Kttachjvtcnt (: Records Management Manual

kTTACHJVtCNT (
Australian Government
Department of Broadband,
Communications and the Digital Economy
Records Management Manual
3rd Edition- December 2004
Version 3.2- 10 December 2004
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INTRODUCTION
This is the 3'd Edition of the Department's Records Management Manual. It details
records management policy and procedures to be used to support the Department's
business objectives and ensure that we comply with our legislative responsibilities.
The major change in this version of the manual is the inclusion of detailed policies
and procedures for managing the Departments electronic documents. In pmticular,
the manual provides you with detailed guidance for managing Email records which
are now a fundamental aspect of Departmental business.
All staff are required to abide by and use the procedures in this manual. I encourage
you to put these new procedures into practice to ensure that our obligations in relation
to recordkeeping are met.
Helen Williams
Secretary
Contents
Chapter 1 - Recordkeeping Policy ................................................................................ 1
1.1 Purpose ...................................................................................................................................... !
1.2 Policy Statement. ....................................................................................................................... I
1.3 Scope ......................................................................................................................................... !
1.4 Recordkeeping Systems ............................................................................................................ I
1.5 Responsibilities ......................................................................................................................... 2
1.6 Legislation ................................................................................................................................. 3
1.7 Standards ................................................................................................................................... 4
1.8 Monitoring and Revie\v .............................................................................................................. 4
Chapter 2- Departmental Records and Files .............................................................. 5
2.1 Purpose ...................................................................................................................................... 5
2.2 The Nature ofDepa11mental Records ........................................................................................ 5
2.3 Departmental Files .................................................................................................................... 6
2.4 Filing Records .................................... : ...................................................................................... 7
2.5 Maintaining Good Files ............................................................................................................. 9
2.6 Incorrectly Filed or Missing Records ...................................................................................... 10
2. 7 File Numbering ....................................................................................................................... 10
2.8 Security Classification ofFiles ................................................................................................ IO
2.9 Control and Movement of Classified Files .............................................................................. II
2.10 How to Advise the Change of a Files Location ....................................................................... II
2.11 File Marking Procedures ......................... , ............................................................................... 12
2.12 How to Create and Title a New File ........................................................................................ l2
2.13 Maintaining Complete Paper and Electronic Records ............................................................. 14
Chapter 3- Guidelines for Filing Email and Other Electronic Records ................. 16
3.1 Purpose .................................................................................................................................... l6
3.2 Principles .................................................................................................................................. l6
3.3 E-Record Systems for Filing Email ......................................................................................... l6
3.4 Responsibility of Senders for Filing Email ............................................................................. 17
3.5 Responsibility of Receivers of External Email... ..................................................................... l7
3.6 How to File Your Email .......................................................................................................... 18
3.7 How to File a Document on the G:\ or H:l drive ..................................................................... 19
3.8 How to Retrieve Documents on an Electronic File ................................................................. 20
Chapter 4- Guidelines for Filing Paper Records ...................................................... 21
4.1 Purpose .................................................................................................................................... 21
4.2 Principles ................................................................................................................................. 21
4.3 Paper Recordkccping Systems ................................................................................................ 21
4.4 Responsibility of Senders for Filing Papers ............................................................................ 21
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Records Management Manual- 3rd Edition December 2004
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4.5 Responsibility of Receivers of Paper Records ......................................................................... 22
4.6 How to Attach Papers to a File ................................................................................................ 22
4.7 Custody and Storage of Paper Files ......................................................................................... 23
4.8 Closing a Paper File ................................................................................................................ 23
Chapter 5- Transfer, Sentencing and Disposal of Records ..................................... 24
5 .I Introduction ...................................... , ...................................................................................... 24
5.2 Role of the Records Management Section .............................................................................. 24
5.3 Taking Files off Departmental Premises ................................................................................. 24
5.4 Moving Files to Other Departments or Agencies .................................................................... 25
5.5 Transfer of Inactive Records ................................................................................................... 25
5.6 Sentencing ............................................................................................................................... 25
5. 7 Disposal Authorities , ............................................................................................................... 25
5.8 File Destruction and Disposal ................................................................................................. 26
5.9 Normal Administrative Practice (NAP) .................................................................................. 26
5.10 Retrieval of Archived Records ................................................................................................ 26
Chapter 6 -Public Access Arrangements ........................................................... ~ ....... 27
6.1 Introduction ............................................................................................................................. 27
6.2 Access under the Archives Act.. ........................................... .- .................................................. 27
6.3 Access to 'Open Period' Records ............................................................................................. 27
6.4 Access to 'Closed Period' Records ......................................................................................... 27
6.5 Public Access Under the Freedom oflnformation Act.. .......................................................... 28
Department of Communcations, JT and the Arts
Records Management Manual - 3'd Edition December 2004
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Chapter 1 - Recordkeeping Policy
1.1 Purpose
The purpose of this manual is to document the policies and procedures for the capture
and management of records within DCIT A.
