Temporary Records Procedure

Transcription

1 Procedure Temporary Records Procedure Please note this procedure is mandatory and staff are required to adhere to the content DECD 07/6197 Summary That DECD Central Office, Regional Offices and sites will identify temporary value records, retain those records for the period subscribed in an appropriate disposal schedule and arrange for destruction of those records only with approval from State Records. Table 1 - Document details Publication date 19 October 2011 Review date 19 October 2014 Related legislation/applicable section of legislation Related policies, procedures, guidelines, standards, frameworks Replaces Policy officer (position) Policy officer (phone) Policy sponsor (position) Executive director responsible (position and office) State Records Act 1997 Freedom of Information Act 1991 Public Sector Act DECD Records Management Policy Destruction of Records Procedure DECD10/1370 Permanent Records Procedure DECD2005/2000 DECD Electronic Document and Records Management System (EDRMS) Security Procedure SA Government Information Security Management Framework SA Government Cabinet Administrative Instruction PC12 Information Privacy Principles Senior Records Management Officer Team Leader, Records Management Unit Director, Asset and Business Services Executive Director, Infrastructure Applies to Key words Status Approved by All DECD employees, contractors, consultants and temporary agency staff Disposal, information management, approved storage provider, secondary storage and temporary records Approved Deputy Chief Executive 1 Temporary Records Procedure October 2011

2 Approval date 19 October 2011 Version 2.0 Table 2 - Revision record Date Version Revision description 18/10/ Standard revision 2 Temporary Records Procedure October 2011

3 Table of Contents Procedure... 1 Temporary Records Procedure Title Purpose Scope Procedure detail Roles and responsibilities Monitoring, evaluation and review Definitions and abbreviations Supporting documents References Appendix Temporary Records Procedure October 2011

4 1. Title Temporary Records Procedure 2. Purpose The purpose of this procedure is to ensure that official records in the custody of the Department for Education and Child Development (DECD) that are of temporary value are adequately managed, archived and retrieved. 3. Scope This procedure covers all official records of DECD, including all corporate business units, regional offices, schools, preschools and child care centres. 4. Procedure detail Archiving Process Steps The following process is relevant to al DECD business units, regional offices, schools and preschools and provides the steps by which agencies can archive temporary value records. Further information can be obtained from Records Management Services at the following addresses: and Prior to undertaking the following steps business units, regional offices, schools and preschools that wish to archive temporary records must first ensure that specific staff have been nominated for purposes of retrieving records. A Nominated User Registration Form is available from the Resources and Forms section of the Records Management Services website Step 1 Identify the records that require archiving (i.e. those that are no longer actively being used but which are evidence of business transactions) and split into subject similar groups. For example, Pupil Record Folders, Financial Records and Enrolment information are distinct and separate sets of records. Each set of records is called a series. Step 2 Once the records have been split into individual series, complete a DECD Series Registration Form including as much detail as possible concerning the types of records within the series. the completed form to DECDRMP@sa.gov.au If a series registration number already exists for a particular set of records, i.e. if similar records have already been archived with Recall, 4 Temporary Records Procedure October 2011

5 please contact Records Management Services on (08) for the next consignment number. Step 3 A unique record series identifier (EDU number) and consignment number will be forwarded to you for use on all documents relating to that series and consignment. Step 4 Obtain and pay for archive boxes (Type 1 or Type 10). These can be purchased from Recall by contacting DECD Records Management Services on (08) Alternately, you may contact VISY Packaging on (08) , or WC Penfold on (08) Please note that Marbig style boxes are NOT of archive quality and will not be accepted for transfer to offsite storage. Step 5 Sentence records using one of the following: General Disposal Schedule 15 (GDS 15) for administrative records General Disposal Schedule 18 (GDS 18) for Ministerial records General Disposal Schedule 22 (GDS 22) for school records General Disposal Schedule 31 (GDS31) for Early Childhood records One of the relevant Departmental Records Disposal Schedules (RDS) These schedules are available from the Resources and Forms section of the Records Management Services website. Records Management Services can be contacted for further advice regarding sentencing on (08) Please note that GDS32, relating to the Royal Commission into Institutional Responses to Child Sexual Abuse (approved by State Records Council in March 2013) suspends authorisation to destroy any records relevant to the Royal Commission, which could otherwise be legally destroyed under current disposal schedules, effective immediately. Records affected include school records such as student assessment and achievement at school; attendance; behaviour and discipline; student work experience placement; case files of individual students; financial assistance to individual students; reports of accidents, incidents and injuries; reports relating to suspected abuse sustained at home; student health and hygiene matters; student's medical or psychiatric condition; home schooling; individual student observation; student management; admission/enrolment; and photographs of individual students. GDS32 also includes personnel 5 Temporary Records Procedure October 2011

