Information and records management policy This is a mandated policy under the operational policy framework. Any edits to this policy must follow the process outlined on the creating, updating and deleting operational policies page.
Overview The department is legally required under the State Records Act 1997 to create, capture, classify, retain, preserve, dispose of and manage documents and records for specific periods identified in approved disposal schedules. Our objective is to make sure these documents and records are accurate, complete and reliable.
This policy enables the department to meet our legal requirements and realise the benefits associated with effective documents and records management procedures.
Scope This policy applies to all department documents and records (digital and hardcopy) received, created or maintained by the department, related to SA government and department activities.
It also applies to all department employees, contractors, consultants and external providers.
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Contents Information and records management policy ..................................................................................................... 1
Overview .......................................................................................................................................................... 1
Scope ............................................................................................................................................................... 1
Detail................................................................................................................................................................ 4
Records management objectives ................................................................................................................ 4
Records management principles ................................................................................................................. 4
Delegations .................................................................................................................................................. 5
Roles and responsibilities ................................................................................................................................ 5
Employees ................................................................................................................................................... 5
Chief Executive ............................................................................................................................................ 5
Chief Operating Officer ................................................................................................................................ 5
Executive directors, directors, education directors, managers and school principals (responsible for individual functions, processes or projects) ................................................................................................ 6
Manager, Information Management and Release ...................................................................................... 6
System administrators ................................................................................................................................. 6
Officers responsible for managing the department’s internet and intranet sites ...................................... 6
Officers responsible for property and facility management ....................................................................... 6
Definitions ....................................................................................................................................................... 6
adequate ...................................................................................................................................................... 6
classify ......................................................................................................................................................... 7
destroying records ....................................................................................................................................... 7
disposal ........................................................................................................................................................ 7
disposal schedule ......................................................................................................................................... 7
record .......................................................................................................................................................... 7
official record ............................................................................................................................................... 7
permanent record ....................................................................................................................................... 7
temporary record ........................................................................................................................................ 8
Supporting information ................................................................................................................................... 8
Related legislation ....................................................................................................................................... 8
Related policies ............................................................................................................................................ 8
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Record history ................................................................................................................................................. 8
Approvals ..................................................................................................................................................... 8
Revision record ............................................................................................................................................ 9
Contact ............................................................................................................................................................ 9
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Detail
Records management objectives The objectives of this policy mirror those outlined in the:
• South Australian Government Information Management Strategy
• Information Management Standard.
The 5 objectives are:
Digital first Information created digitally is managed digitally, not printed. This gives government employees and customers better access and cuts costs. Information created on paper is scanned (if needed) and the source document is destroyed in line with General Disposal Schedule 21, or other similar legislation and policies. The source document can be kept if a hard copy is legally required.
Data is shared and easily accessed Departments share information across a connected government, and with the community, restricting sensitive information when needed.
Governed well Information is managed as an asset. Agencies know what information they hold, where it i’s located, and what its value is to their business, the government and the community. Roles and responsibilities for managing information are identified, assigned and monitored.
Managed according to risk Agencies understand what information is needed to operate effectively and comply with their obligations. Risks to their business of not making or keeping information are assessed. Information is destroyed when no longer needed or preserved as part of the State’s archive.
Transparency Processes and systems are implemented to make sure records are made and kept that can be relied on as trusted and authentic evidence of decisions made and actions taken.
Records management principles The State Records of South Australia (SRSA) Information Management Standard identifies 5 principles with associated behaviours. The principles form a comprehensive and structured records management framework to achieve compliance with the State Records Act 1997.
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The 5 principles are:
• The value of information is known.
• Information is created and managed appropriate to risk.
• Ownership of information is assigned.
• Information can be relied on.
Information is available as required.
Delegations The Chief Executive is responsible for delegating and authorising including:
• determining access for records transferred to State Records custody
• approving proposals to destroy records
• approving the transfer of temporary records to offsite storage
• approving the transfer of permanent records to State Records custody.
The Chief Executive can delegate these responsibilities to others who have the appropriate skills and knowledge, in line with principle 3 in the Information Management Standard.
Roles and responsibilities
Employees Be responsible and accountable for your business transactions and make sure records are kept and captured into an approved record keeping system. This includes internet and intranet changes to official sites and of business transactions documented through websites.
