PUBLISHED+Records+Management+Manual+for+School+College+and+Campus+Records+effective+1+August+2016.DOC

RECORDS MANAGEMENT MANUAL FOR SCHOOL COLLEGE AND CAMPUS RECORDS EFFECTIVE: AUGUST 2016 VERSION: 1.0 CONTENTS Introduction DEFINITION OF A RECORD5 STAFF TRAINING CREATING AND CAPTURING RECORDS 5 3.1 Corporate records 3.2 Ephemeral records 3.3 Personal records .6 3.4 Record Titling .6 MANAGING RECORDS IN SCHOOLS 4.1 The School File Plan .6 4.2 Scope Notes 4.3 Descriptor Titling 4.4 File Numbering 4.5 Feedback 4.6 Managing Hardcopy Files 4.7 Managing Electronic Records 10 4.8 Disaster Management 11 RETENTION AND DISPOSAL PROCESS FOR INACTIVE RECORDS 12 5.1 Retention & Disposal Schedules 12 5.2 The Retention & Disposal Process .14 5.3 Archival Records 15 5.4 Maintenance of Archival Records 16 5.5 Access to State Archives held by the State Records Office 16 CLOSING OR AMALGAMATING SCHOOLS 16 6.1 Closed School – Transferring Records to CIS 16 6.2 Amalgamated Schools 16 HISTORY OF CHANGES APPENDICES 17 18 APPENDIX – LIST OF RECORDS DUE FOR DESTRUCTION 19 APPENDIX – MEMORANDUM FOR DESTRUCTION APPROVAL APPENDIX – BOX LABEL TEMPLATE 20 Records Management Manual for School College Campus Records D16/0439959 20 APPENDIX – VOLUME CLOSING SHEET 22 APPENDIX – LIST OF ARCHIVAL RECORDS FOR TRANSFER 23 APPENDIX – STUDENT ENROLMENT RECORDS HELD ON THE SCHOOL INFORMATION SYSTEM (SIS) 24 APPENDIX – LIST OF ARCHIVAL SCHOOL RECORDS* 25 APPENDIX – CLOSED SCHOOLS26 APPENDIX – DISASTER MANAGEMENT PLAN 29 APPENDIX 10 – VITAL RECORDS 37 APPENDIX 11 – DEFINITIONS 38 APPENDIX 12 – MANAGEMENT OF STUDENT FILES AND ENROLMENT RECORDS 40 Records Management Manual for School College Campus Records D16/0439959 Introduction The Records Management Manual for School College and Campus Records, has been developed to comply with the requirements set out in the Department of Education ‘s Records Management Policy and Procedures The Policy applies to all Department of Education work sites - Central services, Education Regional Offices and Schools A copy of this policy can be obtained from the Department’s Policy site Records management is an integral component of every day work for Teachers, Education Assistants, Principals, Corporate Services Managers and School Officers Records provide information for, and evidence of, daily operations and decision-making The monitoring of students and systems performance, communicating with peers, students, parents and other stakeholders in the education process, reporting on what has been done and why, requires the creation and maintenance of records on paper or electronically Their role in the process of education and the increasing need to demonstrate accountability means that it is necessary to continuously strive for greater efficiency and effectiveness in the way records are managed Good records management practices are essential to:          comply with legislative requirements; provide savings in terms of costs, space, materials, and time; improvements in the quality of information; improvements in information retrieval; enhancing decision-making and accountability; providing litigation support; reducing waste and inefficiency; protecting the rights of the school, staff, students and community; and provide an historical framework Adherence to the retention and disposal schedule in this manual will ensure compliance with the State Records Act 2000 A variety of forms and additional information comprise the appendices This Records Management Manual for Schools, College and Campus Records is to be used by all school staff Whenever possible, instructions include diagrams The Manual will be reviewed periodically Any queries regarding the Manual or suggestions for improvement are to be directed to the Manager, Corporate Information Services either by: Email: recmanhd@education.wa.edu.au Telephone: (08) 9264 4867 Note: Records Outsourced Functions Schools are to note that they should include clauses relating to recordkeeping aspects in any contracts that involve the outsourcing of school functions For additional information on this issue refer to Section of the Department’s Recordkeeping Plan (RKP) Records Management Manual for School College Campus Records D16/0439959 DEFINITION OF A RECORD Any’ record of information’, however recorded, pursuant to section of the State Records Act 2000, and including:       anything on which there is writing or Braille; a map, plan, diagram or graph; a drawing, pictorial or graphic work, or photograph; anything on which there are figures, marks, perforations, or symbols, having a meaning for persons qualified to interpret them; anything from which images, sounds or writings can be reproduced with or without the aid of anything else; and anything on which information has been stored or recorded, either mechanically, magnetically, or electronically Regardless of the form or format, when evaluating whether information is a record you must always consider its content or subject matter STAFF TRAINING The Department’s online Recordkeeping Awareness Training (RAT) is available through the Professional Learning tab in the staff Portal All staff are enrolled in this training and are encouraged to complete it as soon as they join the Department Completion of this course is mandatory Corporate Information Services is available to provide training at a school or regional level Please contact the Corporate Information Services Helpdesk for further information either via email recmanhd@education.wa.edu.au or telephone (08) 9264 4867 CREATING AND CAPTURING RECORDS In the course of everyday business, Departmental employees will encounter all manner of records The person who creates a record is responsible for ensuring that the record is captured into an appropriate records management system Not all records need to be captured into business records management systems Only corporate records are required to be captured Capture: 3.1    Corporate records are records of long term value, corporate records: provide evidence