Records of government decisions and actions are a core strategic asset. The proper treatment of all forms of records is a key consideration in a Machinery of Government (MoG) change.
National Archives of Australia uses the term ‘information asset’ to refer to records, information and data collectively and ‘information management’ to refer to their collective management. In some entities, data and records are managed by different teams. For the purposes of a MoG change, all such information assets are subject to the Archives Act 1983 and need to be considered as part of the MoG change implementation.
Entities are to ensure that all types of information assets pertaining to the business activities and functions are transferred to and/or shared with receiving entities. This is closely connected to the transfer of systems and other ICT services. Records and information management staff of entities need to work closely with their ICT teams to ensure all data and systems are transferred accountably and their integrity is protected.
Entities are expected to implement the MoG change in a way consistent with the MoG principles and operational protocols outlined in the Executive Overview.
Movement of information assets
As an established protocol, ‘records follow function’. However, where a function moves into the private sector in general, the associated records and data must remain in the custody of the Commonwealth by law.
Decisions to transfer or not transfer information assets must be documented by both the transferring and receiving entities.
Information assets must be retained and managed in accordance with the Archives Act 1983 and the Evidence Act 1995.
National Archives of Australia
Information on how to transfer records is available from the National Archives of Australia (NAA) under Transferring Information.
Questions relating to records and information management in a MoG change should be referred to the NAA’s Agency Service Centre.
As soon as practicable, entities are expected to advise the NAA on how their functions have been re-allocated so that:
- administrative histories and metadata maintained by the NAA can be updated
- the entity responsible for controlling records in the NAA’s custody can be updated
- records authorities can be re-attributed to receiving entities as necessary.
Managing the transfer
Deciding on what is to happen to entity information assets and systems that create and manage them is a key component of due diligence. See Due Diligence and Change Management.
- control records for information assets being transferred
- copies of transfer documentation for records in the custody of the NAA or service providers
- copies of records authorities relating to the transferred functions and information assets
- details of storage, maintenance or other charges relating to information assets of the transferred functions
- information held online and by third-party systems may need to be captured, archived or transferred (for example, websites and social media)
- personnel records.
The receiving entity needs to:
- check received information assets are complete against the control records, indexes and other lists or information supplied
- retain the records in their original order. Inherited records should not be re-numbered into current or new series because the original context should not be changed
- confirm which records and data are held by the NAA and service providers
- ensure relevant documentation, including information about charges, contracts and outstanding debts, has been received.
More information about the Digital Service Standard.
The NAA provides advice on archiving Australian Government websites.
Entities must retain information not published on entity websites that may be required for FOI and open public sector information purposes.
Privacy
Entities must consider whether any personal information they hold may need to be transferred to another entity as the result of a MoG change. Personal information held by the existing entity, including any sensitive information, must be assessed prior to being transferred to another entity to ensure compliance with the Privacy Act 1988. Particular care should be given to ensure personal information transferred to another entity is reasonably necessary for, or directly related to, relevant to the functions or activities of the other entity. Entities should also ensure that the transfer of personal information complies with their disclosure obligations under Australian Privacy Principle (APP) 6.
Freedom of Information requests
Entities must consider the implications for their obligations under the Freedom of Information Act 1982 (FOI Act), including in response to requests under the FOI Act and the Information Publication Scheme. Relevant FOI requests must be transferred as soon as possible between entities following a MoG change. It is important that entities and Ministers contact the Office of the Australian Information Commissioner (by submitting an enquiry form) to ensure their FOIstats database entry reflects the new Administrative Arrangements Order.
Further information is available in the Office of the Australian Information Commissioner's FOIstats guide.