6 records such as personal files (paid staff, volunteers and contractors); files regarding workers compensation claims, assessments, reviews and appeals; attendance, leave and travel records; records showing term of employment; and counselling, mediation and discipline records. These records are to be retained until at least 31 December 2023 (and for any additional period determined by a review), and State Records will not give permission for destruction of these records before that date. All other records will be processed as usual. Step 5 Place the records in archive boxes in the correct sequence, i.e. the sequence in which they were managed within the unit. For example, numerically by file number, alphabetically by surname, or chronologically by date/year. Step 6 List the records in boxed order on the DECD Temporary Records Consignment Sheet which is available on the Records Management Services website. Be sure to include as much detail as possible. Step 7 the draft consignment list to DECDRMP@sa.gov.au. Records Management will advise if any changes need to be made and arrange for barcodes to be sent via internal courier. Barcodes will only be sent once the consignment list has been approved Step 8 Label every box with the following information: Records Series Identifier (EDU number) and Consignment number Date range of records in that box First and last control element (e.g. file number or alpha range) Box number (in the right hand corner of the box) Step 9 Affix barcodes to boxes. Barcodes should be on the front (narrow) end of the Type one boxes. If a barcode will cover details added in Step 8, affix to the opposite end of the box. Barcodes are issued by Recall under a unique client code that identifies the Business Unit, Regional Office or site. The client code will 6 Temporary Records Procedure October 2011

7 be provided to you for reference. Step 10 Enter the barcode details against each box in the consignment list and include your Recall client code in the coversheet and at the top of the consignment page. Forward the final version to Records Management Services at It is important to maintain a copy of the consignment list as part of your records to allow for future access and ensure that Records Management Services is provided with an electronic copy. Step 11 Once Records Management Services have approved the final consignment list they will contact you/the school to ensure that the boxes are ready for pick up and will confirm Recall s collection date. Step 12 A Recall Courier will arrive to the collect the boxes. They will require a signature and you/the school will receive a copy of the work order confirmation Archived files are deemed to be no longer active and cannot be reactivated unless in specific circumstances. See below. NB: All relevant forms (i.e. Series Registration Form, Consignment List, Nominated User Form etc) are available from the Records Management Services website by ing DECDRMP@sa.gov.au or by phoning Retrieval Process The following steps are relevant to all DECD business units, regional offices, schools and preschools and provide the steps by which agencies can retrieve temporary value records that have been archived with Recall. Further information can be obtained from the Records Management Services website. Step 1 Identify the records to be retrieved. The preferred method of retrieval is at the box level, however, individual files may be retrieved under certain circumstances. Step 2 7 Temporary Records Procedure October 2011

8 Records Management Services at with your retrieval request. Please include the following details: Recall Client Code, Series ID (EDU number), Consignment Number, Box Number(s), Contact Details, Delivery Address and the urgency of the request. Under any agreement with Recall, Records Management Services must first grant approval for a retrieval request and approval for a file to be reactivated. (see Step 5) Step 3 Once approved Records Management Services will forward the retrieval request to Recall. Step 4 Records retrieved by a Business Unit become the responsibility of that Business Unit and must be managed appropriately. Step 5 Records that are retrieved from Recall are to remain inactive, that is, they are to be used for reference purposes only and are not to have their contents added to or altered in any way. The only exception to this rule relates to files that contain information about individual students. These files can be reactivated in an instance where the student now attends a new educational body and that unit requires the file for ongoing student management issues. NB: Reactivation of a file can ONLY occur with approval from Records Management Services. Step 6 Records Management Services is to be informed of any retrieved records that are passed from one business unit to another in order to keep a track of current locations. Additionally, should items be transferred from one business unit to another, a log of file movements is to be maintained in the file(s). Step 7 Records that remain inactive are to be returned to Recall once they are no longer required or not later than 60 days after the retrieval date, whichever is the sooner. 8 Temporary Records Procedure October 2011