of business activities of the organisation; contain information which is of administrative, legal, fiscal, evidential or historical value and is not recorded elsewhere on the public record; document important communication and/or a transaction between employees or between an employee and another party; and Records Management Manual for School College Campus Records D16/0439959  document the rationale behind policy, senior employee decisions and directives Don’t Capture: 3.2    3.3    3.4 Ephemeral records provide short-term or no value to the organisation and are: distributed to staff for information or reference purposes only, such as copies of:  reports and newsletters  circulars  notices of meetings  minutes, agendas etc drafts and rough notes (except where they provide changing decisions that may be used to provide evidence of fact) personal messages and announcements not related to official business Personal records provide no relevance to the business of the agency and must not be retained in any corporate system such as a shared drive Includes: personal records of staff members e.g holiday photos; ephemeral records that offer little or no ongoing value to the organisation; and copies of circulars, mailing lists and advertising materials Record Titling Staff should ensure meaningful titles are used when creating or capturing records A record title should reflect the following:  subject of the record, e.g “financial committee minutes February 2015”  record version,  if the record is a draft, version or finalised, e.g - parent contact list-v1, parent contact list-final); and  any other unique aspect of the document, e.g - author, addressee & date 4.1 MANAGING RECORDS IN SCHOOLS The School File Plan The School File Plan provides a consistent classification structure that allows some flexibility It is designed to provide an efficient and effective way of managing school records This consistent approach will reduce the time spent by staff learning new filing systems and provide an efficient storage and retrieval system for the increasing volumes of correspondence created and received by schools The School File Plan also reduces the time spent determining the minimum retention periods school records must be held for (See Section 5) Records Management Manual for School College Campus Records D16/0439959 The School File Plan classification system consists of three levels: Business Function is the top-level and broadest term The School File Plan is broken into 18 Business Functions Business Activity is the second-level term and more specific than the Business Function Activities are always related to the Business Function they fall under The Descriptor is the narrowest term and is created as required by staff in the school The descriptor is used to divide records into manageable pieces 100 - ADMINISTRATION 112 - RETURNS Census Returns - 2016 Records should be classified into the School File Plan according to their business function and activity 4.2 Scope Notes Scope notes are provided for the Business Function and Activity to help the user to determine if the classification selected is appropriate They also direct the user to other keywords which may be more appropriate For the full listing of the School File Plan Business Functions and Activities with descriptive scope notes use the School Classification and Subject Index Business Function Scope Note Example: 250 CURRICULUM Use for all aspects of curriculum development, including planning, designing, implementing and evaluating as well as for individual units of study Includes correspondence, reports etc for each syllabus, specification for design, proposed courses, etc Where required specify the course title Business Activity Scope Note Example: 266 VOCATIONAL SUBJECTS Use for a range of subjects which develop general vocational and life skills which are readily transferable from one vocational area to another 4.3 Descriptor Titling Records Management Manual for School College Campus Records D16/0439959 As the descriptor folder is created within the school, efforts should be made to ensure that folder titling is consistent and meaningful Where the hardcopy record has a corresponding electronic folder, the electronic folder should have the same title Maintaining a school file plan master list register will assist staff locating files and reduce the potential for duplication or misfiling At a minimum, the title of a file should describe the subject matter of its contents and the period of time the contents cover 4.4 File Numbering The School File Plan uses numbers to identify and locate the files and to encourage similar files to be housed together The use of numbers results in easier sorting and minimises misfiling The Business Function and Business Activity folders provide the initial number with the Descriptor folder (third-level) providing the final component of the file number Sequential numbers are also used to distinguish between different volumes of the same file When a file becomes too large, create a new volume The first file is marked “V1”, the second “V2”, and so on Examples of File Titles Using the School File Plan: 850 STUDENT MANAGEMENT > 867 SPECIAL EVENTS > 867.1 Faction Carnival 2012 D7YALA 400 FINCANCIAL MANGEMENT > 403 BUDGETING > 403.1V2 Budget 2014 - D2YALAudit 800 STAFF DEVELOPMENT > 804 TRAINING > 804.2 RM Finance Training 2013 to 2015 D7YALA 4.5 Feedback Suggestions for improvements to the School File Plan including new keyword and descriptors can be forwarded to the Manager, Corporate Information Services at recmanhd@education.wa.edu.au to be assessed during the periodic reviews 4.6 Managing Hardcopy Files File Covers Files can be in the form of manila folders, lever arch files, ring binders, boxes or file covers with tabs Regardless of the type of file cover, all files in the school should be titled according to the School File Plan and be included in the school’s master list (see File Tracking below) Where possible file covers should have tabs to