Records Management Procedure Manual - Wakool Shire · RECORDS PROCEDURE MANUAL ... Personnel Files 18 ... INTRODUCTION Records Management is an essential part of any organisation

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Records Management ProceduresDate Adopted: 16th May 2013 1

WAKOOL SHIRE

RECORDS

PROCEDURE

MANUAL

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Contents

Introduction 3Responsibilities & Staff Requirements 4TRIM System 7In & Out Correspondence 10E-Mails 12Hardcopy Documents & File Notes 14Digital Records & Preservation 14Document Access & GIPA 16Property Files 17Legal Documents 18Personnel Files 18Development Applications 19Complaints & Requests for Service 19Council Minutes and Cut & Paste 19Circulars & Government Gazettes 20Maps 21Subpoenas 21Barham Box & Files Leaving Council Buildings 21Old Filing System 22Risk Management 22Archives & Disposal 23TRIM Training 23Exit Policy 24Performance Monitoring 24

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INTRODUCTION

Records Management is an essential part of any organisation and a wellorganised record system will not only provide a capable and cost effective servicefor the general public, but will also provide an effective and efficient workflowsystem for staff.

Records provide evidence of Council’s business activities and all employeesshould be aware of their recordkeeping responsibilities.

Records are types of information, they support business, accountability, culturalheritage and are vital for ongoing business and for internal and publicaccountability.

The NSW Local Government have defined formal recordkeeping responsibilities.The State Records Act 1998 (NSW) requires public offices to “make and keepfull and accurate records of their activities and to establish and maintain a recordsmanagement program in conformity with standards and best practice”.

Each public office must make and keep full and accurate records of the activitiesof the office. (Section 12(1))

Council is responsible for its recordkeeping and have certain statutory andlegislative requirements that affect its management:-

The State Records Act 1998 The NSW Public Sector Code of Conduct The Ombudsman’s Good Conduct and Administration Practice Guidelines for

Public Authorities and Officials The Local Government Act The Freedom of Information Act Privacy & Personal Information Protection (PPIP) Act 1998

The Purpose of this document is to ensure that full and accurate records of theactivities and decisions of staff and councillors, in the course of their officialduties for council, are created, managed and disposed of appropriately to meetthe Council’s organizational needs and accountability requirements.A Record Management Program has been established by Council in accordancewith Section 12(2) of the State Records Act 1998. This document provides part ofthe framework for that program.

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Wakool Shire Council’s Record Management Program includes:

Records Policy Records Procedure manual Record Management for Staff Records Disposal Procedures Disaster Recovery and Business Continuity Plan Records Performance Monitoring Disposal Authority

Each public office must make arrangements with the Authority for the monitoringby the Authority of the public office's records management program and mustreport to the Authority, in accordance with arrangements made with theAuthority, on the implementation of the public office's records managementprogram. (Section 12(4)).

RESPONSIBILITIES

These procedures apply to all individuals engaged in any business andadministrative functions for Wakool Shire Council (regardless of physical location)including councillors.

General Manager

Under the State Records Act (section 10) the General Manager has the overallresponsibility for ensuring that Wakool Shire Council complies with theregulations and requirements of the act.

Information Technology Manager

Is responsible for ensuring the reliability and continuing operation and fullfunctionality of the current supported records management platform.

Ensures routine and comprehensive system back-ups of data are performed andensures that the essential characteristics of digital records are identified prior toany preservation process taking place.

Is responsible for the migration of digital records/metadata in line with StateRecords Standard on Digital Record Keeping.

Also required to liaise with the Records Officer regarding disaster planning forelectronic records.

The Records Officer

Is responsible for setting and issuing corporate standards and procedures for theeffective and efficient use and housing of Council’s records including monitoringand audit compliance with standards in accordance with the State Records Actand legislative requirements.

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The Records Officer will ensure WSC protect State Records in its control andmaintain accessibility to equipment/technology dependent records and assistwith providing an effective disaster recovery plan to protect WSC’s vital records.

Is responsible for the review of WSC’s Record Management Program annually oras required by the introduction of, or changes in , legislation, technology andregulations

The Records Officer is operationally responsible for the efficient management ofCouncil records (physical and electronic) incorporating sound record keepingprinciples and records management best practice guidelines.

Identifying council’s vital records and creating and maintaining a register of suchrecords.

Provide assistance to staff in fulfilling their record keeping responsibilities and toprovide advice and training as an ongoing process. The Record Officer isresponsible for the training of all new employees and to ensure that follow-uptraining is given to all staff as needed.

