<LG> Recordkeeping Plan <RKP XXXXXXX>

<Name of LG

RECORDKEEPING PLAN

<Year>

Page 1 of 29

<LG> Recordkeeping Plan <RKP XXXXXXX>

TABLE OF CONTENTS

Introduction

1.Principle One: Proper and Adequate Records

1.1Historical Background

1.2Strategic Focus and Main Business Activity

1.3Functions, including those outsourced

1.4Major Stakeholders

1.5Enabling Legislation

1.6Legislation and Regulations Administered by the <LG>

1.7Other Legislation Affecting the <LG>

1.8Major Government Policy and/or Industry Standards

2.Principle Two: Policies and Procedures

2.1Records Management Systems

2.2Records Management Policy and Procedures

2.3

2.4Certification of Policies and Procedures

2.5Evaluation of Policies and Procedures

3.Principle Three: Language Control

3.1Keyword for Councils Thesaurus Implemented

3.2Thesaurus (other than Keyword for Councils) Implemented

3.3File Plan / List of Subject Headings / List of Authorised Headings

3.4Assessment of its Effectiveness

3.5Identified Areas for Improvement

4.Principle Four: Preservation

4.1Assessment of the Risks

4.1.1On Site Storage

4.1.2Offsite Storage

4.1.3Storage of Archives

4.1.4Storage of Backups

4.1.5Quantity of Records

4.1.6Security and Access

4.2Assessment of the Impacts of Disasters

4.3Strategies in Place for Prevention and Response

4.3.1Vital Records Program

4.3.2Back-up Procedures for Electronic Records

4.3.3Security

4.3.4Storage Reviews

4.3.5Recovery of Lost Information

4.4Identified Areas for Improvement

5.Principle Five: Retention and Disposal

5.1General Disposal Authority for Local Government Records

5.1.1Disposal of Source Records

5.2Existing Ad Hoc Disposal Authorities

5.3Existing Disposal Lists

5.4Restricted Access Archives

5.5Archives not Transferred to the SRO

5.6Disposal Program Implemented

5.7Authorisation for Disposal of Records

5.8Identified Areas for Improvement

6.Principle Six: Compliance

6.1Staff Training, Information Sessions

6.2Performance Indicators in Place

6.3Agency’s Evaluation

6.4Annual Report

6.5Identified Areas for Improvement

7.SRC Standard 6: Outsourced Functions

7.1Outsourced Functions Identified

7.2Recordkeeping Issues included in Contracts

7.2.1Planning

7.2.2Ownership

7.2.3Control

7.2.4Disposal

7.2.5Access

7.2.6Custody

7.2.7Contract Completion

7.3Identified Areas for Improvement

Appendices

Appendix 1 – Functions of the Shire...... 23

Appendix 2 – Legislation & Regulations Administered by the Shire, and

Local Laws of the Shire...... 25

Appendix 3 – Other Legislation & Regulations Affecting the Operations of

the Shire...... 27

Appendix 4 – Major Government & Industry Standards...... 28

Appendix 5 –

Appendix 6 –

Appendix 7 –

Appendix 8 –

[Insert appendix title and page numbers. Add to list of appendices as required.]

Introduction

This document is presented to the State Records Commission in accordance with Section 28 of the State Records Act 2000 (the Act). Section 28 (5) of that Act requires that no more than 5 years must elapse between approval of a government organization’s Recordkeeping Plan and a review of it.

State Records Commission (SRC) Standard 1 – Government Recordkeeping requires that government organizations ensure that records are created, managed and maintained over time and disposed of in accordance with principles and standards issued by the SRC. SRC Standard 2 – Recordkeeping Plans comprises six recordkeeping principles each of which contains minimum compliance requirements.

The purpose of this Recordkeeping Plan is to set out the matters about which records are to be created by the <LG> and how it is to keep its records. The Recordkeeping Plan is to provide an accurate reflection of the recordkeeping program within the organization, including information regarding the organization’s recordkeeping system(s), disposal arrangements, policies, practices and processes. The Recordkeeping Plan is the primary means of providing evidence of compliance with the Act and the implementation of best practice recordkeeping within the organization.