allow colour coding and file clips to facilitate attachment of documents File Labels A file label may be glued to the front of the file cover irrespective of the type of file cover An example of a file cover label appears below Example of File Cover Label: School File Title Southpoint High School ADMINISTRATION – MEETINGS – All Staff meetings Records Management Manual for School College Campus Records D16/0439959 File Number Date Opened Date Closed (last action date) Security Classification Retention & Disposal 107.1 29 January 2015 21 December 2015 Open/Confidential Destroy years after last action Colour Coding Where possible colour coding on file covers may be used to quickly and clearly identify files, maintain the filing order and assist in minimising misfiling Colour coded number labels are used to identify the file numbers File Volumes A hardcopy file can continue to be used until it gets full, regardless of how long this takes If a hardcopy file becomes too large within a short period of time, a new volume should be created The original file becomes Volume and the new file Volume The file label must be updated to reflect this Volume is closed by placing a Volume Closed sheet in the folder When a volume is closed the retention period for that file is automatically started File Housing & Security Files can be stored in either vertical or lateral filing cabinets Files placed laterally on shelves supported by racks save space compared to vertical filing cabinets Lateral filing cabinets also save time in terms of refiling and retrieval Metal Cabinets or shelves are preferred over wood to reduce the risks damage by fire or pests Provision must be made for files containing sensitive/confidential documents to be housed in lockable storage with restricted access Suppliers of Storage Boxes and Filing Equipment Schools should refer to the CUA for available suppliers File Location Generally, files used mainly by one group of users may be located in their work area The school’s file register should indicate the location of all hardcopy files Regardless of where the files are located they are all subject to the School’s Retention and Disposal Schedule found on the Records Management IKON page File Tracking It is recommended that the physical movement of hardcopy files in the school be recorded to ensure that the file can be always located when required Systems for recording physical movements of files can range from the use of a handwritten recording system; card based borrowing systems, a bar code system or electronic spread sheet such as the School Master File List It is recommended that the following details be recorded when files are borrowed from their normal location:    file number; the title and full name of the person or the department having possession of the file; and sign out and sign in with dates noted Correspondence Records Management Manual for School College Campus Records D16/0439959 10 Corporate incoming hardcopy correspondence should be registered and its movement tracked The purpose of registration is to provide evidence that a record has been created or received in a record keeping system and it facilitates easy retrieval For correspondence requiring registration the following details should be recorded:      date correspondence received; sender; subject; addressee; and file number to which the correspondence was attached Always consider the subject matter when filing correspondence 4.7 Managing Electronic Records Definition ‘Electronic Record’ means any record created or received by an employee that exists in binary form and that requires combinations of computer hardware and software to be read and understood Examples of electronic records include:  word processor documents,  spread sheets,  databases,  digital images,  emails,  websites and  facsimile transmissions Storage Electronic records can be easily altered or deleted In the event of a dispute about the content of a particular document, the ability to prove that the captured version of the document is identical to the version which was sent or received is paramount In the absence of an electronic document and records management system, schools should assess the risk of saving corporate records via electronic means e.g S:\ drive, home drive, portable drives, C:\ drive, Microsoft Outlook Folders, cloud storage etc Where the risk of loss, security breach or unauthorised tampering of the record is high, the school should print and file records in paper-based official files The importance of the record should be taken into account before printing and filing Schools must print and file all records designated as ‘State Archives’ as these records are to be kept in perpetuity (see Appendix for Archival Records) Structure For ease of management it is recommended that schools utilise the School File Plan folder structure Details on how to use the School File Plan are covered in Section 4.1 of this document A diagram providing an example of how to use the School File Plan on a network drive is provided below Retention & Disposal Electronic records must be disposed in accordance with Records Management Policy The process for managing closed records is covered in Section of this document Records Management Manual for School College Campus Records D16/0439959 31 APPENDIX – DISASTER MANAGEMENT PLAN PURPOSE OF THIS PLAN The purpose of this plan is to:  document the main risks to School records;  outline measures and responsibilities required to mitigate risks or minimise the impact of potential disasters;  allow staff to respond quickly and appropriately to recover records after a disaster; and  ensure the School’s most valuable records are prioritised for recovery in the event of a disaster BACKGROUND A Disaster Management Plan is a component of the Department’s Record Keeping Plan (State Records Commission Standard Principle - ‘Government organizations ensure that records are protected and preserved’) SCOPE This Disaster Management Plan applies to schools The object