文件控制：DOCUMENT CONTROL

QueenslandGovernmentInformationArchitectureBestPracticeGuidetoRecordkeepingDOCUMENTCONTROLDocumentDetailsDocumentReference/Name:IS40_V1.04.00VersionNumber:V1.04.00DocumentationStatus:WorkingDraftRFC9ApprovedArchivedGIADomain:InformationManagementNextScheduledReviewDateDecember2006VersionHistoryVersionNumberDateReason/Comments0.00.011December,2000FirstConsultationDraft.0.00.02February2001Revisedinresponsetoconsultation.0.00.03January2002Revisionoftext.0.00.04March2002Revisionoftextandstructure.0.00.05April2002Revisionoftext.0.00.0624April2002Revisionoftext(versionusedforSRIPtraining).0.00.0717June2002RevisionfollowingpassageofPRBandinternalQSAconsultation.1.00.002August2002ApprovalbyStateArchivistunderSection7ofthePublicRecordsAct2002.1.01.00January2003EditingoftextandmodificationofsectionsreferringtoOperationalRecordkeepingImplementationPlan.1.02.00November2003Referencestodocumentsstillindraftremoved.1.03.00August2006ReferencestootherresourcesandQSA’semailandtelephonenumbercontactsupdated.1.04.00November2006RemovalofAppendix2(Compliance/selfassessmentchecklist)andrenumberingofAppendices3and4pendingthereleaseofQSA’srevisedself-assessmentchecklist.BestPracticeGuidetoRecordkeepingVersionNo:V1.04.00Contents•iExecutiveSummaryTheBestPracticePublicGuidetoRecordkeepinghasbeendevelopedtoassistpublicauthoritiesinmeetingtheirrecordkeepingobligationsandtofosterrecordkeepingbestpracticeacrossQueenslandStateandLocalGovernmentagencies.ThisGuideprovidespracticalguidanceforimplementingthepolicyandprinciplesinInformationStandard40:RecordkeepingInformationStandard40istheumbrellarecordkeepingpolicyforStateandLocalGovernmentinQueensland.Itistechnology-neutralandprovidespoliciesandprinciplesforrecordkeepingregardlessoftheadministrativeenvironmentinwhichpublicrecordsarecreated,managedordisposed.InformationStandard40hasbeenapprovedandissuedbytheStateArchivistunderthePublicRecordsAct2002andtheDirector-GeneraloftheDepartmentofPublicWorks,SportandRecreationQueenslandundertheFinancialManagementStandard1997.ThepolicyandprinciplesinInformationStandard40aremandatoryrequirementsundertheFinancialManagementStandard1997andmaybeusedforinternalorexternalauditpurposes.UnderInformationStandard40publicauthoritiesarerequiredtodothefollowing:•Complywithlegal,administrative,culturalandbusinessrecordkeepingrequirements;•Establishandmaintainreliablerecordkeepingsystems,and;•Ensurethatfullandaccuraterecordsareadequatelydocumented,preservedandmadeaccessibleforaslongasthoserecordshavevalue.ThepurposeofInformationStandard40istoestablishandmaintaincompliant,efficientandeffectiverecordkeepingineachpublicauthority.ThisGuideexplainsthemeaningoftherecordkeepingprinciplesinInformationStandard40andprovidesadviceonhowpublicauthoritiesmaycomplywiththeStandard.Todocumentandmonitorprogresstowardsimplementation,publicauthoritiesarerequiredtoprepareandsubmittotheStateArchivistforapprovalaStrategicRecordkeepingImplementationPlan(SRIP).QueenslandStateArchiveshasdevelopedastandardtemplateandaccompanyingworkbookandtrainingprogramtoassistpublicauthoritieswiththisrequirement.BothtoolsareavailablefromtheQSAwebsiteat(tosupporttheimplementationofPrinciple1andtheSRIP).2.Undertakearecordsmanagementneedsandrisksanalysis(tosupporttheimplementationofPrinciple1andtheSRIP).3.Developarecordkeepingstrategy(tosupporttheimplementationofPrinciple4andtheSRIP).4.Developarecordkeepingframework(tosupporttheimplementationofPrinciple4andtheORIP).5.Developandmaintainpoliciesforrecordkeepingthroughouttheorganisation(tosupporttheimplementationofPrinciples3and4andtheORIP).6.Define,documentandassignrecordkeepingresponsibilitiesthroughouttheorganisation(tosupporttheimplementationofPrinciple3andtheORIP).7.Developabusinessclassificationscheme(tosupporttheimplementationofPrinciple4,Principle7andtheORIP).BestPracticeGuidetoRecordkeepingVersionNo:V1.04.00Contents•ii8.Developadisposalschedulebasedonthebusinessclassificationscheme(tosupporttheimplementationofPrinciple7andtheORIP).9.Identifyanddevelopbusinessrules,controlsandprocedurestoensurefullandaccuraterecordsarecapturedandmanagedinaccordancewithrecordkeepingrequirementsidentifiedinPrinciple1andtheSRIP(tosupporttheimplementationofPrinciple1andtheSRIP).10.Develop,implementandmaintainreliableandsecurerecordkeepingsystemsthroughouttheorganisation(tosupporttheimplementationofPrinciple5andtheORIP).11.Developandimplementavitalrecordsmanagementprogramfortheorganisation(tosupporttheimplementationofPrinciple5andPrinciple7andtheORIP).12.Manageallbusinessrecordsacrosstherecordkeepingcontinuum(tosupporttheimplementationofPrinciples1–7,theSRIPandtheORIP).Aspectstoconsiderinclude:•Documentanddatamanagement(includingimaging)•Integrationandinterfacewithotherbusinesssystems•Recordssystemmanagement•Registr