Dispose of source records
You need authorisation to destroy the original source records when you migrate, convert or digitise records.
Each source records disposal authorisation has several general conditions that need to be met before the original source records can be destroyed.
The destruction of all records, including source records, must be endorsed by the CEO or authorised delegate and must be documented.
Source records must not be destroyed until quality assurance procedures have been completed.
Note: See digitise records for information on digitising and microfilming physical records. See migrate digital records for information on migrating digital records from one system or storage solution to another.
Digital source records
This applies to digital source records as part of migration or decommissioning business systems.
Digital source records need to be kept for a period of time following migration or conversion to allow time to perform quality checks and ensure the process was successful. This amount of time should be based on your public authority's risk assessment done during the migration or decommissioning process.
The migrated version of the record must be managed and retained for the full minimum retention period. Consider any other legal or business continuity issues that may influence the further retention of the digital source records.
General access to digital source records should be restricted to prevent accidental alteration. A public authority must ensure the safe keeping of digital source records and manage the records appropriately until they can be destroyed. This is necessary to ensure that they remain well-managed records and can be used again if they weren't successfully migrated or converted.
The digital source records can be destroyed using the General Retention and Disposal Schedule for Digital Source Records. This schedule includes minimum requirements that must be met before destruction can take place.
Physical source records
This applies to physical source records that have been successfully converted.
Physical source records that have been digitised can be destroyed under Disposal Authorisation 2074 in the General Retention and Disposal Schedule if certain conditions are met.
- Records must not fall under one of the excluded records categories.
- Records must have a temporary retention status under a current disposal authorisation issued by the State Archivist (e.g. your core retention and disposal schedule, a functional retention and disposal schedule or the General Retention and Disposal Schedule).
- Digitised reproductions must be accessible and held in a trusted system for the life of their temporary retention period.
- The reproduction must be a complete, clear and accurate copy of the physical source record that is fit for purpose.
- Your public authority must have developed and documented a defensible process that demonstrates how you meet the conditions of the source record disposal authorisation.
- Your public authority must have approval of this defensible process from your CEO or their authorised delegate.
Each public authority must determine whether:
- records need to be kept in a particular format to satisfy governance requirements and whether such requirements prevent the destruction of the original physical source record
- you need to seek legal advice to assist with determining the risk of destroying of the physical source record after conversion
- records are likely to become permanent value in the future (e.g. where records are sentenced based on significance).
You should consider your obligations and requirements as well as relevant legislation, policies, standards, and directives.
Excluded records
The following excluded records cannot be destroyed under Disposal Authorisation 2074:
- records of intrinsic value
- records required for legal purposes
- records subject to a protection notice
- migrated records
- born digital records.
Defensible process
You must have a defensible process to meet the requirements of the source records disposal authorisations.
A defensible digitisation, migration or conversion process shows that you have developed and documented a considered approach. It must be auditable or usable to prove that you can or have met all relevant conditions and requirements.
Evidence of your public authority's defensible process may be requested if there is an incident in which public records are lost due to negligence or improper process, or in response to Right to Information requests, court proceedings, or an audit.
Your defensible process must include:
- the process or procedure you used to ensure all exclusions to source records disposal authorisation are observed
- the steps taken during conversion to ensure that the converted record is a complete, clear and accurate version of the source record, and is fit for purpose (e.g. quality assurance, risk assessment, technical specifications)
- details of how the converted record will be kept and managed in a trusted system for the full minimum retention period (e.g. digital continuity and preservation processes, appropriate storage for the format and retention period)
- how and when original source records will be destroyed
- the disposal authorisation used to lawfully destroy the source records.
Your public authority's CEO or their authorised delegate must approve the defensible process. You don't need to refer this documentation to QSA.
See additional considerations that may also be included in a defensible digitisation process and migration.
Note: Any digitisation disposal policies based on the previous policy and disposal authorisation can still be used as evidence of a defensible process under the new source records disposal authorisation.