Managers & Staff

Managers and Staff, as public sector employees, need to be aware ofrecordkeeping requirements that affect the performance of their duties.

The State Records Act 1998 requires public officials to ‘make and keep full andaccurate records’ of their business activities.

The NSW Public Sector Code of Conduct’ requires public officials ‘ to maintainadequate documentation to support any decision made’ in the performance oftheir duties.

The Ombudsman’s Good Conduct and Administrative Practice Guidelines forPublic Authorities states that public officials must make and create records tosupport accountability and corporate memory.

Council Officers have a number of basic obligations regarding records: -

Make records to support the conduct of their business activities Create records that would not otherwise be created Register records into paper or electronic recordkeeping systems Learn how and where records are kept within Council Do not destroy Council records without authority from the Records Officer Do not lose records Do not disclose records without approval from the Records Officer Be aware of record management procedures

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Adherence to Wakool Shire record procedures will ensure that all recordobligations are met.

STAFF RECORD REQUIREMENTS

All inward correspondence is to be answered/acknowledged within sevendays of receiving

All outward correspondence must have a TRIM file reference numberquoted – this enables the Records Officer to relate the document to otherrelated correspondence and enables efficient and effective searches in thefuture.

Where ever possible, officers should complete the note section on inwardcorrespondence in TRIM. This allows other officers to be aware of what ishappening with that subject and provides background information for thefuture.

Inward TRIM trays should be cleared on a daily basis. All correspondence must have a subject heading, including emails.

Is it a corporate record that should be saved?

Did I write, receive or use this in the course of my business dealings?

Does the record approve or authorize actions?

Does it signify a policy change or development?

Does it commit the organization to an arrangement or business deal?

Does it contain advice or provide guidance for people inside or outside theorganization?

Am I required to act upon it?

If I left this job tomorrow, would my successor need this information?

Is the matter in this email likely to be reviewed and audited?

If the answer is yes to any of these questions, then the record is a corporaterecord and should be saved to corporate recordkeeping systems.

NAP ( Normal Administrative Practice )

The Act also provides for limited legal disposal of State records without thespecific authorisation of State Records. This is allowed for under the 'normal

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administrative practice' provisions. The inclusion of the normal administrativepractice ('NAP') provision in the Act is intended to enable public offices to carryout a number of everyday, common sense procedures and practices.

The following documents can be destroyed without any further authorisationfrom State Records:

Faxes & Email that:

a) are ephemeral and are only of short term value,

b) have an authorised copy captured in an appropriate way within a public officerecordkeeping system.

‘Junk’ Mail , Advertising Material & Brochures

Working Papers & Notes that have been used to prepare or complete otherdocuments.

Drafts -

a) that must not be disposed of – (in paper or electronic) are those for which thereis an identified recordkeeping requirement to retain them because theydocument significant decisions, reasons and actions or contain significantinformation that is not contained in the final form of the document, or both.

b) that can be disposed of (in paper or electronic form) that can be disposed of aredraft documents of a routine nature and for which there is no identifiedrecordkeeping requirement, as set out above, to retain them:

Unused letterhead , stationary or numbered forms

Duplicates –

a) information copies or duplicates of records that have already been capturedwithin a recordkeeping system elsewhere in the public office, and that aregenerally kept for reference purposes by individuals (for example, informationcopies of correspondence, reports and memos),

b) duplicates of internal publications held for informational purposes (forexample, annual reports, brochures and leaflets),

c) duplicates of external documents and publications (for example, externalannual reports, price lists, trade journals and catalogues).

TRIM SYSTEM

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The Document Management system – TRIM is used to manage the registration,tracking, retrieval, workflow, security, storage and archiving of Council’s files anddocuments.

The TRIM system is available to ALL Council staff who access and action files anddocuments on a regular basis.

TRIM has security restrictions limiting access to Council records by staffmembers. There are seven security levels based on an action officer’s positiontitle. The Administrator of the system has access to all security levels.Any changes to Security Levels must be documented in accordance with the StateRecords Act 1998 – see S4.

