Recordkeeping Plans State Records Act 2000

State Records Office of Western Australia Introduction  Background  Principles and Standards  Where do you start?

State Records Office of Western Australia Definitions  Record  State record  Government record  Government employee  State archive

State Records Office of Western Australia 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:  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:  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: State archive  A State record that is to be retained permanently.

State Records Office of Western Australia Standard 2: Recordkeeping Plans  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 Plans 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 Records  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’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’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’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’d  Standards or codes of practice  Australian Standard AS4390  International Standard ISO15489  Industry Standards

State Records Office of Western Australia Principle 1. cont’d  Where is this information?  Annual report  Website  Other publications

State Records Office of Western Australia Principle1. 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 & Procedures  Government organizations ensure that recordkeeping programs are supported by policy and procedures.

State Records Office of Western Australia Principle 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’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’d  Capture and control  Receipt of mail Australia Post, courier, fax, Opening of mail containing cheques – TI 205 Date stamping  Mail registration Manual or automated

State Records Office of Western Australia Principle 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’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’d Capture and control cont’d  Electronic records  Management over time  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’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’d  Security  Prevent tampering or alteration  Prevent loss or corruption  E-business  Storage

State Records Office of Western Australia Principle 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’d  Access – who and how?  Physical files  Electronic records

State Records Office of Western Australia Principle 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’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 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 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’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’d  Thesaurus  What is a thesaurus? Alphabetical Preferred and non-preferred Relationships Consistency

State Records Office of Western Australia Principle 3. cont’d  Thesaurus  Do you need one?  Keyword AAA  Keyword for Councils  Others

State Records Office of Western Australia Principle 3. cont’d  Thesaurus or  File plan or  List of authorised headings

State Records Office of Western Australia Principle 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. Preservation  Government organizations ensure that records are protected and preserved.

State Records Office of Western Australia Principle 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’d  Disasters:  Natural  Biological  Structural  Industrial accidents  Technological  Criminal behaviour  Neglect

State Records Office of Western Australia Principle 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’d  Identify impacts of disasters  Level  Damage  Impact

State Records Office of Western Australia Principle 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’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’d  Disaster Management Plan  Protection of vital records Duplicate Secure Remove

State Records Office of Western Australia Principle 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’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 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 Disposal  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’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’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’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’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 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. Compliance  Government organizations ensure their employees comply with the recordkeeping plan.

State Records Office of Western Australia Principle 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 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 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 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 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 Commission  4 Members  Auditor General  Information Commissioner  Ombudsman  Appointed member  Independent  Report to Parliament

State Records Office of Western Australia State Records Advisory Committee  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?

State Records Office of Western Australia Further Information: Chris Coggin Director: State Records Isabel Smith Team Leader Anne Gill Recordkeeping Consultant Martin Fordham Recordkeeping Consultant