Overview
In this guidance we discuss some key concepts and responsibilities that will help you understand the connection between integrity and information management.
The Archives Act 1983 (Archives Act) provides the basis to make agencies responsible for the creation, maintenance, retention, disposal of Commonwealth records subject to National Archives' authorisation.
For more information please explore our Getting Started with information management web pages.
Access and public release
The Archives Act governs access to Commonwealth records. Anyone can access most of these records once they enter the open access period by either applying for a record or finding a record that has already been released by National Archives.
The majority of records enter the open access period after 20 years from the date of creation. Some records are exempt in accordance with section 33 of the Archives Act.
National Archives assesses records to identify and withhold exempt information. Sometimes this is done in consultation with departments and agencies. Under the Archives Act we are required to release as much information as possible.
Responsibilities
National Archives:
- develops records management policies and standards for the Australian Government
- provides records management advice, guidance and resources to agencies
- authorises the retention and destruction of Commonwealth records by issuing records authorities
- stores, protects and makes accessible records of enduring significance which are identified as archival resources of the Commonwealth and selected for retention as 'national archives'.
Agencies:
- create and maintain full and accurate records of their business
- develop and implement agency specific information and records management policies and procedures
- establish clear lines of responsibility for records management and ensure that staff are trained to carry out their duties
- work in consultation with National Archives to develop Records Authorities
- provide adequate resources for records management activities
- maintain the role of senior managers to take responsibility for information management.
What is an Australian Government record?
Under the Archives Act, an Australian Government record comprises a document or object in any form including electronic formats. Archives Act 1983, section 3.
Put simply, information and records can be anything created, sent, received or used in the course of your agency's business. They can be in paper, digital or other formats. They include structured information such as data in databases and business systems and unstructured information such as documents, emails, images, tweets and websites.
What do information and records management mean?
When we refer to managing information and records, we are talking about the processes involved in making and maintaining all forms of information to ensure they meet the business needs of the organisation and provide reliable evidence of business transactions. Everyone who uses or creates information has some level of responsibility for managing it properly.
What determines the level of management for information and records depends on their value to the business, as evidence, or their historical or cultural value. For example, a request for a staff meeting would be of low value whereas a draft piece of legislation annotated by a minister would have ongoing value and demand a higher level of management to ensure it is available for long-term access
All information that your agency creates, uses, receives or shares as part of its business will be official Australian Government records. Some examples are decisions made, the reasons behind them and anything relied upon when preparing advice on behalf of the agency.
The Protective Security Policy Framework also covers official information but from the perspective of protecting people, information and assets, security classifications or handling instructions attributed to information.
Trust and information management
Public trust in the functions of agencies depends on accountability—our ability to show that decisions have been made on the basis of reason and evidence; Australian Government resources are being used appropriately; and that consideration of the public interest is foremost in our work.
Australian government information is a national resource. Maintaining sound information management practices ensures good stewardship of government information—which, in turn, safeguards our collective knowledge through periods of change.
The Australian Government has a framework for managing information which is administered by various agencies. The framework includes legislation, standards, policy and legislative instruments such as the following:
Integrity obligations
There are obligations regarding information that need to be considered no matter what your role is with an agency. We have outlined some of the considerations for APS employees and non-APS stakeholders to guide people on which approach might be more relevant to them. There should be people in your agency who can provide more advice.
APS employees
APS employees engaged under the Public Service Act 1999 (Public Service Act), including Secretaries, Agency Heads, and the Senior Executive Service, are required to uphold the APS Values and Employment Principles, and comply with the APS Code of Conduct (set out respectively in sections 10, 10A, and 13 of the Public Service Act).
The Australian Public Service Commissioner's Directions 2022 (Directions) include directions on the scope and application of the Values, and set out what it means for individual employees, having regard to their duties and responsibilities, to uphold each Value.
Section 16 of the Directions provides that upholding the Accountable Value includes:
- being open to scrutiny and being transparent in decision-making
- being able to demonstrate that actions and decisions have been made with appropriate consideration
- being able to explain actions and decisions to the people affected by them
- being able to demonstrate clearly that resources have been used efficiently, effectively, economically, and ethically.
Directions on the Committed to Service Value (section 13) include managing data to enhance evidence‑based policy advice, ensuring information is readily available to the community.
Non-APS
Agencies may have a diverse workforce made up of personnel who are not employed under the Public Service Act. They may also have contractors, consultants as well as reservists or unpaid volunteers. These stakeholders may need tailored assistance from their agency to meet their obligations and successfully manage information assets.