The security levels are:-

GENERAL File access to ALL Council staff RATES Access to appropriate staff dealing with rates

PERSONNEL Access to Managers and appropriate staff dealingwith staff issues such as payroll, workers compensation

MANAGER Access to Managers & HR Officer ONLY CONFIDENTIAL Access to Directors & GM ONLY GENERAL MANAGER Access to General Manager ONLY ADMINISTRATOR Access to Administrator ONLY

In addition to security levels based on position titles, records can have caveatsplaced on them which restrict access to certain file types, for example:-

HR caveats limit access to personnel & position files Business in Confidence & Tender files Financial & Risk Management files / documents Legal Documents & files Privacy Issues files & documents

Current guidelines in place when registering documents in TRIM:

- Notice of Transfers - RATES- Key Allocations/Payroll - PERSONNEL- Position Descriptions - PERSONNEL- Mayoral Elections Nominations - MANAGERS- Staff Medicals & Police Checks - MANAGERS- Penalty Notices - MANAGERS- Employment Applications – MANAGERS- Legal Report - MANAGERS- Staff Exit Interview - CONFIDENTIAL- Staff Reviews - CONFIDENTIAL- Grievances - CONFIDENTIAL/GM- Manex Minutes/Agenda - CONFIDENTIAL- Councillor Workshop - CONFIDENTIAL- Pending Legal Cases - CONFIDENTIAL

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- Disclosure of Pecuniary Interests - CONFIDENTIAL- General Managers Update - CONFIDENTIAL- Directors Annual Review - GENERAL MANAGER

TRIM uses a THESAURUS system where records are classified under a specificheading to distinguish it from other documents.

The thesaurus consist of a system of broad subject headings, or keywords. Thesekeywords are followed by more explicit words which further describe the keywordknown as descriptors. Thus, a hierarchical arrangement is formed where thebroad subject heading, or keyword, is subdivided into more specific subjects ordescriptors of the same broad concept.

For Example

HR – STAFF – Training Course – Bill Smith

TRIM Document Registration & Numbering

Inwards correspondence (letters, faxes, e-mail) is registered into the TRIM systemafter initial appraisal by records staff based on legal, evidential and accountabilityrequirements.A relevant document number for the type of correspondence is then allocated.

TRIM document numbers commence with a prefix denoting the type of documentcategory, the next part of the number sequence denotes the current calendar yearof the document registration and after the slash / the next sequential number inthe documents series.

Eg. I03/1 – denotes an Inwards document registered in the year 2003 with thisdocument the first letter registered for the year.

Metadata is captured at the point of registration with details such as précis ofcontents, author, date created and date registered, location the document will besent to and actioning officer etc.

The registration process is important for a number of reasons: -

It provides evidence that a record has been registered in the TRIM recordkeeping

system and has been received on a particular date

It enables the tracking of the document throughout Council.

Documents - On Wrong File – To Wrong Person – Insufficient Title Details

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Occasionally a document may be incorrectly registered to a file or allocated to thewrong person. If you know the correct or a suggested file reference or the personthe file should have been referred to then you need to contact the Records Officereither by telephone, in person or email and request him/her to make correction.

An important part of the TRIM system is being able to retrieve records and allrelated records, the key to this is words used in the record title when it is inputby the Records Officer and the need for these words to be standard words andconsistent words. (for example: $ for $ or dollar for dollar; RTA or Road TrafficAuthority)

It is the responsibility of all staff to bring these anomalies to the attention of theRecords Officer so as to ensure correct allocations are made and consistencyapplies.

INWARD CORRESPONDENCE

All incoming correspondence is scanned and registered in the TRIM recordsmanagement system as evidence of a business transaction and for legal,evidential and accountability requirements.

The registration process is important because: -

It provides evidence that a record has been registered in the TRIM recordkeepingsystem and has been received on a particular date

It enables the tracking of the document throughout Council. It provides related documents to be linked together.

Inward mail is opened each morning at the Moulamein office by the RecordsOfficer, including mail marked ‘Confidential’. The only mail forwarded directly tostaff or councillors unopened is that which is addressed C/O.

Inward mail received at the Barham Office is faxed to the Moulamein office forprocessing with the original forwarded in the Barham Box.

Any correspondence received by hand or over the counter is to be given directly tothe Records Officer for processing. (This includes faxes and emails – refer tosection on faxes and emails)

Once opened the inward correspondence is processed into a number ofcategories;

Invoices – forwarded to Creditors Officer

Cheques / Remittances – tallied and forwarded to Administration Trainee

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Other Mail / Correspondence – date stamped and registered into TRIM (except

junk/unsolicited mail).

Mail addressed to Councillors is dealt with accordingly and also forwarded to the

Executive Assistance to be emailed to the Councillor concerned.

Letters or Emails from Councillors are considered Incoming mail.

