Recordkeeping PlansRecordkeeping Plans

State Records Act 2000

State Records Office of Western Australia

IntroductionIntroduction

Background Principles and Standards Where do you start?

State Records Office of Western Australia

DefinitionsDefinitions

Record State record Government record Government employee State archive

State Records Office of Western Australia

Definitions:Definitions: Record

a) any thing on which there is writing or Braille;

b) a map, plan, diagram or graph;

c) a drawing, pictorial or graphic work, or photograph;

d) any thing on which there are figures, marks, perforations, or symbols, having a meaning for persons qualified to interpret them;

e) anything from which images, sounds or writings can be reproduced with or without the aid of anything else; and

f) any thing on which information has been stored or recorded, either mechanically, magnetically, or electronically.

State Records Office of Western Australia

Definitions:Definitions:

State record A parliamentary record or a government

record. Government record

A record created or received by a government organization or a government organization employee in the course of the employee’s work for the organization.

State Records Office of Western Australia

Definitions:Definitions:

Government employee A person who, under the Public Sector

Management Act 1994, is a public service officer of a government organization, or a person who is engaged by a government organization, whether under a contract or otherwise.

State Records Office of Western Australia

Definitions:Definitions:

State archive A State record that is to be retained

permanently.

State Records Office of Western Australia

Standard 2: Recordkeeping Standard 2: Recordkeeping PlansPlans

The purpose of this Standard, established under Section 61 of the State Records Act 2000, is to ensure that government organization recordkeeping plans submitted to the State Records Commission for approval, meet the requirements of the State Records Act 2000.

State Records Office of Western Australia

Standard 2: Recordkeeping Standard 2: Recordkeeping PlansPlans

Six Principles

1. Proper and Adequate records

2. Policies and Procedures

3. Language control

4. Preservation

5. Retention and Disposal

6. Compliance

State Records Office of Western Australia

Principle 1:Proper & Adequate Principle 1:Proper & Adequate RecordsRecords

Government organizations ensure that records are created and kept which properly and adequately record the performance of the organization’s functions and which are consistent with any written law to which the organization is subject when performing its functions.

State Records Office of Western Australia

Principle 1. cont’dPrinciple 1. cont’d

Your organization Historical background Mission statement Strategic focus Main business activity Outsourced functions (see Standard 6) Major stakeholders

State Records Office of Western Australia

Principle 1. cont’dPrinciple 1. cont’d

Historical background Date established How established

Mission statement Strategic focus

Organization's aims Business Activity/Stakeholders

Functions

State Records Office of Western Australia

Principle 1. cont’dPrinciple 1. cont’d

Legislation Enabling legislation Other legislation

• State Records Act• Evidence Act• FOI Act• Limitation Act• Criminal Code Act

State Records Office of Western Australia

Principle 1. cont’dPrinciple 1. cont’d

Standards or codes of practice Australian Standard AS4390

International Standard ISO15489

Industry Standards

State Records Office of Western Australia

Principle 1. cont’dPrinciple 1. cont’d

Where is this information? Annual report

Website

Other publications

State Records Office of Western Australia

Principle1. Output for RKPPrinciple1. Output for RKP

Background information • Historical information, mission statement,

strategic focus, main business activity• Functions and activities including those

outsourced• Major stakeholders

Enabling legislation and legislation administered

State Records Office of Western Australia

Principle 2. Policies & Principle 2. Policies & ProceduresProcedures

Government organizations ensure

that recordkeeping programs are

supported by policy and procedures.

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

All aspects of recordkeeping Policy statement & procedures

Records in All formats Paper Electronic Microfilm etc.

All employees have recordkeeping responsibilities

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Creation Examples of Policies:

Government organization, XYZ, must maintain records as evidence of its business activities, including its administrative, legal and fiscal operations.

All officers are required to make and capture full and accurate records of the business activities in which they take part.

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Capture and control Receipt of mail

• Australia Post, courier, fax, e-mail• Opening of mail containing cheques – TI

205• Date stamping

Mail registration• Manual or automated

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Mail registration cont’d Why register?

