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The Australian Records Management Standard

The Australian Records Management Standard. Adrian Cunningham, Sue McKemmish, David Roberts and Barbara Reed. The Presentation. Overview of AS 4390, Australian Records Management Standard Features of AS 4390 Relationship to ISO initiative

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The Australian Records Management Standard

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  1. The Australian Records Management Standard Adrian Cunningham, Sue McKemmish, David Roberts and Barbara Reed

  2. The Presentation • Overview of AS 4390, Australian Records Management Standard • Features of AS 4390 • Relationship to ISO initiative • Example of implementation: Australian Federal Government • Compliance issues • The Standard and software vendors

  3. Overview of AS 4390 • Origins and development • Purpose • voluntary code of best practice • applicable to all sectors • link to ISO 9000 quality standards and certification • Structure: General Principles, Responsibilities, Strategies, Control, Appraisal and Disposal, Storage

  4. Features of Standard • Concept of record • recorded information in any form, including data in computer systems, created or received and maintained by an organisation or person in the transaction of business or the conduct of affairs and kept as evidence of such activity • Evidential purpose • Transactional context

  5. Features of Standard • Electronic and traditional records • Methodology for designing and implementing recordkeeping systems • Strategies for ensuring records creation and capture • Identification of attributes that records need to function effectively as evidence

  6. Features • Appraisal defined as: • the process of evaluating business activities to determine which records need to be captured and how long they need to be kept, to meet business needs, the requirements of organisational accountability and community expectations • Classification serving multiple purposes: • involving devising & applying schemes based on business activities that generate records

  7. Features of Standard • Focus on business functions and activities • A continuum based approach which recognises the need for: • an integrated regime of management processes for the whole of the records existence - from the time of records creation (and before creation in the design of recordkeeping systems) through to preservation and use as archives

  8. Links to ISO Initiative • Response to world wide agreement to internationalise AS4390 • Scope: • recordkeeping principles, assigning recordkeeping responsibilities, production of records, management and control of authentic, reliable, useable, full and accurate records • Built on and extends many of features of AS 4390

  9. Adoption of AS 4390 by the Australian Government • The Standard has been endorsed by the National Archives of Australia • AS 4390 forms the basis of a radical transformation of recordkeeping in the Australian Government • The National Archives has reinvented itself as a proactive promoter of best practice recordkeeping - our core business now spans the entire records continuum

  10. National Archives of Aust as a standards setter • NAA is doing its utmost to encourage agencies to comply with AS 4390 • NAA is developing various detailed manuals and standards that expand upon AS 4390

  11. AS 4390-based toolkit for government agencies (1) • DIRKS Manual - Designing and Implementing Recordkeeping Systems • 8-step methodology drawn from AS 4390 • Analysis of functions and activities leading to a business classification scheme • Recordkeeping Metadata Standard for Commonwealth Agencies • Records registration, classification and management metadata at/from point of creation within an agency domain

  12. AS 4390-based toolkit for government agencies (2) • Keyword AAA Thesaurus of General Administrative Terms - a functions-based thesaurus for classifying general administrative records • Guidelines for preparing agency-specific functions thesauri based on a BCS • Functional analysis/business classification scheme will provide the basis of new functions-based agency disposal authorities

  13. AS 4390-based toolkit for government agencies (3) • New General Disposal Authority for general administrative records based on the functions identified in Keyword AAA

  14. AS 4390-based toolkit and software vendors • Software vendors have been consulted in the development of many of the new AS 4390-based manuals and standards • One of our objectives is to exert a positive influence on the software market • Our detailed standards and manuals can provide the basis for auditing product and system compliance with the Standard • AS 4390 is not a compliance standard yet!

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