MANAGEMENT PROCEDURE
Records and Document
Management
Responsible Officer:
Chief Executive Officer
Authorising Officer:
Document No:
Approval Date:
Approved By:
Review Date:
Version No:
MPR545.31
17 August 2011
DEO
17 August 2014
00
Chief Executive Officer
1 PURPOSE
To ensure that Council demonstrates legislative compliance and best practice in records
management so that accurate, authentic and reliable records can be consistently
captured, organised, maintained and retrieved when required.
This procedure also provides details on DataWorks, Council’s official electronic document
and records management system, and the management of records throughout their life
cycle, including archiving and disposal.
It should be read in conjunction with the Records and Document Management Policy,
MPL545.3.
2 SCOPE
This procedure applies to all staff, contractors, Councillors, and volunteers of the City of
Greater Geelong (CoGG), across all Council functions. It applies to all aspects of CoGG
business, all records created during business transactions regardless of format, and all
business applications used to create records including email, database applications, and
websites.
3 LEGISLATION AND STANDARDS

Australian and International Standard on Records Management, AS ISO 15489.1.
Part 1 – General and Part 2 – Guidelines

Crimes (Document Destruction) Act 2006

Electronic Transactions (Victoria) Act (2000)

Evidence Act 2008

Evidence (Document Unavailability) Act 2006

Freedom of Information Act 1982

Health Records Act 2001

Information Privacy Act 2000

Local Government Act 1989

Public Records Act 1973

Retention and Disposal Authority for Records of Local Government Functions
(PROS 09/05)

General Retention and Disposal Authority for Records of Common Administrative
Functions (PROS 07/01)

Retention and Disposal Authority for Records of the Aged Care Function (PROS
09/10)

Public Records Office Victoria (PROV) Standards and Guidelines
4 RESOURCES

Archiving Manual *

Code of Conduct, MPL555.0.20 *

Corporate Document Checklist *

Corporate Records Manual – Works Instructions (available on DataWorks)

DataWorks User Manual *

Document Management Strategy 2010-2013 *

Information Management Strategy *

Information Privacy and Health Records Policy and Procedure *

Information Technology Security Policy, MPL560.1.3 *

Freedom of Information Management Procedure *

Management Policy – Use of Electronic Signatures *

Records and Document Management Policy, MPL545.3 *

Social Media Policy, MPL60.3

Organisation Use of Social Media Procedure, MPR60.3.1

Standard Précis Suggestions for DataWorks Documents *
* Available on CityWeb
5 DEFINITIONS
5.1
Archiving – a set of processes relating to the arrangement, storage, and
disposition of records (files and documents) in accordance with PROV
Retention and Disposal Authorities.
5.2
Archived Records – this includes all hardcopy corporate files and documents
held by Document Management Services at both Council and commercial
facilities.
5.3
Destruction – the process of eliminating or deleting records, beyond any
possible reconstruction. #
Records and Document Management Procedure MPR545.31
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#
5.4
Disposal – the range of processes associated with implementing records
retention, destruction or transfer decisions which are documented in disposition
authorities or other instruments. #
5.5
Document – recorded information or object which can be treated as a unit #.
Documents can be in any format, on any medium, but they always contain
discrete and structured information e.g. a hardcopy letter, video tape, email.
5.6
Document Précis – The title or name of a document, or a summary or
description of a document’s contents, used to enable easy identification of the
document on the EDRMS.
5.7
Document Management – the CoGG term for managing both documents and
records.
5.8
Document Management Services (DMS) – the CoGG business unit
responsible for records and document management, archiving and archival
management.
5.9
Electronic Document and Records Management System (EDRMS) - An
electronic records system having document management functionality such as
versioning, rendering, and editing, and also records management functionality
such as locking, grouping and sentencing records.
5.10
File – A collection of documents relating to the same subject. This may be a
physical (hardcopy) file or an electronic folder, binder or index entry.
5.11
Indexing – the process of establishing access points to facilitate retrieval of
records and/or information. #
5.12
Metadata – data describing context, content and structure of records and their
management through time. #
5.13
Official Record – In relation to hardcopy documents, the official record is the
original document. In relation to electronic documents, the official record is the
document which is registered onto DataWorks. If other copies of the document
exist, e.g. on CityWeb, network drives, or in email accounts, they are
considered access copies only. In either case, all notations should be made
on/against the official record which will be kept for the length of the retention
period, not copies. For example, where a record is electronic, notes should be
made against the record on DataWorks, not a printed hard copy.
5.14
Public Record Office Victoria (PROV) – the archives of the State Government
of Victoria. It is also the records and archival authority for Victoria, responsible
for assisting government agencies such as Councils to manage their records.
5.15
Records – information created, received, and maintained as evidence and
information by an organisation or person, in pursuance of legal obligations or in
the transaction of business. #
5.16
Records Management – the field of management responsible for the efficient
and systematic control of the creation, receipt, maintenance, use and
disposition of records, including processes for capturing and maintaining
Definitions from the Australian and International Standard on Records Management (AS ISO 15489.1)
Records and Document Management Procedure MPR545.31
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evidence of and information about business activities and transactions in the
form of records. #
5.17
Records System – information system which captures, manages and provides
access to records through time. #
5.18
Retention and Disposal Authority – A schedule under the Public Records Act
1973 which outlines how long each category of records must be kept before it is
eligible for destruction, and which records are classified as Permanent. Council
is subject to the authorities listed under Legislation and Standards, above.
5.19
Secondary Storage – an off-site (non-office building) archival facility containing
archived CoGG records, whether that facility is owned by CoGG or a
commercial company. Secondary storage houses temporary records, whereas
permanent records go to PROV in North Melbourne or Ballarat. Some historic
permanent records are also housed at the Geelong Heritage Centre.
#
Definitions from the Australian and International Standard on Records Management (AS ISO 15489.1)
6 MANAGEMENT PROCEDURE
6.1
CoGG staff must ensure that records are created, captured, maintained,
secured, and disposed of in a way that complies with legal, administrative,
cultural and Council business requirements, throughout their life cycle.
Please refer to the Appendix for an outline of the Records Life Cycle.
6.2
Records Creation
6.2.1
Records must be created when documents are considered to be of Council
business (corporate) value or are required to be created and kept under
legislation. This information has a high likelihood of needing to be used in
future to justify decisions, clarify what steps were taken, meet legislative
requirements, or for use in litigation or mediation. Some examples of this
are:

Reports prepared for committees, management, or for external
agencies;

Agendas, minutes and associated papers of any meetings;

Any business correspondence with, or in response to, external parties,
whether they be individuals or organisations (including emails);

Documents relating to complaint investigations;

Information recording an important directive or communication in
which a formal approval is recorded (including emails);

Documents
decisions;

Documents produced as part of a statutory process;

Legal documents and associated correspondence;

Documents circulated as part of a public consultation process.
committing
Records and Document Management Procedure MPR545.31
Council
resources
or
making
Council
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6.2.2
Records do not need to be created when documents are considered to be
non-corporate e.g. personal emails, or temporary in nature, e.g. drafts,
copies, rough notes, or internal correspondence of a routine or
administrative nature.
Refer to the Corporate Document Checklist for more detailed guidance.
6.2.3
6.3
Physical Corporate files were created prior to the implementation of
DataWorks in 2004. Documentation ceased to be placed on these files
once DataWorks became operational and new hardcopy files are no longer
created (with a few exceptions).
Records Capture
6.3.1
CoGG’s nominated core recordkeeping system is the EDRMS, DataWorks,
which provides a single managed repository of Council’s corporate
documents, drawings and files.
6.3.2
All corporate documents will be registered into DataWorks as records,
unless captured/stored in another electronic/hardcopy system, e.g.
Pathway, by arrangement with Document Management Services and
Information Services. This will enable the preservation of the records’
authenticity, reliability, integrity and usability over time.
6.3.3
Councillors, volunteers, and contractors who do not have access to
DataWorks, will need to pass documentation into the custody of CoGG
staff members for creation of records onto DataWorks or through other
hardcopy arrangements.
6.3.4
Registration onto DataWorks will be done as outlined in the following table:
Document Type
Responsibility for
Registration onto
DataWorks
Examples
Incoming correspondence from
an external source received in
electronic format (includes both
emails sent directly to an officer,
and also Contact Us emails
forwarded by Customer Service)
Recipient
An email sent directly to an
Officer’s inbox. The primary or
first named recipient is the
person responsible for
registration onto DataWorks,
where multiple recipients exist.
Incoming correspondence from
an external source received as a
hardcopy to the Council central
mail address, or received
directly by a Business Unit and
sent to DMS (by prior
arrangement)
Document
Management
Services (DMS)
A contractor report dropped off
at a Business Unit and
forwarded to DMS.
Incoming correspondence from
an external source received as a
hardcopy direct to Council sites
or Customer Service centres
Recipient
Documents received directly
by a business unit and which
local staff scan and register
directly onto DataWorks.
Internally generated documents
which remain internal
Sender / Author
Memos, file notes, internal
emails, reports.
Records and Document Management Procedure MPR545.31
General daily correspondence.
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Internally generated documents
which are sent to an address
external to CoGG
Sender
Outgoing correspondence
such as responses to
customers by email, fax or
letter.
Documents created / received
by Councillors, contractors or
volunteers which are considered
records.
Mayor &
Councillors Office,
contract manager,
or volunteer
supervisor
Letters, emails, inspections,
reports, etc.
6.3.5
6.4
For records to be accessible and useable, each must have a clear and
descriptive précis (title), and it is recommended to attach each record to a
minimum of two indexes (e.g. Customer and Property, or Subject and
Project). Document précis guidelines and an explanation of the indexes are
provided in the DataWorks User Manual, or see Standard Précis
Suggestions for DataWorks Documents.
Security of Records
6.4.1
The default classification on DataWorks is for records to be open access,
however they will be secured and restricted where necessary. Key
examples are:

documents of a sensitive or confidential nature, as judged by a
Manager;

documents to be considered in camera at Council meetings;

documents containing personal/health information as outlined in the
Health Records Act 2001 or the Information Privacy Act 2000 e.g.
Aged Care client files;

documents relating to individual staff e.g. to be placed on a personnel
file;

documents required to be confidential under legislation such as the
Whistleblowers Protection Act 2001.
6.4.2
Documents judged to be final, for example policies and procedures
authorised by the CEO, or correspondence sent external to Council, should
be locked on DataWorks. This is an irreversible process which protects a
record from any future alteration. This functionality offers a level of security
which ensures the record’s integrity and authenticity, i.e. it is not able to be
tampered with after being sent / authorised.
6.4.3
DataWorks has an audit trail provision to detect key activities on a
document e.g. distributing, printing, exporting.
6.4.4
When handling/viewing documents, staff must also follow the principles set
out in the Information Privacy Act 2000 and the Information Technology
Security Policy, MPL560.1.3, in relation to use, storage and security of
documents.
6.4.5
CoGG staff must not disclose information to any third party without valid
business reasons to do so. Staff found to be accessing or distributing
information for personal gain for themselves or other individuals will be
subject to disciplinary action as detailed in the Code of Conduct.
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6.5
6.6
Access to Records
6.5.1
DataWorks enables electronic documents to be viewed by multiple staff
across multiple sites simultaneously, creating workplace efficiencies.
6.5.2
Hardcopy records and archives are also recorded and tracked through the
DataWorks.
6.5.3
Incoming mail registered by DMS is actioned to the responsible officer or
In-Tray electronically via DataWorks’ workflows, and the hardcopy is not
sent. Only those documents organised by prior arrangement with DMS will
be forwarded as hardcopies, e.g. documents requiring a signature.
6.5.4
For electronic documents, the official record is considered to be the one
registered onto DataWorks. If other copies of the document exist e.g. on
CityWeb, network drives, or in email accounts, they are considered access
copies only. All notations should be made on/against the official record on
DataWorks, not copies. Access copies should be avoided where possible.
This can be achieved by deleting copies of a document from other
locations once it is registered into DataWorks.
6.5.5
DataWorks is integrated with some core business systems such as
Pathway (property and rating), Hansen (asset management), and Places
Weave (GIS), enabling efficient access to information in those systems.
Management and Storage of Records
6.6.1
Records on DataWorks are classified according to a Business
Classification Scheme (index structures) and retention and disposal
authorities.
6.6.2
Hardcopy records archived through DMS are managed through DataWorks
for tracking and retrieval purposes. Hardcopy records which are sent to
business units for perusal (e.g. to see colour, or detailed plans), should be
returned to DMS as soon as practicable for ongoing management and
secure storage.
6.6.3
Each Business Unit is responsible for ensuring those documents that are
not managed by DMS are maintained appropriately. Only those documents
that are of corporate value will be archived at secondary storage facilities –
working documents and files will not be archived. Copies, drafts and
working files should be disposed of by the Business Unit as part of normal
administrative practice (after it has been double-checked that no original
documentation has been placed on the file – if original documents are
found, return them to DMS).
6.6.4
DMS will not be responsible for creating, recording, maintaining, archiving
or file movements of working files.
6.6.5
Archiving Records – Business Units are required to arrange and box
hardcopy files and documents in line with the relevant PROV Retention and
Disposal Authorities – refer to the Archiving Manual for instructions. These
records will be then be managed and maintained by DMS to ensure
longevity, ease of retrieval and appropriate destruction.
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6.6.6
6.7
6.8
6.9
Retrieving Archived Records - Staff can request DMS to retrieve archived
documents and files using the process outlined in the Archiving Manual.
Documents and files will be retrieved by DMS twice weekly unless there is
an urgent request, whereby special arrangements will be made. Archived
records should be returned to DMS as soon as use has concluded.
Records Disposal
6.7.1
Disposal of records relates to assessing their status and deciding what
should be done with them at a particular point in time. Permanent records
e.g. original Council minutes, will ultimately be transferred to PROV for
ongoing management as records of the State. Temporary records are able
to be destroyed once their retention period has passed. This is the period
of time outlined in the PROV Retention and Disposal Authorities for which
that class of records must be kept. For example, timesheets can be
destroyed 7 years after administrative use is concluded.