• Protection mechanism• Facilitates tracking

What to register?• Inward/outward• Not junk mail / flyers / advertising• Attachments – identify• Personal mail

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Mail Management Procedures Receipt Date stamp Registration Tenders/legal documents Distribution of incoming mail Preparation & despatch of outgoing mail Monitoring operations for efficiency Public Records Policy: 5

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Capture and control cont’d Electronic records

Management over time E-mail

• Capture – print & attach to hard copy file or attach to electronic file

• Retention & Disposal

Databases and web-sites

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Capture and control cont’d File titling conventions File numbering conventions Physical & automated file creation

• File notes• Post-it notes• Foliating

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Security Prevent tampering or alteration Prevent loss or corruption E-business Storage

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Vital Records – records essential for business operations Who is responsible Registration Protection Access Storage Review

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Access – who and how? Physical files Electronic records

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Appraisal Identify Archival Records Identify Temporary Records

Retention and Disposal Regular disposal program Implementation Authorisation

State Records Office of Western Australia

Principle 2. cont’dPrinciple 2. cont’d

Policy and Procedures Manuals Available to all employees Included in induction program Applicable to branches/regional offices Outsourced functions Endorsed by Executive management

State Records Office of Western Australia

Principle 2. Output for RKPPrinciple 2. Output for RKP

Policies & procedures in place for:• Creation of records,• Capture and control of records,• Security and protection of records,• Access to records, and• Appraisal, retention and disposal.

Attach table of contents & introduction Formal certification by Executive

State Records Office of Western Australia

Principle 3. Language ControlPrinciple 3. Language Control

Government organizations ensure

that appropriate controls are in place

to identify and name or title

government records.

State Records Office of Western Australia

Principle 3. cont’dPrinciple 3. cont’d

Controlled file titling Ensures uniformity Improved indexing, tracking & retrieval Prevents misfiling Applies to electronic records

Thesaurus File plan / file list

State Records Office of Western Australia

Principle 3. cont’dPrinciple 3. cont’d

Thesaurus What is a thesaurus?

• Alphabetical• Preferred and non-preferred• Relationships• Consistency

State Records Office of Western Australia

Principle 3. cont’dPrinciple 3. cont’d

Thesaurus

Do you need one? Keyword AAA Keyword for Councils Others

State Records Office of Western Australia

Principle 3. cont’dPrinciple 3. cont’d

Thesaurus

or File plan

or List of authorised headings

State Records Office of Western Australia

Principle 3. Output for RKPPrinciple 3. Output for RKP

File titling thesaurus or manual Introduction to your thesaurus, Sample pages from your thesaurus,

or A copy of your file plan/list of headings, Explain how it works, Identify areas for improvement.

State Records Office of Western Australia

Principle 4. PreservationPrinciple 4. Preservation

Government organizations ensure

that records are protected and

preserved.

State Records Office of Western Australia

Principle 4. cont’dPrinciple 4. cont’d

Responsibility of all staff All records have value Risk of disaster Strategies Vital records

State Records Office of Western Australia

Principle 4. cont’dPrinciple 4. cont’d

Disasters: Natural Biological Structural Industrial accidents Technological Criminal behaviour Neglect

State Records Office of Western Australia

Principle 4. cont’dPrinciple 4. cont’d

Disaster Management Plan Identify risks

• Are you in a cyclone area?• Does your building have a fire detection

system?• Does your building have a sprinkler

system?• Are your computer records backed up?• Where are the back-ups stored?

State Records Office of Western Australia

Principle 4. cont’dPrinciple 4. cont’d

Identify impacts of disasters Level Damage Impact

State Records Office of Western Australia

Principle 4. cont’dPrinciple 4. cont’d

Plan strategies Vital records – records essential for

business operations Identify vital records

• Those required for business during emergency

• Those which re-establish the organization• Those which establish and protect rights of

the organization and its clients

State Records Office of Western Australia

Principle 4. cont’dPrinciple 4. cont’d

Vital Records may include:• original contracts / agreements• deeds• insurance policies• pay rates• certificates of incorporation• corporate seals• software programs• procedure manuals • disaster plans