The objectives of the <LG> RKP are to ensure:

  • Compliance with Section 28 of the State Records Act 2000;
  • Recordkeeping within the Local Government is moving towards compliance with State Records Commission Standards and Records Management Standard AS ISO 15489;
  • Processes are in place to facilitate the complete and accurate record of business transactions and decisions;
  • Recorded information can be retrieved quickly, accurately and cheaply when required; and the
  • Protection and preservation of the Local Government’s records.

In accordance with Section 17 of the Act, the <LG> and all its employees are legally required to comply with the contents of this Plan.

This Recordkeeping Plan applies to all of the <LG’s>:

  • Employees;
  • Contractors;
  • Organizations performing outsourced services on behalf of the <LG>; and
  • Elected members.

NOTE: The policy approach of the State Records Commission in monitoring the recordkeeping obligations in respect to Local Government elected members is:

“In relation to the recordkeeping requirements of local government elected members, records must be created and kept which properly and adequately record the performance of member functions arising from their participation in the decision making processes of Council and Committees of Council.

This requirement should be met through the creation and retention of records of meetings of Council and Committees of Council of local government and other communications and transactions of elected members which constitute evidence affecting the accountability of the Council and the discharge of its business.

Local governments must ensure that appropriate practices are established to facilitate the ease of capture and management of elected members’ records up to and including the decision making processes of Council.”

Local Governments are to address the management of elected members government records in accordance with this policy, in their Recordkeeping Plans.

This Recordkeeping Plan supersedes [where applicable, insert number of previous approved RKP] and applies to all records created or received by any of the above parties, regardless of:

  • Physical format;
  • Storage location; or
  • Date created.

For the purposes of this RKP, a record is defined as meaning “any record of information however recorded” and includes:

(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 meaning for persons qualified to interpret them;

(e)any thing 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 Act, 2000)

  1. Principle One: Proper and 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.

1.1Historical Background

[Insert the following]:

  • Brief organizational history, indicating:
  • the organisation’s establishment date;
  • names of predecessor organizations;
  • any amalgamations, separations and changes in functions that may have occurred, including dates when these occurred and arrangements for custody and/or transfer of relevant records; and
  • Essential relationships with other organizations.]

1.2Strategic Focus and Main Business Activity

[Insert brief description of the Local Government’s Strategic Focus and Main Business Activity. Use information from the Annual Report or other relevant document.]

1.3Functions, including those outsourced

Refer to Appendix 1.

[Appendix 1 contains a comprehensive list of typical Local Government functions. Tick the appropriate boxes for functions performed by the Local Government and those functions, if applicable, performed by another party on behalf of the Local Government.]

OR

[Insert here the Local Government’s own description of its functions including those that are outsourced].

1.4Major Stakeholders

The <LG’s> major stakeholders are [insert details of the Local Government’s major stakeholders, whether employees, customers, general public, etc.]

1.5Enabling Legislation

The <LG> is established under the Local Government Act 1995.

1.6Legislation and Regulations Administered by the <LG>

Refer to Appendix 2.

[Appendix 2 contains a comprehensive list of typical legislation and regulations that may be wholly or partly administered by Local Government. Tick the appropriate boxes for legislation or regulation wholly or partly administered by the Local Government, and add any which may have been omitted].

[Also include in Appendix 2 a listing of all the Local Laws of the Local Government].

1.7Other Legislation Affecting the <LG>

Refer to Appendix 3.

[Appendix 3 contains a list of other legislation and regulations affecting the functions, operations and recordkeeping of Local Government. Tick the appropriate boxes for legislation or regulations affecting the Local Government or make additions as necessary].

1.8Major Government Policy and/or Industry Standards

Refer to Appendix 4.

[Appendix 4 contains a list of government and industry standards and codes of practice that may be imposed on or adopted by Local Government. Tick the appropriate boxes for those adopted by the Local Government, and add those others adopted that are not on the list].

