Appendix 1

Appendix 1: Australasian Digital Recordkeeping Framework

Functions overview (updated 9 June 2006)

Making and managing digital records

Keeping digital records (both in agencies and in the archives)

Transferring digital records to archives

Using digital records and archives

Guidelines and tools for:

Creating accurate and reliable records
Classification and control metadata for records
Technology-specific issues for records (eg email; encryption; web-based resources)
Functional requirements for recordkeeping systems
Model procurement specifications
Compliance assessment and/or self-diagnosis

Standards for

Recordkeeping metadata
methodologies for recordkeeping system design and implementation

Guidelines on:

Preferred data formats for long-term preservation
XML-based approaches to digital preservation
Migration paths for long-term digital records
Preservation treatment of specific data formats (eg database-derived records; web-based materials)
Process models for preservation of digital records in agency custody
Dealing with changes in the machinery of government over time
Process models and recommendations for retrieval of records from defunct systems or media

Standards for

describing digital records
minimum requirements for preservable data formats
trustworthy digital repositories
maintenance of provenance and authenticity for digital records

Guidelines on:

Preferred data formats and methods for transferring records to archival custody
Methods for automatic transfer of recordkeeping metadata
Maintenance of provenance and authenticity

Standards for

Transfer between government agencies, and from agencies to archival custody
Minimum authenticity requirements

Guidelines on:

Legal provisions affecting access to archives in digital form
Expunging of sensitive data from public access copies
Storage and presentation of preserved data formats
Certification of provenance and authenticity
Fraud prevention
Data re-formatting and presentation (eg databases)
Searching and discovery mechanisms

Standards for

Uniform resource discovery based on metadata sets (eg AGLS)
Thesaurus-based searching (eg AGIFT)