Inward correspondence is allocated a record number in TRIM and transferred tothe appropriate officers in-tray for action. (an allocated number example isI03/2987 – where I = inward, 03 = year, 2987 = record number)

For quality control purposes all original inward correspondence is housed infolders in the compactus (or current year behind Records Officer’s desk) innumerical order until they are archived or disposed of in accordance withCouncil’s record disposal policy (section 1.3 GDA36).

This excludes:

- Staff Personnel Records ( Housed in Staff Personnel Cabinet )- Legal Documents ( Housed in Legal Documents Cabinet )- Confidential Records ( Housed in Legal Documents Cabinet )- DA related documents ( Housed on DA file )

OUTWARD CORRESPONDENCE

All outward correspondence is to be processed by the Records Officer. Staff are toensure that the TRIM reference is placed on all outward correspondence so it canbe related to other correspondence and documents in TRIM. This includes faxesand emails – refer to section on faxes and emails)Outward correspondence from the Barham Office is mailed from that office with acopy forwarded to the Moulamein office in the Barham Box to be processed inTRIM

Outward correspondence is allocated a record number in TRIM (an allocatednumber example is G03/2987 – where G = General, 03 = year, 2987 = recordnumber)

Original hardcopies of outward correspondence is not kept as it is in TRIM.

FAXES

Faxes are regarded as incoming and outward correspondence and must betreated accordingly (except junk/unsolicited faxes).

The Front Counter Administration Clerk is responsible for clearing the faxmachine on a regular basis during the day, and sorting out which faxes need tobe registered in TRIM and which faxes can be placed directly on an officers desk

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not requiring registration. Faxes registered in TRIM will be “actioned” to theappropriate officer.

Faxes that are marked URGENT or have important time related deadlines, willhave a copy given directly to the officer with in TRIM stamped on it, whilst theoriginal fax is being registered. The registered fax will appear in the Officers TRIMintray.

Officers should notify records staff if they are expecting an urgent or importantfax to avoid possible delays.

Faxes should NOT be removed from the fax machine as items may requireregistration – notify records staff and they will check the fax machine for you.

Any faxes sent directly to other departments fax machines (by passing the recordssection) which require registration (evidence of business transactions) should besent to the records section for registration in the TRIM records managementsystem

Any Manager or Officer who receives or sends a fax that is not registered inTRIM, is responsible to give a copy of the fax to the Records Officer.TRIM reference numbers should be quoted on fax cover sheet.

Any faxes still printed out on thermal (shiny) paper that are required to be keptfor any period of time should be photocopied onto plain paper as the thermalpaper image will fade to an unreadable state in a short period of time.

E-MAILS

Emails are regarded as incoming and outward correspondence and must betreated accordingly (except junk/unsolicited e-mails). Electronic records need tocomply with standards approved under the State Records Act and with AustralianStandard AS ISO 15489, Records Management issued as a code of best practiceunder the Act. The Government expects the same standards of recordkeeping toapply in the electronic environment as in the paper environment.

E-mail messages are official records of Council’s business and legislation requiresCouncil to be accountable for that business. E-mail sent or received containsinformation about business activities and therefore can function as evidence ofbusiness transactions in a court of law; they are subject to legal processes suchas discovery and subpoena.

Councillors and Council employees must safeguard Council information andinformation belonging to others such as Council customers and suppliers fromunauthorised or accidental disclosure, modification, damage or destruction,consistent with Council policy.

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All emails to mail@wakool are checked by the Records Officer then either sent toofficers directly to their own email address or registered in TRIM and sent to theappropriate officers TRIM in-tray. Officers are responsible for placing emailsreceived in their own email address into TRIM – this is done by simply forwardingthe email to Wakool Shire Council – TRIM (listed in the drop down inbox list). Itis preferable to have the final email posted to TRIM if it has been part of an on-going thread that day.

E-mail messages that document: -

What happened What was decided What advice was given Who was involved When it happened Order of events and decisions

Should be forwarded to TRIM with attachments and if possible a TRIM referencenumber. The name of the organisation the e-mail is being sent to as well asindividual name is required for TRIM input. For example Joe Smith – MurrayIrrigation, rather than just Joe Smith. All staff are also required to limit the useof subjects per email- if various subjects need to be discussed it is preferable tostart a new email with a relevant subject line and TRIM reference number ifapplicable.

E-mail messages like other business records have different values, some areneeded for ongoing business and others have only short-term value.

The value of an e-mail message is determined by whether it relates to a businesstransaction / activity or contains information only or private messages.