  1. Principle Two: Policies and Procedures

Government organizations ensure that recordkeeping programs are supported by policy and procedures.

2.1Records Management Systems

[Provide an overview of the records management system/s used by the Local Government, to include, as appropriate:

Whether the records management system is manual or automated;

Whether the records management system is paper based, electronic or a hybrid system;

When the records management system currently in use was implemented;

If applicable, how the change from one records management system to another was managed;

Whether the Local Government is planning to change records management systems;

Any additional details considered relevant.]

2.2Records Management Policy and Procedures

The creation and management of records is coordinated by the <LG’s> Corporate Information Unit / Records Officer [amend title as appropriate].

For the recordkeeping policy and procedures of the <LG> please refer to Appendix 5.

[Attach policy and procedure manual or documentation. Note: In the absence of either a policy and procedures manual or individual policy and procedure documents, the organization may adopt the RKP as the “manual” and must include statements addressing the following, demonstrating that:

The policies and procedures have been established;

The roles and responsibilities for all employees are defined;

The organizational scope of the policies and procedures has been addressed e.g. their applicability to regional branches or outsourced contractors; and

The policies and procedures have been authorised at an appropriate senior level and are available to all employees.

AND provide detailed descriptions of current practices in relation to all sections listed below.]

[Table 2.1 lists several recordkeeping activities. Indicate in the table by ticking Yes or No as to whether the Local Government’s policies and procedures cover the recordkeeping activities. Add to the table relevant categories as appropriate.

A set of sample policy statements is provided on page 10 of this document. These may be adopted by the Local Government and inserted under a suitable ‘Policy’ heading. See ‘Scope’ on page 4 of this document for recordkeeping requirements with respect to the Local Government’s elected members.]

Table 2.1

Recordkeeping Activities for the management
of hard copy records and covered in the
<LG’s> Policies and Procedures / YES / NO
Correspondence capture and control – including incoming and outgoing mail registration; responsibilities assigned for classifying, indexing and registration; file titling and file numbering conventions.
Include specific provisions for capture and control of Elected Members’ correspondence.
Digitization– including categories of records digitized; disposal of source records; digitization specifications. See General disposal authority for source records;
NB: This procedure is only required where the organization intends to dispose of source records prior to the expiration of the approved minimum retention period after digitising.
Mail distribution – including frequency, tracking mechanisms and security measures.
File creation and closure – including assigned responsibility and procedures for both physical and automated file creation.
Access to corporate records – procedures for access to and security of corporate records.
Authorised disposal of temporary records and transfer of State archives to the State Records Office (SRO) – any assigned responsibilities.
Electronic records management – including the organization’s approach and methodology for the capture and management of its electronic records (e.g. print and file, identification of the official record, use of EDRMS, hybrid system etc).
Email management – including the capture, retention and authorised disposal of email messages to ensure accountability.Should indicate whether the organization is utilising a document management system or hard copy records system (e.g. print and file, identification of the official record, use of EDRMS, hybrid system etc.)
Website management –
i) including guidelines to determine which is the complete and accurate record, particularly in regard to the purpose of the site (e.g. whether informational/transactional).
ii) Responsibility for the website and strategies implemented for the management of the website over time, including capture of periodic snapshots of the site and mechanisms for recording website amendments.
Metadata management – including authority for the capture and control of metadata.
System/s management – including any delegations of authority for the control and security of systems utilised by the organization (e.g. provision of access to systems through individual logins and passwords, protection of servers etc).
Migration strategy – strategies planned or in place for migrating information and records over time (e.g.through upgrades in hardware and software applications, and any assigned responsibilities) for long-term retention and access. See Public Records Policy: 8 – Policy for the ongoing management of electronic records designated as having archival value.

2.3Certification of Policies and Procedures

Evidence of formal authorisation that the policies and procedures are in place and promulgated throughout the <LG> is provided by the copy of the certification document signed by the CEO [amend this statement as necessary]. Please refer to Appendix 5.

