roles and responsibilities.
Public offices are responsible for:
State Records NSW is responsible for:
The State Records Authority NSW Board is responsible for:
Where records have been identified as being required as State archives and are no longer in business use, MHNSW is responsible for:
MHNSW is also responsible for maintaining the register of access directions given by public offices for all State records that are in the open access period i.e. once 20 years have passed since the record was created.
The CEO of MHNSW participates in decision making about the retention of records as State archives through the CEO’s role as an ex officio member of the State Records Authority NSW Board.
For the purposes of this policy, the following definitions apply:
| Archives | Those records that are appraised as having continuing value.* |
| Public Office | The State Records Act 1998 applies to public sector bodies referred to as public offices. Section 3(1) of the Act identifies that public office— (a) means each of the following— (i) a department, office, commission, board, corporation, agency, service or instrumentality, exercising a function of a branch of the Government of the State, (ii) a body, whether or not incorporated, established for a public purpose, (iii) a council, county council or joint organisation under the Local Government Act 1993, (iv) the Cabinet and the Executive Council, (v) the office and official establishment of the Governor, (vi) a House of Parliament, (vii) a court or tribunal, (viii) a State collecting institution, (ix) a Royal Commission or Commission of Inquiry, (x) a State owned corporation, (xi) the holder of an office under the Crown, (xii) a political office holder, other than the Leader of the Opposition in the Legislative Assembly, within the meaning of the Members of Parliament Staff Act 2013, (xiii) a body, office or institution, whether or not it is a public office under another subparagraph of this paragraph, that exercises a public function and is declared by the regulations to be a public office for the purposes of this Act, (b) but does not include— (i) the Workers Compensation Nominal Insurer established under the Workers Compensation Act 1987, or (ii) a justice of the peace within the meaning of the Justices of the Peace Act 2002, or (iii) another individual or a private sector entity, except to the extent that section 8 applies. |
| Record | Record means any document or other source of information compiled, recorded or stored in written form or on film, or by electronic process, or in any other manner or by any other means (State Records Act 1998 s.3(1)). See also State record. |
| Retention and disposal authorities | Instruments that identify those records created and received by NSW public offices which are required as State archives and provide approval for the destruction of other records after minimum retention periods have been met. Retention and disposal authorities are issued by State Records NSW, after approval by the State Records Authority NSW Board. |
| State archive | State archive means a State record that MHNSW has control of under this Act. (State Records Act 1998, s.3(1)). |
| State record | State record means a record made or received by a person, whether before or after the commencement of this section— (a) in the course of exercising official functions in a public office, or (b) for a purpose of a public office, or (c) for the use of a public office. (State Records Act 1998, s.3(1)). |
| Social impact | An organisation’s impact on the population, community, or society |
References taken from the Australian Standard, AS 4390-1996, Records Management, Part 1: General, are marked by an asterisk (*). Terms that have not been referenced are taken from State Records NSW sources. All other sources are provided in brackets after the definition.
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