An electronic document becomes an electronic record when it takes part in abusiness transaction; records that document business activity are vital forsupporting informed decision making and ensuring accountability.

Business transactions should be captured into the TRIM records managementsystem.These e-mail messages need to be retained in accordance with approved retentionperiods as listed in the Local Government Records Disposal Authority (GA39).

Both the originator and the recipient of messages need to determine whether amessage is considered to be a business transaction that should be captured asan official record.

Some e-mail messages are not regarded as records because they have notparticipated in a business transaction or created to document such a transaction,consequently they are not required to function as evidence of business.

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These e-mail messages that do not have a business context are generally of short-term value ie. Information only or personal messages, and does not requirecapturing and registration into the TRIM records management system.

Under Normal Administrative Practice (NAP) provisions of the State Records Act1998 (Part 3 .1.8 ) e-mail messages of short-term value can be destroyed withoutprior approval.

FILE NOTES

File notes can be either typed and placed in records tray for scanning into TRIMor can be emailed directly to TRIM by forwarding the email to Wakool ShireCouncil – TRIM (listed in the drop down inbox list).

HARDCOPY DOCUMENTS

Documents must be maintained in a hardcopy format in the followingcircumstances:-

Where legislative or regulatory requirements require that a hardcopy must be maintainedfor evidentiary or historical purposes.

Where work process are unable to support an exclusive electronic format ( for examplelarge plans or maps or booklets)

Where a received document is of a size or format unsuitable for scanning.

Any hardcopy documents or files stored in the compactus or storage shed mustbe labelled accordingly and stored in the correct section- if unsure please seeRecords Officer.

Requests for hardcopy files or documents located in the records file storage areascan be made in person, over the phone or by email to the Records Officer.

DIGITAL RECORDS

The Standard on Digital Recordkeeping (No.10) is issued under section 13(1) ofthe State Records Act and sets out the minimum compliance requirements forNSW public offices for defining their digital records, digital recordkeeping systemfunctionality and the creation and management of recordkeeping metadata fordigital records.

Any digital recordkeeping system used for official records must possess thefollowing functionalities:

Capture read only versions of digital records Retrieve and present digital records in human readable form Restrict or permit access to records by specified individuals or groups Capture and manage the minimum required recordkeeping metadata as defined in

this standard.

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The Standard on Digital Recordkeeping (No. 10) states minimum requirements forrecordkeeping metadata. Digital Records must be captured into a digitalrecordkeeping system with :

Unique identifier Title Date of creation Who/what created the record The business function/process it relates to The creating application Record type (eg: letter / memo / report/ contract / fax / schematic / blog , or

locally defined type

Any of the recordkeeping processes (listed below) that are performed on a recordmust be documented with:

The date of the action Identification of who/what undertook the action What action was undertaken

The recordkeeping processes are:

Registration into a recordkeeping system Apply or change access rules Transfer of control Destruction Migration

DIGITAL PRESERVATION

The State Records Act 1998 states that each public office must ensure the safecustody and proper preservation of the State records that it has control of(Section 11(1)).

Digital records must be properly preserved so that they survive in authentic andaccessible forms over the whole of their existence - from a few years, or thelifetime of an individual or asset - or forever, in the case of digital State archives.

Records should be routinely monitored by the IT Manager in order to identify anyformats that are at risk of obsolescence and migrated forward as technologieschange.Migration of records should be planned, quality controlled and documented bythe IT Manager.

Public offices should migrate long term value and archival records into stablelong term formats so that they do not become obsolete while they are being

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retained beyond their period of active use. An example of a stable long termformat is Open Document Format. This includes (but are not limited to) :

PDF/A-1, the ‘archival’ format for PDF Open Document Format (ODF) Hypertext Markup Language (HTML) Extensible Hypertext Markup Language (XHTML) Open Office versions of Microsoft Powerpoint, Microsoft Excel Joint Photographic Experts Group File Interchange Format (JPEG or JFIF),

Tagged Image File Format (TIFF), Portable Network Graphics (PNG) fordigital images

Free Lossless Audio Codec (FLAC) for digital audio files

E-mail records must remain accessible while they are required to meet businessand accountability requirements. By law records ‘born’ digital MUST be suppliedin digital format when required.

To remain accessible over time they must be migrated across changes in softwareand hardware platforms. When migrating records the IT section will ensure thatthe original content, structure and business context of the message is retained inorder to function effectively as an official record.

