Recordkeeping standards review

Revised Standard on records management

In 2023, State Records NSW sought feedback from public offices on the existing Standard on records management (issued in March 2015 and revised in November 2018). Forty-seven public offices responded to our survey and provided valuable comments and suggestions.

A revised Standard has been developed to incorporate this feedback and establishes the minimum requirements for effective records and information management. The Standard covers records, information and data in all formats, including both digital and physical records, and is designed to:

• assist public offices discharge their obligations under Part 2 ‘Records management responsibilities’ and Part 3 ‘Protection of State records’ of the State Records Act
• incorporate records management requirements into new technologies and service delivery platforms
• ensure that business is supported by sound records and information management practices
• better reflect the way most organisations now manage their information assets in an integrated manner.

There are no new requirements in the revised Standard.

Changes to the revised Standard include the following.

Scope

• Updated to make clear how the management of records, information and data needs to occur through records and information managers working closely with data managers and custodians.
• Added a note to incorporate the records created and maintained by contactors and service providers.

Minor revisions to requirements

• Amended minimum compliance requirement 1.7 to include all outsourced, cloud and similar service arrangements.
• Expanded the introductory notes for Principle 2 to include the identification of high risk and/or high value records.
• Amended minimum compliance requirement 2.5 to:
  • cover all records, not only records with long term retention
  • replace “value” with “retention”.

New examples

• Added new examples of compliance with requirements under Principle 1: inclusion in delegations manuals, establishment of information governance groups, inclusion in staff induction/training, inclusion in outsourced/cloud arrangements, evaluation as part of internal or external audits, and reporting to Audit and Risk Committees.
• Added new examples of compliance with requirements under Principle 2: documenting in information asset registers and incorporation of information security mechanisms.
• Added new examples of compliance with requirements under Principle 3: managing data to facilitate use and reuse of information, considering Indigenous Data Sovereignty and Indigenous Cultural and Intellectual Property protocols when sharing data/metadata, using information security mechanisms, notifying State Records NSW of substantial damage to records, notifying the Privacy Commissioner of data breaches, registering access directions, providing access under the PPIP and GIPA Acts, sentencing in line with normal administrative practice provisions, and minimising over-retention of records.

Minor revisions to examples

• Amended examples for minimum compliance requirement 2.4 to replace strategy with business rules and procedures.
• Amended examples for minimum compliance requirement 3.1 to cover business processes and expand on metadata.

The revised Standard on records management is available at https://staterecords.nsw.gov.au/guidance-and-resources/standards-overview/standards-consultation.

Submissions on the revised Standard will be accepted until Friday 1 November 2024 and may be sent via email to govrec@staterecords.nsw.gov.au or by post to State Records NSW, PO Box 516, Kingswood NSW 2747.

Consultation on proposed storage standard and code of best practice

Consultation on the revised Standard on the physical storage of State records and the renewal of the Code of Best Practice is now closed.

The revised Standard on the physical storage of State records and information about the proposed changes to the standard are still available on the website.

We thank public offices for their contributions to the consultation process.