of this plan is to have a ready and useable source of information available for school sites including a contact list in the event of a disaster Whilst this plan focuses on paper records it does not imply that other record types, particularly those in electronic formats, are unimportant Rather, paper records are more likely than electronic records to be affected by a disaster because they are less likely to be protected by offsite back-up procedures; however, the general principles are the same no matter what formats are involved This plan will also enable staff to:      identify areas at risk from fire and other hazards; put in place actions that will minimise loss or damage should a disaster occur; put into place strategies which will enable business operations to continue to operate during the disruption; recover as quickly as possible; and minimise adverse effects on clients, staff and the general public CONTACTS School Contact Details [School to add their telephone number] Education Regional Office Contact Details [School to add ERO telephone number] DOE Contact Details Director General of Education 9264 4165 Chief Information Officer 9264 4301 Director of Facilities 9264 5396 Corporation Information Services Manager 9264 4361 Records Management Manual for School College Campus Records D16/0439959 32 Corporate Information Services Help Desk 9264 4867 External Contact Details Emergency 000 Fire brigade (emergency) 000 Ambulance (emergency) 000 Police (emergency) 000 Police 131444 SES (Assistance) 13 2500 Water Corporation 131375 Alinta (gas fault emergency) 131352 Western Power 131351 State Records Office (SRO) 9427 3360 Preservation Services Mr Paul Malone, 524 Charles Street Perth 9444 4489 PREPARATION RISK ASSESSMENT AND PREVENTION MEASURES ONSITE STORAGE The Disaster Plan is based on an understanding of risks to DOE’s property, people and records The following table shows the main risks to DOE records on site Vital records are identified in Appendix 10 Individual Schools need to amend the list to include any vital records not included in this list They also need to amend Risk Assessment risks depending on the location of the school, e.g schools in Carnarvon and Geraldton may choose rating for natural disaster such as floods and cyclones 1= Prevention / treatment of these risks attracts the greatest investment in resources 4= prevention / treatment of these risks attracts the least amount of resources No Risk Risk Assessment North / South Prevention / treatment measures Natural disaster: earthquakes, flood, bushfire, cyclones  Ensure all staff understand evacuation procedures  Copies of vital records (paper & electronic) sorted offsite or in a fireproof safe Building fault: leaking pipe, faulty sprinkler system 1  Regular maintenance checks of plumbing and sprinkler system Faulty air conditioning: fluctuations in temperature 2  Regular air-conditioning maintenance checks Records Management Manual for School College Campus Records D16/0439959 33 Computer crime: viruses, hackers, 3  Firewall and anti-virus mechanisms are in place to protect network  Routine testing of computer security measures by IT staff  Regular back up of electronic records and storage offsite / offline Other crime: theft, vandalism, arson 2  Regular patrol of school premises by Education Security (School Watch)  Auditable issue of keys and after hours passes to building Human error 3 Training for staff in use of software Risks to DOE staff, property and records have been assessed on the standard risk assessment matrix as described in New South Wales State Records Guidelines on Counter Disaster Strategies for Records and recordkeeping Systems, Section 3.3 Analyse the risks (2001) OFFSITE STORAGE LOCATION {where applicable insert relevant information} STORAGE OF BACKUP TAPES {where applicable insert relevant information} IDENTIFY RECORDS FOR SALVAGE – VITAL RECORDS Vital records are records, in any format, which contain information essential to the survival of an organisation If a vital record is lost, damaged, destroyed or otherwise unavailable, the loss is a disaster, affecting critical operations Vital records should be the main priorities for recovery and salvage efforts when a disaster occurs A list of vital records is provided in Appendix Q Schools are to add any other vital records not listed here ACTIVATING THE PLAN: RESPONSE AND RECOVERY Depending on the type of disaster the person locating the problem should follow the procedures set out in the disaster plan RESPONSE AND RECOVERY STEPS Initial steps of the disaster response and recovery process for the School Records Recovery Group: l l l l Follow the evaluation procedures, etc as set out in the disaster plan Team leader of the School Records Recovery Group calls the Group and briefs them on the disaster and the necessary action to be undertaken Necessary equipment and supplies are gathered When it is safe to enter the affected areas, recovery can commence using whatever staff and resources that are necessary and available The list of vital records (see Appendix 10) will indicate priorities for recovery EQUIPMENT AND SUPPLIES – OPTIONAL for your school Please Note: Central services has disaster recovery materials for deployment Contact the Corporate Information Services Help Desk via email recmanhd@education.wa.edu.au or phone (08) 92644867 Equipment and materials for use in disaster salvage are in the disaster recovery bin situated in the [insert the location] e.g located in the records compactus area in Admin Building Disaster Management Sulo Bin contents as recommended by the State Records Office: Records Management Manual for School College Campus Records D16/0439959 34               2-3 smaller rubbish bins (for water collection) plastic buckets 20 plastic rubbish bags pairs of rubber gloves Tyvec suits (worn by recovery staff) e.g below - Clipboard, writing pads & Pencils Box of marker pens lengths of large plastic sheets (can be used to cover compactuses) Packing tape pairs of scissors