6.7.2
In some circumstances, it may be required to keep records beyond their
retention period, so DMS will always consult with and obtain authorisation
from each Manager before records relating to their Department are
destroyed. The disposal process is undertaken annually by DMS after
confirmation from the responsible Manager that the listed documents can
be destroyed (refer to items 8.6 – 8.7 below).
6.7.3
Staff must not destroy electronic or hardcopy records of Council business
value unless in accordance with the relevant PROV Retention and Disposal
Authorities. DMS must keep records of all document disposal for audit
purposes, and can provide advice to Council staff on retention periods and
archiving practices. The exception to this rule is that copies, drafts,
working files and routine administrative documents can be disposed as part
of normal administrative practice, without staff needing to notify DMS.
Reporting
6.8.1
Document status and statistical reports will be generated on a monthly
basis for management. Key reports identify each business unit’s level of
Usage of DataWorks, and Response Required documents that are not
actioned within 10 days (Unanswered Correspondence Report).
6.8.2
Requests for new reports to address specific business unit reporting
requirements should be directed to the DMS Coordinator.
Training and Assistance
6.9.1
DataWorks training sessions are offered regularly and are advertised on
CityWeb. Training is mandatory for all office-based staff members, and
can be requested via CityWeb. Access to DataWorks will not be granted
until training has been completed.
6.9.2
Recordkeeping Awareness sessions are offered ad-hoc and are advertised
via email and CityWeb.
6.9.3
Group, refresher or further training sessions can be organised upon
request. Please contact the DataWorks Administrator or Document
Management Coordinator.
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7
6.9.4
Contact DMS if assistance is required on any aspect of using DataWorks,
records management issues in general, or archiving advice. Contact the IS
Help Desk for technical issues related to DataWorks.
6.9.5
For text-based DataWorks help, the main source is the DataWorks User
Manual, provided in introductory training. There is also information
available on CityWeb, including manuals, hints, questions and answers,
and guidelines. These can be located by typing what you are looking for
into the search box e.g. ‘DataWorks’ or ‘précis’.
QUALITY RECORDS
Quality Records shall be retained for at least the period shown below.
Record
Records documenting transfer of
permanent records to PROV
Retention/Disposal
Responsibility
Document Management
Services
Retention
Period
As long as
administrative
use required.
As long as
administrative
use required.
3 months
Location
3 months
DMS
30 years
DMS
Document Management
Services
Document Management
Services
Permanent
DMS
Permanent
DMS
Document Management
Services
Document Management
Services
Permanent
DMS
Permanent
DMS
Mail dispatch and receipt records
Document Management
Services
Archive Request form
Document Management
Services
Document Management
Services
Document Management
Services
Department Data Sheet
Document destruction certificates and
notification forms for records destroyed
under a disposal authority
Archiving Series Data Sheet
Registers, indexes and configuration
manuals for DataWorks
Business Classification Schemes
Records management procedures
such as document titling protocols
Records and Document Management Procedure MPR545.31
DMS
DMS
DMS
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8 Appendix - The Records Life Cycle
2. DataWorks
or hardcopy file
3.
Active
Record
1. Corporate
documents
4. Record in
primary
storage
7. Record
destruction or
transfer
6. Record
due for
destruction
or transfer to
PROV
5. Record in
secondary
storage
8.1
Documents of corporate value are captured into DataWorks or a hardcopy file
as a record.
8.2
The record is described by the metadata given to it and the indexes it is
attached to, such as précis, author, date registered, customer, property. The
better this descriptive information, the easier it is to find the record in a search.
8.3
The record is considered active during its retention period e.g. seven years.
8.4
While the record is active it is initially kept in a primary storage area e.g.
DataWorks, Business Unit, local records storage area.
8.5
Hardcopy documents/files may be moved to an off-site storage facility
(secondary storage) while they are still active due to space requirements.
8.6
When a record comes to the end of its retention period it becomes due for
destruction (e.g. timesheets can be destroyed after 7 years).
Document Management Services identifies records due for destruction
annually, and seeks approval from each Manager for the destruction of records
relating to their Department.
8.7
Once approvals are received the records are destroyed by shredding and
pulping (hardcopy records) or deletion (electronic records). Records are kept of
all destruction as they will be required for audit purposes and inspection by the
Public Record Office Victoria (PROV).
Permanent records are transferred to PROV, the State Archive, for ongoing
management as records of the State, e.g. agendas and minutes of Council
Meetings.
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