Ensuring that the records follow business

Contents

An administrative or ‘admin’ change refers to a change in the administration of government functions. There are four types of administrative change:

  • transfer of business from one agency to another
  • transfer of a whole agency from one portfolio to another
  • transfer of business to or from another government jurisdiction
  • abolition of an agency, with its business being absorbed by its central or head office

When any of these happen, the records relating to those businesses need to go to the agency that will be doing the work. When the government privatises or outsources agencies or business, the issue of ownership of records also arises.

What happens to the records?

The basic principle to remember with any administrative change is that records follow business. Records relating to relinquished business should go to the agency that will be responsible for continuing the work. Losing agencies need to surrender control and transfer records to the gaining agencies.

If the records are maintained in electronic systems, formal arrangements regarding access, security, compatibility and servicing contracts must be agreed to between the losing and gaining agencies. This could include handing over storage media (eg magnetic tapes or optical disks) or computer systems to the inheriting agency.

If there is little or no compatibility between the electronic systems of the respective agencies, transfer could be complicated. For example, the losing agency may be required to provide some form of contractual service to the inheriting agency to maintain the electronic system.

Losing agencies may also hold archival records no longer required for current use by the gaining agency, which may be eligible for transfer to the National Archives. This is especially important if there is a residue of Commonwealth records after some business has moved to a private enterprise, another government, or has been terminated or substantially reduced. It is essential to contact the National Archives to assess if records are at risk and to assess their disposal coverage.

The following guidelines will assist agencies that need to relinquish or inherit records. These guidelines are not format-specific: they apply to all records that have been created as a result of business irrespective of whether they are paper-based or electronic. 

If your agency is losing some core business

  1. Identify the records that relate to the business. If the records are part of a general records management series, search the indexes and consult action officers to identify records for transfer to the inheriting agency. If the records are maintained separately from a general records management series, your agency will be able to pass the records and their control records in their entirety to the inheriting agency.
  2. Consider the control records. If the record series is handed over in its entirety, indexes and all other control records should be included. If only part of the record series is required, do not divide indexes or control records. Instead, give the inheriting agency a copy of the relevant parts of the index. Make sure all control records are annotated, including any metadata, to reflect the movement of the records.
  3. List the record types to be given to the inheriting agency. Where necessary, list individual record items for accountability purposes.
  4. Provide the inheriting agency with:
    1. copies of National Archives transfer documentation for records in the Archives’ custody or records in the custody of a service provider
    2. copies of any current or previously issued Records Authorities (previously known as Records Schedules or Records Disposal Authorities) that relate to the transferred records
    3. details of storage, maintenance or other charges imposed by the National Archives or a service provider for which the inheriting agency will take responsibility, including statements of outstanding debts
    4. an arrangement for splitting accounts that may occur in the middle of a billing or account cycle.
  5. Arrange the physical transfer of the records with the inheriting agency.
  6. Discuss with the National Archives the possible transfer of sentenced archival records no longer required for current business use.

If your agency is gaining some core business

  1. Discuss arrangements for transfer of records with the losing agency.
  2. Check any received records for completeness against the control records, indexes and other lists or information supplied by the losing agency.
  3. Decide on records management arrangements for continuing administration of the new business. Give particular consideration to the appropriate management of electronic records.
  4. Retain the records in their original series. Inherited records should not be top-numbered into current or new series because the original context of the records will be changed and, therefore, potentially lost. Ensure that you can retrieve records by referring to the control records supplied.
  5. Identify records of the losing agency held by the National Archives and/or service providers. Ensure you receive the relevant documentation, including information about charges, contracts and outstanding debts for which you may have to take responsibility. Ensure agreement on any splitting of accounts between the agencies.

Access via the lending service

Where categories of records are needed by both losing and gaining agencies, the agencies must decide whether special arrangements for access are required. One solution is to duplicate the relevant portions of records.

Non-current records of archival value that have been sentenced against a current Records Authority are eligible for transfer to the National Archives. These records can be made available through our lending service to both agencies on an agreed basis. This is considered preferable to extensive copying or to splitting a series.

Using Records Authorities (RAs)

Inheriting agencies will need to consider whether or not there is a previously issued Records Authority (RA) that covers the inherited records. A gaining agency will have a number of options available:

  • continue to use all or part of any previously issued RA inherited from the losing agency
  • consider whether the records are covered under an existing general records authority (eg AFDA)
  • consult with the National Archives about amending the inherited RA if there are changes in the nature of the core business or the records management requirements have changed

The National Archives can provide agencies with advice relating to which RAs may be current and available for use. If you need assistance please contact the Agency Service Centre. You may be asked to provide details of your current agency core business and existing practices as background to your query.

Archiving websites after a machinery of government change

Machinery of government changes usually result in the redevelopment of government websites. As websites are considered a record documenting the interaction between an agency and the Australian public, a snapshot of the old and new sites should be taken and lodged with the National Archives in accordance with entry 1935 of the Administrative Functions Disposal Authority.

For further advice on managing web resources see Archiving Web Resources: A Policy for Keeping Records of Web-based Activity in the Commonwealth Government and Archiving Web Resources: Guidelines for Keeping Records of Web-based Activity in the Commonwealth Government.

Further information

Please contact the Agency Service Centre if you have any queries.