Stanley knife sponges (to help soak up water) packets of chuck wipes squeeze mop TECHNICAL AND SPECIALIST ADVICE Technical advice on salvaging and drying materials is provided Guidelines for Records Recovery of this Plan Where necessary, they should seek expert opinion from the DOE Corporate Information Services and the State Records Office Refer to the details under Contacts section Records Management Manual for School College Campus Records D16/0439959 35 INSURERS Contact Strategic Asset Planning - Security in Central services for insurance details GUIDELINES FOR RECORDS RECOVERY Records should be recovered in accordance with vital records schedule PAPER-BASED RECORDS There are a number of stabilising and drying methods that can be used in the recovery phase of disaster management Below are general tips on stabilising and drying water damaged paperbased materials Whichever method is chosen; dried materials should be monitored for potential mould growth Listed below are a number of methods which could be used to recover paper-based records FREEZING For stabilising and restoring large quantities of records, or records that are already starting to grow mould, freezing is the most effective method If there are only small quantities of records then other methods, such as air drying, should be employed Freezing is a useful alternative for some records as:  it stops the growth of mould and mildew (while the object is still frozen);  it may stop bindings from warping, depending on the method of drying;  it stabilises water soluble materials such as inks and dyes; and  it gives your organisation time to plan for recovery and restore buildings and equipment ready for the material Conservators not advise the freezing of vellum, photographs, glass plate negatives, electronic media such as diskettes, videos, cassettes or vinyl records As soon as the record quantities requiring freezing are decided, companies with appropriate freeze facilities should be contacted and arrangements made for transport Options for freezing are:  Blast freeze: commercial blast freezers are ideal as they drop the temperature quickly and have a large capacity  Freeze in refrigerated chamber: this could be slow but there are benefits to reducing temperature even before freezing point is reached, or  Use a home freezer unit to freeze small quantities quickly: ensure that it reaches a temperature of –10C and not open until ready to remove the material (otherwise it will cause a freeze-thaw cycle) Once the material is frozen and you have the time and resources to defrost and treat it, you need to look at drying options FREEZE DRYING The frozen items are placed in a vacuum chamber, which allows the water to evaporate without melting This is of a huge advantage for water sensitive inks as it minimises the risk of them running further Likewise, it is also good for glossy papers as it prevents them from sticking together But if these situations have begun freeze drying will not reverse it Records Management Manual for School College Campus Records D16/0439959 36 Vacuum freeze drying is not recommended for photographic materials unless there is no alternative, as their surfaces may be damaged Leather and vellum may not survive Volumes that are vacuum freeze dried should be acclimatised for at least one month before opening to avoid cracking the bindings, and monitored for mould DRY AIR PURGING OR DEHUMIDIFYING Dry air purging can be used if records are not soaking A building or site is sealed in plastic sheeting and dry air, at least 26ºC and 15% relative humidity, is pumped in using desiccant or refrigeration equipment The water vapour is then absorbed in the dry air This method is rapid and has the advantage of being in situ, but is only useful when the whole site can be sealed off AIRDRYING Airdrying can be attempted if it is within two days of the disaster and if material is not soaked Otherwise, mould will start to grow, and items that are suitable should be frozen Airdrying may result in some distortion of items and should not be used for items with soluble inks Airdrying requires a large space with good air circulation and temperatures below 21ºC Circulation may be encouraged by positioning fans and opening windows If available, dehumidifiers can be used in the drying process to reduce relative humidity (ideally to 25-35%) Screening material such as window screens can provide an excellent compact drying surface which allows for air circulation (although metal mesh will rust in contact with moisture) OTHER PAPER-BASED RECORDS FILES  Files should be removed carefully and laid flat Bundles can be interleaved and pressed under a light weight or pages turned regularly; ensuring that the original order is maintained for each bundle Cool air can be directed to the pages, but ensure that it is directed upward rather than directly on the pages Replace the interleaved sheets when they become wet Glossy papers should be fully separated and interleaved or frozen  For saturated files, metal binders should be replaced with plastic tubing or plastic coated wire and pages fanned with some interleaving  Closed files can be cleaned before drying, by washing off dirt or mud on covers and edges using clean running water or sponge  Books and volumes which can stand upright can be placed on paper towelling with their covers slightly open and their pages lightly fanned A gentle breeze from a fan can assist the drying process Do not use heat as it will encourage mould Interleaving can be used for wet volumes that cannot support their own weight Loose sheets of paper towel or blotting paper can be placed at centimetre intervals though the volumes PAMPHLETS Pamphlets and loose pages can be on lines or improvised drying racks providing you have enough space and assistance MAPS AND PLANS Maps and plans can be interleaved with blotting paper stacked up to 10 high and pressed dry under glass, Perspex or thick board and weighted evenly CARD INDEXES Card indexes should be removed from drawers, stacked