Recordkeeping Plans
State Records Act 2000
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)
b)
c)
d)
any thing on which there is writing or Braille;
a map, plan, diagram or graph;
a drawing, pictorial or graphic work, or photograph;
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, 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’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
 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’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
Records – records essential for
business operations
 Vital






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?
www.sro.wa.gov.au
State Records Office of Western Australia
Further Information:
Chris Coggin 9427 3370
Director: State Records
Isabel Smith Team Leader
9427 3371
Anne Gill 9427 3376
Recordkeeping Consultant
Martin Fordham - 9427 3363
Recordkeeping Consultant
State Records Office of Western Australia