Structure refers to the layout of the message and links to attachments in thatmessage.Context refers to the information documenting the source and destination of themessage and other information usually in the header.

DOCUMENT ACCESS

Documents are accessible to all staff unless a legitimate reasons exists to restrictaccess, for example:-

Where the information is commercial in confidence, personal inconfidence, management in confidence or work unit in confidence.These documents will be secured down to the appropriate level torestrict access as required.

Where the information is restricted due to legislative or regulatoryrequirements. These documents will be secured down to theappropriate level to restrict access as required.

Under section 15 of the State Records Act, State Records is entitled to access torecords in the control of a public office:

'for the purpose of enabling the Authority to monitor compliance by the publicoffice with the requirements of this Act and the regulations.'

Access may mean inspections or visits to public offices by State Records' staff orrequests for information. The inspections or requests for information may be

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required for assessing and monitoring the compliance of public offices with theState Records Act, standards and codes of best practice.

Depending upon the issues identified, State Records will either:

request further information from the public office in order to verify surveyresponses

identify the issues requiring action and request that the public office take remedialaction in consultation with State Records, or

identify the issues requiring action and request that the public office develop animprovement plan with project tasks and milestones identified. The public officemay need to submit regular progress reports to State Records, so thatimprovements are monitored.

GIPA

Council’s records are subject to requests for access under the provisions of theGIPA Act 2009. The Director of Corporate Services is Council’s Right toInformation Officer and has the responsibility of processing access applications.Wakool Shire Council has policies in place in relation to GIPA requirements andprivacy concerns. Council Officers must adhere to these policies before providingrecords or information to the public.

An important consideration for action officers is that comments placed on ALLCouncil records should be accurate, factual and unbiased as these records maybe subject to GIPA access requests or used as evidence in court.

COUNCILLOR ACCESS TO COUNCIL RECORDS

Councillors access to Council files, records or other documents should be asdetailed below:-• Access to a Council file, record or other document can only be provided

according to ways that are legal and appropriate and doesn’t limit orrestrict statutory or common law rights of access

• Councillors can request the General Manager, the Public Officer or a personnominated by the General Manager to provide access to a particularCouncil record.

• Councillors who have a personal (as distinct from civic) interest in adocument of Council have the same rights of access as any other person.

• Councillors are entitled to access to all Council files, records or otherdocuments where that document is identified in section 12 of the LocalGovernment Act or to a matter currently before the Council.

• Councillors can request access to other documents of the Council either bya Notice of Motion to the Council or GIPA application.

PROPERTY FILES

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Matters relating to properties are filed in TRIM under the property section (bluefile icon) All matters relating to a property are filed under the propertyassessment number.

The compactus houses the old property system records in assessment numberorder for rural properties and in street order of each to the towns. Approved DA’sare filed in the old property system in the compactus. Under NO circumstancesare staff to access the Compactus and remove property files without prior consentfrom the records staff. Wakool Shire Council have a file tracking system whichmust be adhered to. Please see the Records Officer.

LEGAL DOCUMENTS

Legal documents are scanned into TRIM, allocated a number and registered on‘S1’ Spreadsheet, they are housed in the locked legal document cabinet in thecompactus.

Legal document categories include: Agreements, Bank Guarantees, Certificates ofTitles, Leases, Licences, Deeds and Contracts.

Access to legal documents is through the Records Officer or appropriate Manager.No legal document is to be removed from the cabinet unless permission is grantedand in this case a photocopy of the document along with a explanation note mustbe placed in the legal document file.

PERSONNEL FILES

Personnel files are created for permanent employees and contain –Original applications, job descriptions, acceptance and resignation letters,competency and performance evaluation assessments, training certificates etc

Personnel Files are housed in TRIM and also in the locked file cabinet in thecompactus.The TRIM records management system restricts access to personal files bysecurity levels and caveats.Personnel files are generally accessible by the General Manager and Managers.Payroll Officers have access to relevant parts of a personal file such as workerscompensation matters, leave applications etc.

Council staff may request to view their personnel file at any time, howeverapproval must be given by the Manager BEFORE access is given. The informationmay ONLY be viewed at this time, under supervision, notes or copies of thecontents may be made, however, NO information is to be added or taken off thefile at this time. (Records will only be removed in extreme circumstances)

Personnel files being accessed by Managers, should be stored in a secure place,NOT kept on desks or left open to public viewing. It is recommended that they beplaced in a filing cabinet or drawer when not in use but still kept accessible.