Components of the Framework at a glance

Jurisdiction	Making and managing digital records	Keeping digital records in agencies and in archives and records authorities	Transferring digital records to archives and records authorities	Using digital records
National and international standards	AS ISO 15489 Records Management Standard AS Interim Compliance Standard for AS/ISO 15489 AS 5090 Work Process Analysis Standard for Recordkeeping, 2003 AS ISO 23081 Metadata for records (2004) AS Standard for Records Classification Keyword AAA Thesaurus for common administrative functions	Describing Archives in Context, Australian Society of Archivists Guide to the Series System, 2004, for archival intellectual control/description OAIS ISO 14721 Reference Model for Open Archival Information Systems Elaborate descriptive standards for digital formats		Access provisions in archives/records legislation in all jurisdictions AS 5044 AGLS Metadata Element Set, for online resource discovery AGIFT Australian Governments Interactive Functions Thesaurus (2nd ed., 2005) ISO Access Standard
Australia (Commonwealth) (National Archives of Australia)	DIRKS methodology and manuals (process model developed from ISO 15489) Digital Recordkeeping: Guidelines for Creating, Managing and Preserving Digital Records, 2004 Recordkeeping Metadata Standard for Commonwealth Agencies NAA guidelines on records classification tools and on developing functions thesauri Guidelines for recordkeeping and the use of authentication and encryption technologies Check-up a software tool for assessing an agency's information and records management Guidelines for recordkeeping and the use of authentication and encryption technologies Policies/guidelines for web-based recordkeeping Advice for scanning, copying, converting or migrating records, including disposal authorisation Keyword AAA Thesaurus (Commonwealth modified version) Australian Government Email Metadata Standard Guidelines for implementing specifications for eletronic Records Management Systems Software Guidelines for implementing specifications for Business Information System Software Managing email Managing shared folders	Digital preservation approach and process model Digital repository specification Information for agencies about normalising/preserving records Information about digital preservation software tools Extend range of normalisable file formats	Transfer procedures	RecordSearch Accessing records Access examination procedures Finding aids/reference
Archives New Zealand	Electronic Recordkeeping Systems Standard Recordkeeping Framework Guides and advisory notices for e-mail and websites Advisory Notice: Copying and Digitising Public Records Guide to Developing Recordkeeping Strategies for Websites (PDF) What to Consider Prior to Implementing an IT Solution to a Recordkeeping Problem (PDF) Electronic Recordkeeping Vision and Policy (PDF)			Archway - Collection database NZGLS Metadata Element Set for online resource discovery NZ Thesaurus of Government functions
ACT Territory Records Office	Records Advice: Email as a Record (PDF) Records Advice: Electronically Created Records (PDF) Records Advice: Preparation for the Implementation of an ERMS (PDF)
New South Wales State Records	DIRKS methodology and manuals (process model developed from ISO15489) Tendering specifications for electronic records and document management software (GSAS) Policy on electronic recordkeeping Policy on electronic messages as records NSW Recordkeeping Metadata Standard and Guidelines (NRKMS) Standard on recordkeeping in the electronic business environment Futureproof: Ensuring the accessibility of equipment /technology dependent records Standard on Full and Accurate Records Create and Capture: Guidelines on better recordkeeping Keyword AAA Thesaurus for common administrative functions Guidelines on developing and implementing a keyword thesaurus Guidelines on digital imaging and recordkeeping and disposal authority Managing records of websites and web based transactions Information rights management and recordkeeping Managing the Message: Guidelines on managing formal and informal communications as records	Framework and guidelines for Distributed Management of State archives Futureproof guidelines		Archives Investigator
Northern Territory Archives Service	The NT Government Records Management Standards Position Statement on Electronic Recordkeeping in the NT Government Records Management Advice No.4 - Producing Records as Evidence in Legal Proceedings (pdf) Records Management Advice No.5 - Scanning of Records (pdf) Records Management Advice No.7 - Legal Hold Order for Records (pdf)
Queensland State Archives	Information Standard 40: Recordkeeping Information Standard 41: Managing Technology-Dependant Records Best Practice Guide for Recordkeeping Managing Electronic Messages as Records Policy Digitisation Disposal Policy: policy on the authorisation of the early disposal of original public records after digitisation (PDF) Guideline for the Digitisation of Paper Records (PDF) Managing Records of Online Resources and Services Policy (PDF) Managing Records of Online Resources and Services Guideline (PDF)			Archives Search
South Australia (State Records)	Records Management Improvement Matrix South Australian Recordkeeping Metadata Standard Electronic Document and Records Management Systems Standard Adequate Records Management Supporting Documents matrix Adequate Records Management Implementation Plan Digitisation guideline Tender specifications for electronic records and document management software Management of Email as Official Records Policy, Guidelines and Technical Considerations (due for review)			Archives Search
Tasmania (Archives Office)	Guideline for making proper records (now a legislative requirement) Guideline on copying, converting and migrating records Guideline for managing email as records Endorsement and promulgation of AS ISO 15489 Endorsement and promulgation of Keyword AAA Endorsement and promulgation of NAA recordkeeping metadata standard Guideline on Recordkeeping Strategies for Websites and Webpages	Consultancy for development of a business case/budget proposal for a digital repository and digital recordkeeping framework		Tasmanian Archives Online - Collection database
Victoria (Public Record Office Victoria)	Management of Electronic Records (VERS standard) PROS 99/007: VERS Metadata Scheme VERS Standard Electronic Record Format VERS Long Term Preservation Formats Advice on VERS Standards Advice on scanning and digitising, managing email, system administration Advice on digital rights management, instant message, managing web records	Management of Electronic Records (VERS standard) PROS 99/007: System Requirements for Preserving Electronic Records VERS Standard Electronic Record Format VERS Long Term Preservation Formats Digital Archive specification Advice on preserving databases as records	Management of Electronic Records (VERS standard) PROS 99/007: Export of Electronic Records to PROV	Collection database and Digital Archive web interface
Western Australia (State Records Office)	Records Management Standards for Document Imaging Systems (Public Records Standard 1) Records Management Standard for the Management of Email (State Records Standard 4) Standard for the Management of Electronic Documents in Networked Computer Environments (State Records Standard 5) Standard for the Management of Electronic Documents in Stand-alone Computer Environments (State Records Standard 6) Policy for the ongoing management of electronic records designated as having archival value (Public Records Policy 8) All aforementioned policies and standards are currently subject to review. State Records Commission Standard 2 Record Keeping Plans	Policy for the ongoing management of electronic records designated as having archival value (Public Records Policy 8) Subject to review		AEON (Archives Explored Online)

N.B. Items listed in italics are not yet completed