Recordkeeping Plans Recordkeeping Plans State Records Act 2000
Recordkeeping Plans State Records Act 2000. State Records Office of Western Australia Introduction Background Principles and Standards Where do.
Dec 22, 2015
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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
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