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Archived Personal files, various payroll and financial records are stored offsite atthe Council Depot Storage Shed in a lockable cabinet. For retrieval please contactrecords staff.

JOB APPLICATIONS

Job applications are received in the records section, registered and placed on thestaff position file until the closing date of the position.

Any job applications received by other Departments / Sections MUST be deliveredto records or records staff notified ASAP, the date of receipt should be writtenclearly on the envelope.

Applications are received until the closing time (usually 5.00pm) and the finalapplicant’s list is completed. (Acknowledgment letters are sent out from this list).Late applications are NOT accepted unless there are special mitigatingcircumstances.

The position file is then sent out to the Human Resource Officer for processing ofthe applications, culling, convening of an interview panel and successfulrecommendation etc.

Once the successful applicant is known a Personnel file is created (Permanentemployees only) which contains a job description, original application, letters ofoffer and acceptance etc.

Unsuccessful job applications are culled from the position file when it is returnedto records for storage in a lockable cabinet and destroyed 12 months after theposition was finalised.

DEVELOPMENT APPLICATIONS

When received at the Moulamein Office, Development Applications only have thefront page scanned into Trim as a record of receipt- the full document is thenforwarded to the Health & Building Department at the Barham Office forreceipting. These need to be checked for correct information, registered andallocated DA & CC numbers. The full documentation is then given to RecordsOfficer to be registered in TRIM (covering letters, application forms etc arescanned into TRIM with notes indicating whether plans & specifications wherereceived and who they where given to). Full documentation is then returned tothe Officer to be placed in DA folder and given to appropriate officer for action.

COMPLAINTS

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Complaints when received in the mail are registered as inward correspondenceand referred to relevant Director for action. If received over the counter or byphone a complaint form is filled out and registered in TRIM with appropriateofficer for action. The Records Officer then sends a letter acknowledging receipt ofcomplaint (L3) and advises name of Director following up.

REQUESTS FOR SERVICE

Requests for Service when received in the mail are registered as inwardcorrespondence and referred to relevant department for action. If received overthe counter or by phone a Request for Service form is filled out and registered inTRIM with appropriate officer for action.Hardcopies of the Request forms are then given to the Trainee AdministrationOfficer and he/she then registers all requests on a spreadsheet. This register isdiscussed at Engineering meetings where any request not actioned can beaddressed.

COUNCIL MINUTES AND CUT & PASTE

Council minutes including business papers are stored in TRIM as well as inWORD. Resolutions of Council are processed as cut and paste documents whereeach resolution is matched with the report and then scanned into TRIM. Thisdone to ensure quick access to Council decisions. It is the Officers responsibilityto title their reports correctly and use TRIM references in reports so that the cutand paste process is done correctly and easily accessible.

Council minutes are bound in a hard copy and stored in the compactus. Thisbound set of Minute Books are the ONLY full signed copy of Council Minutes assuch, are a permanent and vital Council record and State Archive.

CIRCULARS

Circular types received are mainly Weekly & Local Government Circulars. WeeklyCirculars are registered in TRIM and referred to Senior Staff & Councillors viaemail.Local Government circulars are referred to the officer responsible for the relatedsubject.

GOVERNMENT GAZETTES

Items relating to the Wakool Shire that are published in the Government Gazetteare placed in TRIM.

Back copies of older gazette items (a good description is required) may beobtained by fax from the State Library of NSW Reference Section or the LocalGovernment Association Library. Back copies of Government Gazettes may bepurchased from the Government Printing Service on 97438777. The web addressis – www.gps.dpws.nsw.gov.au/

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MAPS

All maps, including parish maps, street maps, road maps etc are housed in themap room in the Engineering Section. Parish maps are no longer updated as theinformation is now available on Map Info, however, the old parish maps areuseful in providing historical information on land ownership and subdivisions.

Development Plans (DP’s) and Subdivision are housed in filing cabinets in theEngineering Section in parish order.

SUBPOENAS

Subpoenas for the production of documents in court cases are photocopied by theRecords Officer under the direction of the appropriate Manager.

Original documents are not to be sent unless specifically requested by the courtand approved by the General Manager. The Records Officer is responsible forensuring that all original documents are returned to the office.

BARHAM BOX

Items are transferred to and from the Barham office and Moulamein Office in theBarham Box. Staff traveling to and from Barham and Moulamein should checkwith front counter person to see if the Box needs to be taken.

FILES – LEAVING COUNCIL BUILDINGS

Due to a number of factors such as security, confidentiality and loss ofinformation Council files should NOT leave Council buildings, unless they aretravelling between the offices in ‘the box’.

