State Records

Corporate Policy

Subject

Records management

Date of effect

28 October 1999

Date of last revision

25 September 2000

Date due for review

31 August 2002

Previous policy

N/A

Policy number

CP 99/1

File number

98/0024

Contact

Chief Information Officer

Purpose

The purpose of this policy is to ensure the creation and maintenance of records with appropriate evidential characteristics within State Records by establishing a framework and accountabilities for records management.

Policy statement

State Records is committed to meeting its responsibilities under the State Records Act 1998 and to implementing best practice in its records management practices and systems. All practices and procedures concerning records management within State Records are to be in accordance with this document.

Our organisation's records are our corporate memory, providing evidence of actions and decisions and representing a vital asset to support our daily functions and operations. They support policy formation and managerial decision-making, protect the interests of State Records and of the Government and the rights of employees, clients and citizens, and help us deliver our services in consistent and equitable ways. They help State Records to make good use of precedents and of organisational experience. They support consistency, continuity, efficiency and productivity in program delivery, management and administration. Those that are to be kept as State archives form part of the cultural resources of the State.

Practices and procedures

Records management program

As required by s.12(2) of the State Records Act, State Records maintains a records management program.

The objectives to be achieved through the program are that:

·        State Records has the records it needs to support ongoing business activity and customer services, meeting accountability requirements and community expectations

·        these records are managed as efficiently and effectively as possible

·        these records are able to be retrieved and used to meet the above needs, and

·        State Records complies with all external requirements concerning its records and records management practices.

The records management program is to be managed within the Corporate Information and Communications (CIC) program. The strategic plan for the program is to be developed within State Records’ Corporate Strategy and its operational plan within the CIC unit’s Action Plan. Performance indicators for the program are to be developed and reviewed regularly. Regular monitoring of the records management program is to be undertaken with results being reported to the Executive by the Chief Information Officer.

Records management system

State Records' principal recordkeeping system is, and will continue for the foreseeable future to be, its records management system.

The records management system integrates the management of paper and electronic records, using the electronic document management features of TRIM in conjunction with the existing paper based corporate file system.

The CIC unit operates and maintains the system and the TRIM records management application, and provides services associated with the system. User guidelines, titled Records Management System User Guidelines, have been issued and are available on State Records' intranet.    

The CIC unit provides the full range of services associated with the system in both the City and Western Sydney locations, although the Records Officer and the bulk of the paper based records are located at Western Sydney.

Services

The following services are available to staff in relation to the records management system:

·        closure of files on which action is completed and of full parts (for paper based files) 

·        creation of new files and parts

·        file resubmits (for paper based files)

·        electronic access, via the corporate network, to electronic files and parts of files and electronic records contained in them.

Details on how to use these services are in the user guidelines.

Rules

Staff are to observe the following rules associated with the records management system:

·        All staff are to use the system to document all substantive official business, unless using an authorised specific purpose recordkeeping system. Staff are not to maintain individual or separate files or recordkeeping systems or unmanaged electronic records.

·        All formal documents generated within State Records, including outwards correspondence, should bear a file reference number.

·        Only authorised staff may close files or parts or create new files or parts.

·        The location of every file should be accurate and up to date in TRIM at all times. Staff are responsible for recording location changes when passing a file to another staff member, either by recording it in TRIM or by notifying the Records Officer.

·        Staff should minimise the number of files they keep at their desks and the length of time they keep them and should make effective use of the resubmit system instead.

·        Files should not leave State Records' premises, apart from exceptional circumstances. If possible, a photocopy of relevant documents should be taken to meetings etc. outside our premises.

·        Under no circumstances should staff take files home. If it is necessary to work on a file at home, a photocopy of relevant documents should be used.

·        State Records' internal courier service should be used to send individual files between the City and Kingswood.

For more information, see the user guidelines.

Disposal of records

State Records is to develop a function-based Records Disposal Authority for approval under s. 21(2) of the State Records Act. State Records will implement a program of regular sentencing and transfer using this authority and the General Disposal Authorities.

Staff are to use the Guidelines on Normal Administrative Practice for guidance on the disposal of drafts, working papers, copies, messages etc.

Electronic recordkeeping

In accordance with NSW Government policy, State Records' policy is to capture and maintain electronic records in electronic form. As an initial step, State Records is implementing the capture and management of electronic messages and documents as records, and integrating the management of paper and electronic records, using the records management system.

In due course, State Records is to undertake a thorough analysis of the recordkeeping requirements associated with its electronic information systems and implement electronic recordkeeping strategies and systems as necessary to meet those requirements using the 'DIRKS' (Designing and Implementing Recordkeeping Systems) methodology. Meanwhile, State Records' operational and support programs are to ensure that adequate records to meet known recordkeeping requirements are created and kept of transactions carried out using those systems.

Accountabilities

Director

As chief executive, the Director has a duty under s.10 of the State Records Act to ensure that State Records complies with the requirements of the Act and regulations and that the requirements with respect to State records for which the organisation is responsible are complied with. Since records management is a business and accountability issue, the Director has a major stake in the implementation of best practice.

Chief Information Officer

The Chief Information Officer (CIO) is the senior manager responsible for the records management program and functions as State Records' Corporate Records Manager for the purposes of the Standard on Records Management Programs. The CIO is accountable to State Records' Executive for the management of the program.

The CIO is accountable for ensuring State Records' compliance with external recordkeeping standards, including those administered by State Records as the NSW Government's records and archives management authority. The CIO is responsible for making and administering arrangements for the monitoring of the program by State Records in that role, as required by s. 12(3) of the State Records Act, such as the annual Records Management Survey.

The CIO has the authority to develop standards for records management across State Records for endorsement by the Executive, to define rules and requirements associated with records management operations and corporate recordkeeping systems and to conduct audits of records and recordkeeping practices.

CIC staff

Relevant CIC staff are accountable to the CIO for the efficient daily operation of the records management system and the provision of services to agreed standards to file users.

Program managers

The managers of State Records' operational and support programs are accountable to the Executive for ensuring that practices and systems in their programs comply with this policy and related requirements.

All staff

All staff are accountable to their supervisors for compliance with this policy and with related policies, standards and guidance.

All staff have a responsibility to create records to document::

·        decisions

·        oral decisions and commitments, including telephone discussions

·        meetings, and

·        other events.

All staff have a responsibility to capture records into official recordkeeping systems, except records that can be disposed of under normal administrative practice (see Guidelines on Normal Administrative Practice). This means that staff need to: 

·        capture electronic documents they create (outgoing correspondence, presentations, file notes, reports etc.) when they become records, by attaching them electronically to file in the records management system, in accordance with the user guidelines

·        capture email messages electronically into a file in the records management system, in accordance with the user guidelines, and

·        capture paper based records, such as incoming correspondence, into the records management system by physically attaching them to a file, in accordance with the user guidelines.

References

State Records Act 1998

Australian Standard AS 4390—1996, Records Management

Standard on Records Management Programs (April 1998)

Standard on Full and Accurate Records (April 1998)

Policy on Electronic Recordkeeping (April 1998)

Policy on Electronic Messages as Records (April 1998)

Good Conduct and Administrative Practice: Guidelines for Public Authorities and Officials, section 2.3.10, NSW Ombudsman, May 1995

Guidelines on Normal Administrative Practice

Records Management System User Guidelines

What have records got to do with me?

David Roberts
DIRECTOR