State Records Office of Western Australia

Principle 4. cont’dPrinciple 4. cont’d

Disaster Management Plan Protection of vital records

• Duplicate• Secure• Remove

State Records Office of Western Australia

Principle 4. cont’dPrinciple 4. cont’d

Disaster Management Plan Quick-response strategies

• Responsible officers• Equipment available• Back-up resources - suppliers/contractors• Update regularly• Copies readily available

State Records Office of Western Australia

Principle 4. cont’dPrinciple 4. cont’d

Disaster Management Plan Measures to be undertaken

• Minimum requirement – draft• Plans for further development• Review and update• Training

State Records Office of Western Australia

Principle 4. Output for RKPPrinciple 4. Output for RKP

Report on assessment of risks and impacts of disasters

Planned strategies for the reduction of risk

State Records Office of Western Australia

Principle 5. Retention and Principle 5. Retention and DisposalDisposal

Government organizations ensure

that records are retained and

disposed of in accordance with an

approved disposal authority.

State Records Office of Western Australia

Principle 5. cont’dPrinciple 5. cont’d

Approved Retention & Disposal Schedule Identifies records and their formats Identifies State archives Identifies restricted access archives Identifies State archives not to be transferred Stipulates retention periods for temporary

records Identifies other disposal authorities Refers to the General Disposal Authorities

State Records Office of Western Australia

Principle 5. cont’dPrinciple 5. cont’d

Approved Schedule Approved by the State Records

Commission Approved since 1 January 1998 Covers all records

Local Governments Local Government General Disposal

Authority

State Records Office of Western Australia

Principle 5. cont’dPrinciple 5. cont’d

Where do you start in developing a retention and disposal schedule? Resources available

• Records Disposal Handbook• SRO training program• Consultants• Cooperative effort

State Records Office of Western Australia

Principle 5. cont’dPrinciple 5. cont’d

Approval Process Review within the organization Forward draft to SRO Discuss and amend Final submitted to the State Records

Advisory Committee (SRAC) State Records Commission formally

approves

State Records Office of Western Australia

Principle 5. Output for RKPPrinciple 5. Output for RKP

Retention and Disposal Schedule Approved schedule number (existing) Date of approval (existing) Date to be reviewed Details of any restricted access

archives Details of any archives which will not be

transferred

State Records Office of Western Australia

Principle 6. CompliancePrinciple 6. Compliance

Government organizations ensure

their employees comply with the

recordkeeping plan.

State Records Office of Western Australia

Principle 6. cont’dPrinciple 6. cont’d

The organization and its

employees must comply Regular evaluation Recordkeeping training Training program reviewed Induction program addresses employee

responsibilities Annual report

State Records Office of Western Australia

Principle 6. Output for RKPPrinciple 6. Output for RKP

Staff training / induction Statement covering staff training in

records management• Information sessions, brochures, induction

programs, newsletters, intranet Evaluation of efficiency and

effectiveness• Performance indicators

Excerpt from Annual Report

State Records Office of Western Australia

Recordkeeping PlanRecordkeeping Plan

Check List

List existing documentation;

List documentation required;

Plan progress of achievements; and

Set target date/s for completion.

State Records Office of Western Australia

Submitting the PlanSubmitting the Plan

Within two years

Submit to the Director: State Records

Director reports to the SRC giving recommendation

SRC may or may not approve

State Records Office of Western Australia

Amending the PlanAmending the Plan

An organization can amend its plan

Submit the amendment to the Director: State Records

The same approval process applies

State Records Office of Western Australia

State Records CommissionState Records Commission

4 Members Auditor General Information Commissioner Ombudsman Appointed member

Independent Report to Parliament

State Records Office of Western Australia

State Records Advisory State Records Advisory CommitteeCommittee Committee of the SRC To advise the SRC on:

State Records that should be State archives

Retention periods Membership

Represent Public Service and recordkeeping bodies

State Records Office of Western Australia

Where are the Standards?Where are the Standards?

www.sro.wa.gov.au

State Records Office of Western Australia

Further Information:Further Information:

Chris Coggin - 9427 3370Director: State Records

Isabel Smith - 9427 3371Team Leader

Anne Gill - 9427 3376Recordkeeping Consultant

Martin Fordham - 9427 3363Recordkeeping Consultant