Only copies of files are to be submitted to court relating to subpoenas, in certaincircumstances due to critical time constraints the original file may be forwardedto Council’s Solicitors for perusal on a short term basis ONLY.

Council staff are fully RESPONSIBLE and ACCOUNTABLE for the LOSS,DAMAGE and CONFIDENTIALITY of ALL files and documents in their possession.

If records are lost or misplaced the Records Officer must be informed immediatelyas files and documents are described under the State Records Act as StateRecords.

FILES - HOARDING

Hoarding of files is actively discouraged for a number of reasons:

• Files take up room on limited desk space

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• Difficulty may be experienced by other staff members who wish to consultor use the file due to files not being readily accessible

• Increases the risk that the file will become lost over time• Increased risk to loss of information in the event of a disaster (eg fire)

Files should be returned to the records file storage area as soon as practicableafter completion of any outstanding actions, if required the file can be collected ata later date.

OLD FILING SYSTEM

The Document Management System TRIM was introduced in October 1998 andall inward and outward documents were scanned into the system from that date.Documents prior to that date are filed on the old filing system housed in thecompactus on a lateral filing system. The old file index is also housed in thecompactus for staff information.

The old file system consisted of property files and general files. Property files areblue and house in assessment order for rural properties and in street and housenumber order for towns. All matters relating to properties including developmentapplications are housed in the property files.

General Files are yellow with the latest files prior to the introduction of TRIMhoused in the central file compartments in the compactus. General Files, prior tothat are either in the lateral files on the right hand side of the compactus or inboxes, also on the right hand side of the compactus.

RISK MANAGEMENT

Records which are integral to the conduct of Wakool Shire Council’s businessrequire special measures to protect them from damage or destruction. Riskassessment is necessary to identify vulnerable records and is conducted routinelyas part of WSC Records Performance Monitoring.

Vital records should be classified as such and clearly identified. Locked filingcabinets are used to protect physical and electronic records. Council haveimplemented a ‘Disaster Plan’ ensuring the Council’s most valuable records areprioritized for recovery in the event of a disaster.

Vital Records include- but are not limited to :

Contracts & Agreements Development & Building ControlsTender Documents Council Minute BooksPersonnel Files Financial ManagementProperty Management ( Council Leases) Legal Documents ( eg: Grants )

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Building & Maintenance of Infrastructure ( eg: roads, bridges & sewerage/drainage)

The risk of records being misappropriated by persons can be safeguarded againstby regular audits of the record management system as well as file tracking.

All electronic documents are backed up each night and housed off site forsecurity, data protection and risk management reasons.

ARCHIVES

Some of Council’s records are stored offsite at the Council Depot Storage Shed.Retrievals are conducted on a regular basis- please contact records staff.

DISPOSAL

All Council records, whether in hard copy or electronic format, are subject tocontrol and disposal in accordance the State Records Act 1998. Disposal ofCouncil records must be done in accordance with the Local Government RecordsGeneral Disposal Authority (GA39). This schedule must be used whendetermining whether a file should be retained as a State Archive or destroyedafter a set retention period – as a result all files or documents must be referred tothe Records Officer prior to disposal.

The Shire of the Wakool Council has clear requirements for the destruction ofofficial records and associated record keeping metadata. Council’s destructionprocedures are designed to prevent:

Premature destruction of records or recordkeeping metadata Insecure destruction of records Inadequate documentation of destruction activities

All file disposal is carried out in association and agreement with the Director ofthe relevant Business Unit and documented in the ‘S2 Destruction Register’. Acopy of the Disposal Authority (GA39) may be perused in the Records Office atany time.

TRIM TRAINING

All new employees are trained as part of their induction in Council’s recordsystem and the use of TRIM. Follow-up training for TRIM is conducted within amonth of the original training.

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One to One training is available upon request with the Records Officer. Thistraining is encouraged so as to ensure users of the system are fully up to datewith its capabilities and are using the system to its best advantage.Any problems with the TRIM system please contact the Records Officer.

EXIT POLICY

As part of Council’s Exit Policy when a staff member leaves Council records staffMUST be notified as all TRIM files and documents assigned to the staff memberare required to be re-directed to the appropriated area.

PERFORMANCE MONITORING

Wakool Shire Council’s ‘Records Performance Monitoring’ outlines long and shortterm goals for the Records Management Program. The plan will be revised atregular intervals by the Records Officer in consultation with the Director ofCorporate Services.