Recordkeeping Manual

A guide to comply with the University Recordkeeping Plan and Records Management Procedures

Part 1 - Contents

The Recordkeeping Manual
Other Reference Material
What is Records Management?
What is Recordkeeping?
What is a Record?
What are University Records?
Why keep Records?
Benefits of Good Recordkeeping
Responsibilities of Recordkeeping
State Records Act 2000
University Recordkeeping Plan
Contents of the Recordkeeping Plan
University Records Management Procedures
Standards and Other Legislation
The Records and Archives Office
Contacts

1. The Recordkeeping Manual

This manual has been provided to compliment the Records Management Procedures approved by the Planning and Management Committee (PMC) on 30/09/03 (Resolution PMC/95/03).

The manual is designed to provide minimum standards for recordkeeping at Curtin University of Technology to assist in establishing a standard of practice for the management of University Records. It has been written in a way that hopefully anyone can read and understand, however where additional explanation is required, all readers should consult the Contacts section in each Part of this Manual for who to contact for more information and advice.

This manual should be used to implement practical guidelines, aids and standards for all sections of the University, including departments, schools, centres, faculties, colleges, foundations and administrative units. There may be sections or processes within the manual that are currently not being done by the area or unit, however all measures must be made to change existing processes to ensure that the methods described in this manual are followed to ensure compliance to the University Recordkeeping Plan.

The instructions contained within this manual are based on published standards, policies and legislation provided by Federal and State agencies as a way of determining best practice, they include (but are not limited to);

State Records Act 2000
Freedom of Information Act 1992
State Records Office of WA Standards and Policies
State Records Commission (WA) Principles and Standards
Australian Standard for Records Management (AS ISO 15489)

This part of the manual deals with the purposes of Records management, why we need to keep records, responsibilities for recordkeeping, related legislation and standards.

The manual has been split up into various parts that will enable staff to direct their attention to the particular parts that concern them in their daily work routine. Many staff will notice that although there are 19 parts to the manual they may only need to refer to four or five.

Users may note that within parts there is duplication of sections contained within other parts; this is done so that each part can be read independently of other parts of the manual.

A number of appendixes are supplied at the end of this manual to provide simple tools for staff to manage their records. As needed other tools will be added to the list.

All users of this manual should contact the Records and Archives Office for assistance whenever needed or if any part of this manual is not understood or errors are noticed.

2. Other Reference Material

Staff are requested to ensure they also refer to the following related reference material when using this guide.

3. What is Records Management?

Records management is a discipline whose practice represents a major component of recordkeeping. A comprehensive view of records management comprises:

This definition broadens the traditional focus of records management and places records management within the framework of recordkeeping. Recordkeeping becomes the common focus for records managers, archivists and anyone else concerned with meeting the need for evidence of business activities.

4. What is Recordkeeping?

Recordkeeping is making and maintaining complete, accurate and reliable evidence of business transactions in the form of recorded information. It is an umbrella term that includes the following:

the creation of records in the course of business activity and the means to ensure the creation of adequate records;
the design, establishment and operation of recordkeeping systems, and
the management of records through recordkeeping systems in their business context (traditionally regarded as the domain of records management) and as archives (traditionally regarded as the domain of archives administration.

5. What is a Record?

To understand what benefits can be made from good recordkeeping practices it is best to first understand what the definition of a record is. A record is recorded information, in any form, including data in computer systems, created or received and maintained by an organisation or person in the transaction of business or the conduct of affairs and kept as evidence of such activity.

Or alternatively as defined by the State Records Act 2000;
A record is any record of information however recorded and includes;

6. What are University Records?

Referring to the definition of what a record is, the definition of a University Record does not greatly differ, it can be summarised as being 'any record, in all formats and purposes, created or received by an officer, academic or general, of the University in the course of their duties and as a record of transaction or conduct of affairs for the University.

Obviously as with the definition of a record provided by the State Records Act 2000, University records also include;

Part 2 of this manual provides more detailed information about University Records and the various types that need to be captured. It also provides a distinction between records of corporate value and those of only local or temporary value (ephemeral records) only.

