Creation, Capture, Control

Adequate Records Management - Outcome 4: Records are created, captured and controlled

Official records must be created, captured and controlled in accordance with legislative and business requirements.

An agency creates official records in order to satisfy legislative and business obligations. Understanding of those requirements is essential to ensure good records management. Capture and control of records allows an agency to protect its legal interests and deliver mandated services. Review and update of creation, capture and control requirements is essential in times of administrative or legislative change, to ensure that agencies maintain compliance.

Metadata

Metadata is one of the key tools in capture and control of official records. It is essential for the purpose of searching and finding specific individual records or groups of records. In the context of government recordkeeping in South Australia, mandatory metadata elements from the South Australian Recordkeeping Standard (SARKMS) must be present in an agency's selected EDRMS or business system. Metadata can also be sourced from an agency's Business Classification Scheme and applicable thesauri.

One of the key areas to be designed when implementing a records system is the definition of metadata to be used across all aspects of the management of the records. In an electronic recordkeeping environment, the need for consistency and a standard approach to metadata is paramount.

Recordkeeping metadata includes:

  • registration and classification metadata - the metadata that gives a record its unique identity in a records system and classifies it in a classification scheme
  • content, structure and context metadata - the metadata that gives a record content including title, abstract structure, type, format and context as well as identifying who created it, where, when and its relationship with other records
  • recordkeeping process metadata - metadata that provides information or evidence about processes a record may have undergone such as viewing, transmitting, transferring custody, accessing, reviewing, sentencing etc.

Agencies must satisfy a number of requirements to achieve adequacy in relation to Outcome 4, outlined in the Advice Sheet below. Advice can be sought from the Government Recordkeeping Services.

Standards

South Australian Recordkeeping Metadata Standard v5 (PDF 1.6MB)

Guidelines

Developing a Thesaurus V1.3 (PDF 167KB)

Recordkeeping Advice Sheets

RK050 - ARM - Creation, Capture and Control (PDF 69KB)

RK017 - Recordkeeping Metadata V3 (PDF 64KB)

RK030 - Day Batching of Official Records V3 (PDF 51KB)

 

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