Managing information with integrity
Trust in the public record of government relies on agencies managing information with integrity. National Archives has issued advice on this topic that starts with six actions. These are:
- Know your responsibilities
- Control the risks
- Listen to the experts
- Make information searchable and reusable
- Develop skills
- Think ahead
What are the risks?
Poor information management can undermine an agency's integrity culture as well as trust in its professionalism in order to deliver services and support to stakeholders. Some examples of risks for agencies are:
- being unable to find or provide evidence of decisions made or who made them—e.g., asserting that a decision was made on legal advice which cannot be found.
- compromising the privacy of the community—e.g., inadvertently publicly releasing clients' case management details, which can be used to commit identity crime.
- undermining community trust in the government's capacity to manage and use information properly—e.g., emailing personal information of clients to an incorrect recipient.
- making it harder for the community to access services and advice in a timely manner.
- unauthorised release of sensitive information, potentially breaching the privacy of individuals—e.g., releasing the personal information of applicants for a refugee visa.
- wasting public money by storing and managing information that is no longer needed.
- being unable to properly advise or report to the Minister and other stakeholders.
- making poor business decisions—e.g., buying business equipment that is not fit-for-purpose.
Assessing the risks
While the level of risk posed by poor information management will depend on the circumstances, some practices are more likely to undermine public trust. These include:
- Information which is inaccurate, incomplete or which cannot otherwise be relied on as evidence.
- Poor, inconsistent or insufficient description and use of metadata to identify and control information assets means they can't be easily identified.
- Wasting time trying to find the relevant information or giving up the search and doing the work again.
- Information systems that are not fit-for-purpose thus increasing the risk of breaches of information or obsolescence making it potentially inaccessible.
- Prematurely destroying information, or not being sure that its destruction was properly authorised.
In most cases, risks can be avoided or mitigated through the use of a risk plan and risk register that incorporates proper management of information. Utilise the expertise of your agency's information management professionals when identifying, controlling and mitigating risks.
The role of Australian Government agencies
Ideally every agency should have its own business area with primary responsibility for creating and maintaining the agency's information governance framework. In practical terms this is not feasible for all agencies. In these circumstances any questions can be directed to National Archives via the Agency Service Centre.
Your agency should have:
- a Chief Information Governance Officer or similar role
- an information governance committee
- information management professionals
- a recordkeeping registry or similar unit.
Each agency should provide:
- hints, resources, and training to ensure employees know how to use business systems in their day-to day-work
- advice on how to document and save work in approved locations
- information on how to use a record plan
- good data, information and records management practices
- information about record authorities and normal administrative practice that govern managing and disposing of data, information and records including their transfer to National Archives.
The role of leaders and managers
In addition to their individual obligations, leaders and managers have particular responsibilities for information management and must lead with integrity to protect information assets. These include:
- role-modelling good information management practices and fostering a pro-integrity culture
- ensuring information management and reporting obligations are met—and taking responsibility when they are not
- calling out and addressing questionable or improper practices, rather than walking past them.
National Archives has issued advice that describes six actions for senior managers who need to understand their obligations and build their knowledge and skills in managing information. These are:
- Know your responsibilities
- Influence the culture
- Resource for success
- Control the whole life cycle
- Use standards and best practice
- Manage the risks
What do you need to do?
Do the right thing by understanding the roles and responsibilities in your agency that relate to managing information assets, complying with agency requirements and supporting a pro-integrity culture. Ask for help if you are uncertain.
The APSC has an Integrity Portal with great resources. Please also have a look at the information management resources made available by National Archives.
Further enquiries
If you have further questions about this guidance, please contact National Archives' Agency Service Centre.
If you have questions about integrity in the APS, please contact the APSC's Ethics Advisory Service on (02) 6202 3842 or ethics@apsc.gov.au.
Learn More
Integrity resources published by the APSC
Information Management resources published by National Archives
Getting started with information management
An overview of relevant legislation, responsibilities, professional development and key aspects for properly managing information with links to related content.
Using normal administrative practice
Managing your agency's business information. Explains different types of information, what can be deleted with confidence, what needs consideration and what must be retained permanently.
Introductory training resources
A range of videos and e-learning modules are available to help you do the right thing when managing information in your agency. The modules can only be accessed by agencies under licence. These videos are publicly available on YouTube:
These modules were updated in 2023 and require an APS Academy login:
- APS essentials – records management
- Keep it or delete it (also available to agencies on LearnHub)
More information
Building trust in the public record