It should be noted that not all records created on University campuses are University records. For example communications between students are not university records, assignments, essays or other works created by students are in general not university records, however copies of theses papers are required to be deposited to the University Library. Also records held by staff relating to their professional and private activities are not the property of the university.

7. Why Keep Records?

The University keeps records to:

provide an historical record of the University's operations and activities and thus facilitate sound, contemporary decision-making;
provide evidence of business transactions and decisions, for purposes of accountability;
meet legislative and service delivery requirements;
minimise or eliminate risks of poor decision-making arising from gaps in information and background.

8. Benefits of Good Recordkeeping

There are many benefits in implementing good and standard recordkeeping systems across any organisation.

Recordkeeping is integral to the function of any business, as it enables the control of one of the most important resources in any organisation - recorded information (AS4390)

Apart from the establishment of a standard across the University, other benefits will include;

adherence to legislative requirements, existing and new
better management of University records
better resource management
reduced costs for retrieval
capture and appropriate preservation of vital and historical records
central point of location for all inactive records
complete capture of University Records
compliance with standards on Records Management (AS4390)
decision making is improved
documents organisational activities, developments and achievements
greater productivity through more effective information access
non required records are destroyed
policies and procedures are clear and concise
protects the interests of the organisation and the rights of employees, clients and citizens
provides protection and support in litigation, including the better management of risks associated with the existence or lack of evidence of the organisations activity
reduced duplication of records being held
scattered storage is reduced
space requirements are held to minimum
staff and students are more informed
staff are trained appropriately
suitable storage facilities for all media types
supports better performance of business activities throughout the organisation
supports consistency, continuity and productivity in management and administration
supports policy formation and managerial decision making
supports research and development activities.
the corporate memory of the University is preserved and protected as a corporate asset

9. Responsibilities for Recordkeeping

The responsibility for good recordkeeping does not only rest with Recordkeeping Officers, Managers, Directors or Heads of Areas, it is a responsibility of all staff to ensure records are created, captured, registered and filed accordingly to allow for an effective retrieval process and that records are only disposed of in accordance to approved disposal authorities.

Appendix 2 of the Records Management Procedures provides detail as to the responsibilities of all staff.

The following taken from the Records Management Procedures provides an overview of the responsibilities in regard to recordkeeping at Curtin.

9.1 University Responsibility

The University is required to comply with the State Records Act 2000 (WA) through the implementation of records management practices and systems that are in accordance with a State Records Commission approved University Recordkeeping Plan.

The University also has an obligation to comply with other Commonwealth and State legislation that impacts upon the records that are created/captured, managed and kept.

9.2 Responsibilities of the University Secretary

The University Secretary has responsibility for ensuring that appropriate policies and procedures are in place to ensure compliance with Commonwealth and State legislation and University policies, for the capturing, release, dissemination, archival and destruction of records.

The University Secretary is responsible for ensuring that the procedures are observed and implemented across the University. The University Se cretary is responsible for ensuring compliance to the University Records Management Procedures, and that any reports required by the State Records Commission are prepared and submitted.

9.3 Responsibilities of the Manager, Records and Archives

The Manager, Records and Archives is responsible for advising the senior management of the University on the appropriate ways in which the University may comply with relevant Commonwealth and State legislation on records management.

Under the direction of the Planning and Management Committee and its Information Plan Advisory Committee, the Manager, Records and Archives is responsible for the development, writing and implementation of records management and recordkeeping policies, procedures, strategies and guidelines that are in compliance with the relevant legislation.

The Manager, Records and Archives is responsible for the development and implementation of relevant training and awareness programs for recordkeeping.

Additionally the Manager, Records and Archives is responsible for maintaining central records on University correspondence, minutes and agendas of central committees and inactive records storage.

9.4 Responsibilities of Heads/Managers/Supervisors of Divisions/Branches/Schools/ Areas/Departments/Offices and/or Centres

University officers who manage organisational units are responsible for ensuring that all staff in their units

understand their personal responsibilities for compliance with the University's Recordkeeping Plan;
comply with the Statement of Responsibilities for Individual Staff (Appendix 2 to the University Records management Procedures).