on sides loosely and supported at each end Records Management Manual for School College Campus Records D16/0439959 37 PHOTOGRAPHIC PRINTS If treated rapidly, photographic prints may be air dried Liaise with Corporate Information Services in Central services office for more assistance PHOTOGRAPHIC NEGATIVES To air dry remove negatives from envelopes, wash in clean running water and hand to dry or lay flat with emulsion side up Eastman colour films should only be handled by a processing lab If there are large quantities of negatives they should be frozen and air dried NON-PAPER MATERIALS In dealing with non-paper media, the recovery team may need to obtain assistance from professionals Some general guidelines on recovery of specific media are listed below MAGNETIC MEDIA Do not try to make copies of damaged magnetic media (disks, audio, video) immediately because it might damage the hardware If exposed to heat, an expert can provide chances of preserving the information FLOPPY DISKS AND DISKETTES Destroy damaged disks and replace, where full back up copies exist Otherwise place wet floppy disks upright in cold distilled water until recovery is possible To salvage disks and diskettes:  Remove from water immediately  Remove from jacket  Rinse off dirt with clean distilled water Do not soak  Drip dry vertically in a disk drain or rack  Clean with a soft lintless cloth Move perpendicular to grooves, not in a circular motion Do not use hairdryers  Place cleaned compact disk in clean jackets  Replace if mould or condensation is present or if there are deep scratches Check playability and readability MAGNETIC TAPES Destroy damaged disks and replace, where full back up copies exist Treatment of magnetic tapes will depend on the extent of water penetration Do not freeze because the moisture in the tapes will cause permanent damage when frozen Also not use hot or warm air to dry as it will cause the tape to adhere WET TAPES  Disassemble the case and remove the tape  Rinse dirty tapes, still wound on reels in lukewarm water Records Management Manual for School College Campus Records D16/0439959 38  Support vertically on blotting paper to air dry  Reassemble and copy OPTICAL MEDIA (COMPACT DISKS, ETC) Destroy damaged disks and replace, where full back up copies exist Otherwise follow the following procedures:  Remove from water immediately  Remove from jacket  Rinse off dirt with clean distilled water Do not soak  Drip dry vertically in a disk drain or rack  Clean with a soft lintless cloth Move perpendicular to grooves, not in a circular motion Do not use hairdryers  Place cleaned compact disk in clean jackets  Replace if mould or condensation is present or if there are deep scratches Check playability and readability MICROFORMS Destroy damaged disks and replace, where full back up copies exist Otherwise follow the following procedures: Silver halide microfilm should be kept underwater and not allowed to dry out It should be sent to a processing laboratory within 72 hours Vesicular and diazo film should be separated and air dried:  Extract water affected records and dry separately  Peg aperture cards for drying  Unroll microfilms and air dry with the emulsion up or send to film laboratory  Rewind film and store in dry containers If microforms cannot be dried immediately, they should be immersed in clean, cold water for no more that to days and taken to a laboratory ACKNOWLEDGEMENTS State Records Authority of New South Wales (this Plan is heavily based on their disaster plan for a fictitious council) Central West College TAFE Records Disaster Plan Department of Education Disaster Management Plans for Schools – Vital Records Risk Assessment Records Management Manual for School College Campus Records D16/0439959 39 APPENDIX 10 – VITAL RECORDS Schools to add any vital records not included here School File Plan No Title Format Location Protection Measures Recommended custody according to R&Ds Identification number for each record Title of series Records Format Physical Location (of originals and copies) Measures to protect vital records Disposal action: A Archive; D Destroy Admin Office computer Admin Office Daily backup Housed in locked cabinets A - if relating to strategic D - if relating to administrative activities Electronic Admin Office computer Daily backup Retain for life of school School Strategic plan Electronic copies Hard copy Admin Office computer Admin Office Copies also with REOs Daily backup Housed in locked cabinets A years after last action 853 Attendance records Electronic copies in SIS Hard copy Admin Office computer Admin Office Daily backup Housed in locked cabinets D years after last action D 25 years from DOB unsatisfactory reports 859 Enrolment records 150 Committee meeting minutes 551 School Master file List (Records registry) 600 862 864 864 Electronic copies Hard copy Enrolment cards/printouts Admin Office from SIS - hardcopy format Housed in locked cabinets or A years after last action fire proof cabinets if necessary SIS records - electronic format Daily backup Backup copies stored [insert location] Admin Office computer Medical records including health care authorisation Hardcopy format forms – may form part of Student File Admin Office House in locked cabinets or fire D 25 years from DOB proof cabinets if necessary School nurse records Hardcopy School to update location Copies – original belongs to the Health Dept D 25 years from DOB Hardcopy format Admin Office House in locked cabinets D 25 years from DOB Hard copy School to update location Copies - originals with REOs House in locked cabinets D 25 years from DOB Individual Student Files Psychological records Records Management Manual for School College Campus Records D16/0439959 APPENDIX 11 – DEFINITIONS 40 ARCHIVAL RECORD A record (also known as a State Archive) that is to be preserved permanently (never to be destroyed) because of its enduring value (for example historical or evidential) CORPORATE RECORD (Records of long term value) Provide evidence of