This is in line with the requirements of the:
• Public Sector Act 2009
• Code of Ethics for the South Australian Public Sector
• Education and Children's Services Regulations 2020.
Chief Executive Ensure accountability and make sure appropriate records are kept of business activities.
Chief Operating Officer Make sure resources and governance mechanisms are in place to allow the department to comply with the requirements of the State Records Act 1997 and the standards and requirements issued by State Records of
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South Australia and represents records management interests on the Executive Committees.
Executive directors, directors, education directors, managers and school principals (responsible for individual functions, processes or projects) Keep appropriate records and make sure employees under their leadership are aware of individual accountability and the requirements to keep records.
Manager, Information Management and Release Make sure corporate records, management policies, systems, procedures and practices are developed and maintained.
Ensure compliance with record keeping policies, procedures and standards, including requirements under the State Records Act 1997.
System administrators Make sure the systems that generate records are reliable and are kept and remain accessible for as long as they’re required.
Officers responsible for managing the department’s internet and intranet sites Make sure adequate records are kept of changes to official sites and of business transactions documented through websites.
Officers responsible for property and facility management Ensure appropriate storage environment and facilities are in place for records to remain accessible and usable for as long as needed.
Make sure records are not put at risk through inappropriate storage, and that storage meets the State Records management and storage of temporary value records standard (PDF 165KB).
Definitions
adequate Standard practice that departments must achieve to comply with the State Records Act 1997.
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The process used to determine the disposal action that applies to a record by using an approved disposal schedule. It determines whether a record needs to be retained permanently or temporarily, and for how long.
classify To systematically identify and arrange business activities and records into categories. The categories follow logically structured conventions, methods, and procedural rules represented in a classification system (AS ISO 15489.1-2002 Records Management – General (PDF 368KB)).
destroying records Process of eliminating or deleting information including data and records, beyond any possible reconstruction. Information carrying a protective marking must be destroyed in line with the South Australian Cyber Security Framework.
disposal The process where official records of agencies are either destroyed, retained or transferred between agencies.
disposal schedule Identifies which records have temporary value, and the minimum time they must be kept before an agency can destroy them.
record Includes:
• written, graphic or pictorial matter
• a disk, tape, film or other object.
It’s considered a record when the above contains information or has information that can be reproduced (with or without the aid of another object or device).
official record A record made or received by an agency when conducting its business.
permanent record A record that has archival value and is retained permanently in line with an approved disposal schedule. It will be available for research by the general community subject to appropriate access conditions.
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temporary record A record with no archival value that can be sentenced (determine the disposal action) for destruction.
Supporting information
Related legislation Education and Children’s Services Act 2019 (SA)
Education and Children's Services Regulations 2020 (SA)
Electronic Communications Act 2000 (SA)
Freedom of Information Act 1991 (SA)
State Records Act 1997 (SA)
Public Sector (Data Sharing) Act 2016 (SA)
Related policies Code of Ethics for the South Australian Public Sector
Department of the Premier and Cabinet Circular PC012 – Information Privacy Principles Instruction
Department of the Premier and Cabinet Circular PC035 – Proactive Disclosure of Regularly Requested Information
Department of the Premier and Cabinet Circular PC045 – Disclosure Logs for Non-personal Information Released through Freedom of Information
South Australian Cyber Security Framework
State Records of South Australia: Information Management Standard
State Records of South Australia: South Australian Government Information Management Strategy
State Records policies and guidelines
Record history Published date: May 2023
Approvals OP number: 277 File number: DE18/42510 Status: approved Version: 1.1
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Policy Officer: Team Leader, Information Management Policy sponsor: Director, Customer and Information Services Responsible Executive Director: Chief Operating Officer Approved by: Director, Customer and Information Services Approved date: 1 May 2023 Next review date: 1 May 2026
Revision record Version: 1.1 Approved by: Director, Customer and Information Services Approved date: 1 May 2023 Review date: 1 May 2026 Amendment(s): Updated hyperlinks and names of business units.
Version: 1.0 Approved by: Chief Operating Officer, Office of the Chief Executive Approved date: 7 May 2020 Review date: 8 May 2023 Amendment(s): New document.
Contact Information Management
Email: 8226 1223
Phone: education.records@sa.gov.au