2.4Evaluation of Policies and Procedures

The recordkeeping policies and procedures for the <LG> cover all categories identified in Principle 2 of SRC Standard 2 and are assessed as operating efficiently and effectively across the <LG>.

OR [delete as appropriate]

The recordkeeping policies and procedures for the <LG> do not cover the following categories: [insert as appropriate] and will be amended to cover all categories identified in Principle 2 of SRC Standard 2 by [insert proposed timeline for completion, e.g. December 2010].

[Example Policy Statements,

extracted from the LGRMG Model Template]

[Creation of Records

All elected members, staff and contractors will create full and accurate records, in the appropriate format, of the <LG’s> business decisions and transactions to meet all legislative, business, administrative, financial, evidential and historical requirements.

Capture & Control of Records

All records created and received in the course of <LG> business are to be captured at the point of creation, regardless of format, with required metadata, into appropriate recordkeeping and business systems, that are managed in accordance with sound recordkeeping principles.

Security & Protection of Records

All records are to be categorised as to their level of sensitivity and adequately secured and protected from violation, unauthorised access or destruction, and kept in accordance with necessary retrieval, preservation and storage requirements.

Access to Records

Access to the <LG’s> records by staff and contractors will be in accordance with designated access and security classifications. Access to the <LG’s> records by the general public will be in accordance with the Freedom of Information Act 1992 and <LG> policy. Access to the <LG’s> records by elected members will be via the Chief Executive Officer in accordance with the Local Government Act 1995.

Appraisal, Retention & Disposal of Records

All records kept by the <LG> will be retained and disposed of in accordance with the General Disposal Authority for Local Government Records, produced by the State Records Office of WA.]

  1. Principle Three: Language Control

Government organizations ensure that appropriate controls are in place to identify and name government records.

3.1Keyword for Councils Thesaurus Implemented

The <LG> has adopted and implemented the Keyword for Councils thesaurus for the titling of all its records.

OR

3.2Thesaurus (other than Keyword for Councils) Implemented

The <LG> has developed and implemented its own thesaurus which covers both administrative and functional records, in all formats. A sample of the terms used and their scope notes is attached (please refer to Appendix 6).

OR

3.3File Plan / List of Subject Headings / List of Authorised Headings

The <LG> has developed a File Plan/List of subject headings/List of authorised headings [delete as appropriate]to control the titling of records. The[insert appropriate name]covers both administrative and functional records [correct this statement as necessary]. The File Plan/List of subject headings/List of authorised headings [delete as appropriate]is attached (please refer to Appendix 6).

3.4Assessment of its Effectiveness

The thesaurus/file plan/List of subject headings/List of authorised headings [delete as appropriate]operates well within the <LG>. It covers both administrative and functional activities of the <LG>, is available for use by all staff and information can be filed and found without difficulty. This tool will be adjusted to reflect changes to the functions and activities of the <LG> as may occur from time to time.

OR

The thesaurus/file plan/List of subject headings/List of authorised headings [delete as appropriate]is inadequate for the business requirements of the <LG>. It will be revised completely/where necessary [delete as appropriate], amended and implemented for use by [insert proposed timeline for completion, eg December 2010].

3.5Identified Areas for Improvement

[Where the thesaurus/file plan/list of subject headings [delete as appropriate] has been shown to be inadequate and the agency has identified areas where improvement is needed, these should be described along with the strategies for undertaking improvements and the proposed timeline for completion.]

  1. Principle Four: Preservation

Government organizations ensure that records are protected and preserved

For the Disaster Management Plan/Records Disaster Recovery Plan[delete as appropriate] for the <LG> please refer toAppendix 7.

[Note: Where records disaster recovery strategies have been incorporated into an organization wide Disaster Management Plan (DMP), Appendix 7 may include only that relevant section of the DMP, if it demonstrates that all elements of the Assessment of Risks, Assessment of the Impacts of Disasters and Strategies for Prevention and Response have been addressed, the roles and responsibilities for all employees are defined, the organizational scope of the plan has been addressed eg applicability to regional offices or outsourced contractors, and the plan has been authorised at an appropriate senior level and is available to all employees.]