the business activity of the organisation Corporate records are those that:  contain information which is of administrative, legal, fiscal, evidential or historical value and is not recorded elsewhere on the public record;  document important communication and/or a transaction between employees or between a employee and another party; and  document the rationale behind policy, senior employee decisions and directives State Records Office of WA  Has the responsibility for managing, preserving and providing access to the State’s records DIGITAL RECORD Any record of information within the meaning of Section of the State Records Act 2000 that exists in binary form, and that requires combinations of computer hardware and software to be read and understood These records may include, but not limited to:  emails;  websites;  database applications;  word processed documents;  spread sheets; and  digitised reproductions of documents DISPOSAL The removal of records from the organisation and their subsequent destruction or transfer to the State Records Office for permanent retention as state archives DISPOSAL AUTHORITY A document setting out the disposition of records and authorising their disposal EPHEMERAL RECORDS (RECORDS OF VERY SHORT TERM VALUE) A record which has only short-term value to the organisation with little or no on-going administrative, fiscal, legal, evidential, or historical value Examples include external advertising materials, circulars, meeting arrangements, reference materials etc FILE A collection of paper records and/or electronic records grouped together by a common subject FILE VOLUME Chronological sub-groups of the file When a file cover holds approximately 200 sheets of paper it should be closed and an additional volume of the file created Records Management Manual for School College Campus Records D16/0439959 41 GOVERNMENT RECORD A record created, or received by a government organisation or an employee in the course of the employee’s work for the organisation PERSONAL RECORD Humorous emails, shopping lists, personal correspondence RECORD Information no matter how recorded, which includes:  anything on which there is writing or Braille;  a map, plan, diagram or graph;  a drawing, pictorial or graphic work, or photograph;  anything on which there are figures, marks, perforations, or symbols, having a meaning for persons qualified to interpret them;  anything from which images, sounds or writings can be reproduced with or without the aid of anything else; and  anything on which information has been stored or recorded, either mechanically, magnetically, or electronically RECORDKEEPING The systematic organisation and control of recorded information in any format from the time it is created to its final disposition RECORDKEEPING SYSTEM A manual or automated system which captures and provides access to records over time that has features for maintaining authentic, reliable, complete and usable records that function as evidence of business transactions RECORDS LIFE CYCLE The theoretical concept that records have a cycle through which they pass through The idea proposes that records pass through stages of creation, usage, storage and finally disposition where records are either eventually destroyed or permanently retained RECORDS MANAGEMENT A systematic approach to the creation, maintenance, use and disposition of records RECORDS SERIES A records series is a group of identical or related records that are normally used and filed as a unit A series is usually based on the subject content of the record or it can be based on the medium, for example, database or microfiche RETENTION AND DISPOSAL SCHEDULE Establishes the minimum retention period for each type of record listed in the schedule regardless of medium, and dictates the final action for the record RETENTION PERIOD The period of time during which records must be kept before disposal; usually stated in years or contingent on an event such as demolition of a building or disposal of equipment Records Management Manual for School College Campus Records D16/0439959 42 APPENDIX 12 – MANAGEMENT OF STUDENT FILES AND ENROLMENT RECORDS SCOPE The management of student records in schools is compliant with the Department’s Recordkeeping Plan and is in line with Department Policy and Procedures and the applicable Retention and Disposal Schedule for Department of Education School, College and Campus Records STUDENT ENROLMENT RECORDS Student enrolment records include: Enrolment Cards, Admissions Registers, Enrolment Forms and SIS Archival Reports Student enrolment records have been designated as Archival Records, meaning they will be kept forever They will eventually be transferred to, and maintained by, the State Records Office of Western Australia Student enrolment information was previously captured on Enrolment Cards, Admissions Registers and Enrolment Forms The introduction of the Student Information System (SIS) replaced the need for schools to capture enrolment details on Enrolment Cards or Admission Registers The SIS Archival Report extracted and printed as part of the SIS End of Year process becomes the designated Archival Record Applications for enrolment are not considered archival and if managed separately from student files then these can be destroyed five years after the student has left the school Note: Any student that was enrolled at the school prior to the introduction of SIS must have their enrolment card/form kept 2.1 Storage and Preservation Student enrolment records must be filed under School File Plan folder “859 Students > Enrolments” and clearly labelled ‘State Archive - Never to be destroyed’ Enrolment cards must be arranged by year of birth (YYYY) and surname in alphabetic order Enrolment Cards (and Forms prior to the introduction of SIS) must be stored separate from student files to prevent accidental destruction Schools must ensure the integrity of records are maintained Privacy, security, pest control, fire prevention and environmental conditions must