9.5 Responsibilities of Staff

Each member of staff is responsible for understanding their obligations and legal responsibilities under the University Records Management Procedures.

These responsibilities, which are identified in Appendix 2 to the University Records Management Procedures, include the obligation to create or capture and maintain University records, or send them for archiving/disposal. This includes the responsibility to ensure all records, regardless of format, are captured into an appropriate recordkeeping system before a staff member leaves the University.

The State Records Act 2000 (WA) provides for penalties of $10,000 for each and every breach of the Act by an individual staff member of the University. A breach for example could be the premature destruction of records that would normally be required to be retained under the University Disposal Authorities.

10. State Records Act 2000

The State Records Act 2000 is probably the most significant change in the way recordkeeping is coordinated by State departments ever, and this includes Curtin University.

The Act replaced the recordkeeping aspects of the Library Board of Western Australia Act 1951 and provided for the establishment of an independent State Records Commission, which strengthens public sector accountability through effective record keeping, provides a standard-setting and monitoring function reportable directly to Parliament and takes account of technological and administrative trends in recordkeeping.

The State Records Act was partially proclaimed on 27th July 2001, and then fully proclaimed on the 1st December 2001.

The major impact of the State Records Act 2000 is the requirement for the development of what is called a Recordkeeping Plan. The Recordkeeping Plan is required to identify the methods and procedures for recordkeeping on campus from creation to either disposal or archiving, this includes all records created by any staff member of the University in the normal course of their duties regardless of the format or purpose of that record. The plan requires approval from the State Records Commission, and once approved it becomes the governing policy for recordkeeping on campus for all staff. The Records Management Procedures for example become a document of the Recordkeeping Plan.

11. University Recordkeeping Plan

Under the legislative requirements within the State Records Act 2000 the University was required to develop, have approved and then implement a University wide Recordkeeping Plan. The University Recordkeeping Plan was cleared by the State Records Commission on the 9 th March 2004.

Apart from the legislative need for plan it also provides other benefits such as standardising the way in which university records are managed, therefore

making it more accountable,
ensuring records of evidence are maintained,
reduced risk due to reduced loss or damage to records,
information will be more accessible and
there will be a lot less duplication of the same information across the University.

The plan affects all employees of the University in the conduct of their duties and must be complied with at all times by all employees of the university.

12. Contents of the University Recordkeeping Plan

The recordkeeping plan sets out the matters about which records are to be created by the University and how the University is to keep its records. This manual is written to comply with that plan and therefore should be used to ensure compliance is achieved.

The recordkeeping plan comprises one or more documents which, when assessed as a whole, provide an accurate reflection of the recordkeeping program within the University. More specifically, documentation regarding the University's recordkeeping system(s), disposal arrangements, policies, procedures, practices and processes are the essential components of the recordkeeping plan. The inclusion of such documentation constitutes evidence of compliance.

The plan must;

Set out the matters about which records are to be created
Show how the university is to keep its government records
Comply with principles and standards established under section 61
Ensure that the government records are kept by the university properly and adequately record the performance of functions
Be consistent with any written law to which the university is subject
Set out those government records that will be State archives
Identify those State archives that will be restricted access archives and the ages at which they will cease to be restricted
Set out the retention period for those government records that are not State archives
Show the systems to ensure security of government records and compliance with the Recordkeeping Plan
Be complied with by the university and by every employee of the university

Plan Content;

Mission Statement, including the university's role in the community
Enabling legislation and legislative requirements the organisation may be subject to
Records Management Policy
Records Management Procedures for the capture, creation, titling, management, security, data protection and authenticity and disposal of recorded information (including email, electronic documents, databases, intranet and internet sites etc)
Organisational scope of policy and procedures, eg campuses, branches, divisions etc.
The University Administrative and Functional thesaurus
Records disaster prevention and/or recovery plan
Retention and Disposal Authority which will include retention periods, disposition, access restrictions etc
The recordkeeping content of the organisations induction program or other means by which all employees are informed of their compliance responsibilities.

The plans full details of what is required to be included are available within the State Records Commission Principles and Standards available at the State Records Office Website.