9 Please contact Records Management Services should the records be required for a longer period of time. To return records to Recall please Records Management Services at DECDRMP@sa.gov.au with the same details as provided in Step 2, specifying that they are for return to Recall. Step 8 For a file that is reactivated the Business Unit/Site who retrieved it becomes the custodian of that file and is responsible for archiving it in a new series/consignment when it is closed. NB: Reactivated files are not to be returned to the external storage provider for inclusion in the original series/consignment as this will impact on the retention period of the consignment. Both Records Management Services and the Business Unit/Site concerned (i.e. the original custodian of the record) should update their consignment list to indicate that the record has been reactivated and will not be returned to that box. Unsentenced Records In special circumstances, unsentenced records may be stored at Recall. However, permission must be granted by State Records before any unsentenced records can be transferred to Recall. Ideally the records should be sentenced as soon as possible in order to prevent records being retained beyond their destruction date unnecessarily and incurring storage fees. Destruction of Records at Recall Once a consignment of records is due for destruction Recall will contact the Department. Records Management Services will then seek approval from the relevant Business Unit, Regional Office, School or Preschool before verifying with State Records that the destruction can occur. A destruction date is a guideline only. Business Units, Regional Offices, Schools or Preschools are under no obligation to destroy the records if they believe them to still be of value. The retention periods established through the disposal schedules represent minimum timeframes only. It should be noted however, that in retaining records for longer, ongoing storage costs will apply. Please note that records will not be destroyed without prior approval from the relevant Business Unit, Regional Office, School or Preschool. Business Units, Regional Offices, Schools and Preschools wishing to destroy records stored on-site must follow State Records guidelines and complete the Intention to Destroy Records Report available via link from the Records Management Services website. Approval from State Records must be granted before any destruction may occur. Business Units, Regional Offices, Schools and Preschools must retain their approved (signed) requests to destroy records as evidence of legal destruction. These approvals must be retained for 50 years. Any Business Unit, Regional Office, School or Preschool outsourcing the destruction of records must ensure it receives a Certificate of Confidential Destruction from Recall. 9 Temporary Records Procedure October 2011

10 Further information can be obtained from the Destruction of Records Procedure. Key Resources The following is a list of the key resources required when undertaking an archiving project: General Disposal Schedule 15 (GDS 15) Used to sentence records of an administrative nature. General Disposal Schedule 18 (GDS 18) Used to sentence records from the Minister s Office. General Disposal Schedule 22 (GDS 22) Used to sentence school specific records. General Disposal Schedule 31 (GDS31) Used to sentence Early Childhood specific records General Disposal Schedule 32 (GDS32) Used to sentence records of relevance to the Royal Commission into Institutional Responses to Child Sexual Abuse General Disposal Schedule 16 (GDS 16) Used to assist agencies to identify records that may relate to Native Title issues. Records Disposal Schedule 2006/01 (RDS 2006/01) Used to sentence records from Regional Offices Operational Records Disposal Schedule (RDS) Used to sentence agency specific records. Archive Boxes (Type 1 & 10) Boxes can be purchased from VISY Packaging, Recall or WC Penfold. 5. Roles and responsibilities Table 2 - Roles and responsibilities Role Records Management Services Business Units, Regional Offices and Sites Authority/responsibility for To manage the records of DECD through the provision of policies, procedures and advice. To identify those records which are inactive and able to be archived to offsite storage or destroyed. 10 Temporary Records Procedure October 2011

11 6. Monitoring, evaluation and review This procedure will be monitored and reviewed by Records Management Services. 7. Definitions and abbreviations Table 3 - Definitions and abbreviations Term Meaning Appraisal Active Archive Business Unit Consignment 11 Temporary Records Procedure October 2011 The process of evaluating business activities to determine which records need to be captured and how long they need to be kept to meet business needs, legislative requirements and community expectations. An active record is a record that is still being utilised by the controlling business unit for the purposes of managing the issue to which the record relates. To archive a record is to undertake the processes of sentencing, boxing and listing and to transfer the record to archive storage. A Business Unit within DECD refers to a branch of the Corporate Office, a school, primary school, preschool or other entity that undertakes activities relating to the provision of education, children s services or the support of these and that reports to the Minister for Education. A consignment is a group of records belonging to the same series that are archived together. Each time records relating to the series are archived they become a new consignment. Disposal A range of processes associated with implementing appraisal decisions. These include the retention, migration, transfer or destruction of records in or from recordkeeping systems. Disposal Schedule Inactive Official Record Reactivated A disposal schedule is an authorised document that allows an agency to determine the length of time a record needs to be retained for. An inactive record is a record that has been closed by the controlling business unit as there are no ongoing issues pertaining to its contents. Any document or information (regardless of format) that is created or received by any employee of the department in the conduct of official departmental business. A reactivated record is a record that has been closed and possibly archived and that is again

12 Record Series Identifier Retrieve Sentencing Series Temporary Value Records required as the issue contained in the file is ongoing. Only files relating to individual students can be reactivated and the Records management Unit must provide approval for this to occur. The record series identifier is a unique number given to a series of records. This number will then be used to identify that specific group of records whenever they are archived. The record series identifier is a unique number given to a series of records. This number will then be used to identify that specific group of records whenever they are archived. Sentencing is the process of determining how long records need to be retained for by classifying them against an approved disposal schedule. A series is a group of similar or like records. For example, the personnel files of a Business Unit would be a particular series. A series will contain multiple consignments. A temporary value record is a record that through the sentencing process can be destroyed at some future date. 8. Supporting documents Permanent Records Procedure Destruction Procedure 9. References State Records Act 1997 Keyword AAA Thesaurus Appendix N/A 12 Temporary Records Procedure October 2011