be considered 2.2 Future Accessibility The School Archive Collection Program by Corporate Information Services (CIS) has been transferring the management of archival records from schools to Central services All schools will be invited to participate in the Program in due course For further information contact the Archival Officer (Schools) by e-mail: RMDispositionTeam@education.wa.edu.au Records Management Manual for School College Campus Records D16/0439959 43 2.3 Archival Integrity Transfer Notes and/or Licence to Change Name must be attached to the student enrolment records No other information should be attached STUDENT FILES A student file is created for each student that enrols in a Government School The file must be labelled with the student's surname, given names and any other unique identifiers Student File Retention 3.1 Hardcopy and electronic student files and records (except for enrolment records) must to be retained until the student is 25 years of age or seven years after graduation, whichever is later They can then be destroyed in a secure and confidential manner Electronic records should be migrated from system to system as required during the retention period 3.2 Student Information to be Maintained on File Schools may maintain different business practices depending on what works best; however, all of the records below must be kept for at least 25 years after the student’s date of birth:           Enrolment forms Unsatisfactory attendance reports; Medical records (in accordance with the Department’s Student Health Care Policy); Records of suspensions and other serious disciplinary matters; Student reports*; Teacher’s classroom based notes on a student; Teacher’s comments or interview notes about a student; Any correspondence relating to the above categories; Transfers generated by SIS when a student moves school; and Information relating to any work experience undertaken by a student *Note: Student reports can remain in the Reporting to Parents tool provided that the school has assessed the risk of doing so Schools must be able to produce the student report on demand 3.3 Student File (Confidential) A separate file containing confidential matters on a student may be created when there are concerns about the security and privacy of the records The student file (confidential) may include the following records:  Psychologists and other relevant confidential reports and notes on a student;  Student test results administered by psychologists;  Any other confidential record about a student that may not be appropriate for inclusion on the main Student File; and Records Management Manual for School College Campus Records D16/0439959 44  3.4 Records relating to child protection matters affecting individual students e.g school recording form for disclosures, observations of child abuse and actions, online incident report quoting receipt number of mandatory report and school support plan for reported abuse Note: Do not place a copy of the Mandatory Report on this file Mandatory Reports are lodged with the Mandatory Reporting Service (Department of Child Protection) Student File Disposal Note: Destruction of student records has been suspended until further notice due to the Royal Commission into Institutional Responses into Child Sexual Abuse Further notice will be provided to schools Student files must be securely destroyed due to the confidential/personal nature of the information contained on file Schools must follow the approved destruction procedures when destroying records Files due for destruction should be destroyed by shredding, pulping, incineration or trommelling Open burning or burying records are not acceptable methods of destruction A list of approved destruction service providers is available on Contracts WA 3.5 Storage and Access to Student Files and Records All student records contain private information and must only be viewed by relevant staff as part of their normal duties They must be stored in a way that prevents unauthorised access Documentation must not be removed from any student file or the file itself taken from its designated storage area without approval If the student file must be moved, the file movement must be tracked A ‘File Tracking’ process is detailed in section 4.6 Managing Hardcopy records Access to student files by non-school personnel should also be managed in accordance with the Department of Education’s Policy on Records Management 3.6 Transfer of Student Files Intrastate transfer to Government School The transfer of student files are negotiated at the local level and should only be transferred to a new government school by agreement If no agreement is made, the current school must retain the file until the retention period has passed Intrastate transfer to Non-Government School If requested, a school can provide copies of student information to a non-government school The original file must be retained at the last government school attended by the student until the minimum retention period has passed Interstate transfer There are separate rules governing the transfer of a student file interstate Please refer to the Standing Council on School Education and Early Childhood website relating to Interstate Student Data Transfer Note Records Management Manual for School College Campus Records D16/0439959 45 CAMPS & EXCURSIONS 4.1 Parental Approval Schools can manage records of parental (or guardian) approval for students to attend a school organised camp or excursion separately and by calendar year These records can then be destroyed seven years after the last action 4.2 Critical Incident A separate case file must be created for critical incidents that occur during a school organised camp or excursion and kept for 50 years (862 Students – Health and Welfare – Accidents) (Serious) All information pertaining to the incident, including parental permission should be transferred to the case file regarding the incident Records Management Manual for School College Campus Records D16/0439959