13. University Records Management Procedures

The Records Management Procedures were approved by the Planning and Management Committee on 30/09/2003 (Resolution PMC/95/03).

These procedures have been developed over many years with extensive consultation to ensure all that required input were provided that opportunity. They have been developed to meet compliance requirements in regard to the State Records Act 2000 and also include best practice elements of the Australian Standard on Records management (ISO AS 15489).

To make the document more readable and user friendly it is broken up onto three parts;

Part 1, the actual procedures, provides the background information as to why we need to be compliant, and also covers areas such as responsibilities and record types.

Part 2, or appendix 1, is the guide to recordkeeping for all staff of the university, basically a very brief shortened version of this manual, but contained within a procedure to ensure it is adopted and complied with by all areas of the University.

Part 3, or appendix 2, is the staff responsibilities section, a brief outline stating the responsibilities of each and every employee of the University that must be complied with at all times.

All staff should read the Records Management Procedures and ensure they understand their requirements (in particular appendix 2) to those procedures. All staff are encouraged to contact the Records and Archives Office if they are unsure about any section within the procedures for further explanation.

14. Standards and other Legislation

As part of meeting compliance to the State Records Act 2000, there are also a number of other Acts and standards produced in regard to recordkeeping both from State and Australian sources.

As with the Records Management Procedures and the University Recordkeeping Plan, this manual has been developed in consideration of all relevant legislation and standards.

14.1 State Records Commission Standards

Out of all the standards available these are the most important as these must be complied with, these are not voluntary standards. Therefore the University must comply with the following sets of Standards which have been released by the State Records Commission under section 61 of the State Records Act 2000 (WA):

Other principles and standards may be published from time to time by the State Records Commission after publication of these procedures of which must also be complied with.

14.2 Australian Standards

In 1996 the first set of standards for Records Management were developed and released (AS 4390). Hailed as a great success the International Standards Organisation (ISO) decided to develop international standards based mostly on the published Australian Standards.

In 2001 the International Standard for Records Management (ISO 15489) was created and published in September 2001.

Not long after publication of the International Standards, the Australian Standards Committee made a few minor terminology amendments to the ISO standards and then adopted those standards to replace AS4390. Therefore the Australian Standard became AS ISO 15489 in March 2002.

Much of the development of this manual and other documentation created by the Records and Archives Office is based on these standards, while maintaining at the same time compliance to State requirements as well.

A copy of the Australian Standard on Records Management (AS ISO 15489) is available at the Records and Archives Office for viewing if required.

14.3 Other Related Acts

The University is also required to observe the provisions of other legislation in the capturing and retention of records, including the Freedom of Information Act 1992 (WA), and the Financial Administration and Audit Act 1985 (WA), which includes the Treasurer's Instructions. The Information Management Policy provides an exhaustive list of the legislation to which the University is subject for this purpose.

The University is not bound by, but voluntarily complies with the National Privacy Principles and the Privacy Act 1988 (C'th). The University's Privacy Management Plan (in draft) describes in detail what constitutes "personal information" and the use, dissemination and safeguarding of such information.

15. The Records and Archives Office

The people behind this document and the developers of many other recordkeeping documents are the staff of the Records and Archives Office.

The office began back in 1967 as an area named the Records Branch and over the years went through a number of minor name changes to reflect the changing directions of the office. Currently named the Records and Archives Office it is located within Building 100 on level 1, room 114.

The Records and Archives Office (RAO) operates as a unit of the University Secretariat within the Office of the University Secretary (OUS). The OUS strives to facilitate effective University Governance in support of the achievements of Curtin's Vision, Mission and Goals. The OUS is a Division within the Vice Chancellory established in 2000.

The RAO provides the University with a corporate administrative information service and provides current and historical records of the University's administrative operations. It is responsible for the management, storage, retrieval, retention and disposal of all administration records, including, but not limited to, legal, student, financial, personnel, research and teaching records.

The RAO operates within a secure and confidential environment and must observe/carry out all University Policies and Procedures and all University and State laws in its management of University records.

16. Contacts

The Records and Archives Office can be contacted during business hours in the following ways:

Telephone: 9266 7050
Facsimile: 9266 2255
Email: records@curtin.edu.au

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