DCIT A is committed to establishing and maintaining recordkeeping practices that
meet its business needs, accountability requirements and stakeholder expectations.
1.2 Policy Statement
DCIT A's records are its corporate memmy and are a vital asset for ongoing
operations. They provide essential evidence of business activities and transactions.
DCITA recognises its regulatmy requirements as an Australian Government agency,
and is committed to the recordkeeping principles and practices set out in the
Australian Standard for Records Management (AS ISO 15489).
DCITA is committed to implementing best recordkeeping practices and systems to
ensure the creation, maintenance and protection of accurate, comprehensive and
reliable records. All practices concerning recordkeeping within DCITA are to be in
accordance with the policies and procedures detailed in this manual.
1.3 Scope
This policy applies to all DCIT A staff. It applies to all aspects of DCIT A business, all
official govermnent records created during business transactions, and all business
applications used to create records, including Email, database applications and
websites. It will be implemented through the procedures detailed in this manna!.
1.4 Recordkeeping Systems
TRIM is DCITA's primary recordkeeping system for the management of electronic
and paper records, All ofDCITA's records are maintained either within the primaty
recordkeeping system or other identified recordkeeping systems.
In addition, there are a number of databases and software applications which operate
either outside, or are integrated with TRIM and function as recordkeeping systems.
These include: PCMS which captures ministerial correspondence and is archived into
TRIM; Amion for persmmel records and SAP, for corporate financial records. These
business systems are the only recordkeeping systems which can be used.
Records must not be maintained in network (G:\ or H:\ drive) folders or in Email
mailboxes or archive folders. These electronic storage facilities do not contain the
recordkeeping functionality needed to ensure that records will be captured,
maintained and preserved as long as required in accordance with legislative
requirements.
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Records stored as information in network folders or Email mailboxes do not provide
consistent reliable access to, and evidence of, business activities over time.
Recordkeeping systems manage the following processes:
the capture and registration of records;
the storage of records
the protection of record integrity and authenticity;
the security of records;
o access to records;
the disposal of records in accordance with approved disposal authorities; and
the collection and maintenance of metadata for records.
DCITA recordkeeping systems capture and maintain complete and accurate records
that are:
compliant with recordkeeping policies and procedures;
o adequate for the purposes for which they are kept;
o complete in content and contain the structural and contextual infonnation
necessmy to document a transaction;
meaningfitl with regards to information and/or linkages that ensure the
business context in which the record was created and used is apparent;
comprehensive in documenting the complete range of business for which
evidence is required by the organisation;
accurate in reflecting the transactions that they document;
authentic in providing proof that they are what they purport to be and that their
purp01ted creators did indeed create them; and
inviolate through being securely maintained to prevent unauthorised access,
alteration, removal or destruction.
1.5 Responsibilities
The Secretary ofDCITA shall:
authorise a Records Management Manual detailing recordkeeping policies and
procedures;
provide sufficient support and resources for ensuring a successful records
management program; and
promote compliance with DCITA recordkeeping policies and procedures.
The Chief Operating Officer, Corporate and Business shall ensure that:
strategies are developed and implemented to support recordkeeping policies and
procedures;
DCITA's recordkeeping practices comply with its obligations and
responsibilities as an Australian Govermnent agency;
o DCIT A recordkeeping policies and procedures are promulgated to all staff;
staff are informed about DCIT A's recordkeeping requirements; and
DCIT A is a site of best practice recordkeeping.
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The Records Management Team shall:
develop and maintain recordkeeping policies and procedures;
monitor staff compliance with the recordkeeping policies and procedures;
deliver recordkeeping training and provide advice to all staff;
maintain, monitor and review DCITA recordkeeping systems; and
ensure that records are kept for only as long as DCITA, government and the
public require them, as established by disposal authorities.
All Managers of DCITA staff shall:
monitor staff under their supervision to ensure that they understand and comply
with DCIT A recordkeeping polices and procedures;
support and foster a culture within their workgroup that promotes good
recordkeeping practices;
participate in recordkeeping training programs; and
make staff available for training in recordkeeping policies and procedures.
All DCITA staff shall:
understand the recordkeeping obligations and responsibilities that relate to their
work;
adhere to organisational policies, procedures and standards in keeping records
documenting their work;
o capture records into identified recordkeeping systems that provide evidence of
the actions, decisions and communications made in canying out DCITA
business activities; and
o participate in recordkeeping training programs.
1.6 Legislation
DCITA must comply with legislation relating to recordkeeping including the:
Administrative Appeals Tribunal Act 1975
Administrative Decisions (Judicial Review) Act 1977
Archives Act 1983
Copyright Act 1968
Crimes Act 1914
Electronic Transactions Act 1999
Evidence Act 1995
Financial Management and Accountability Act 1997
Freedom of Information Act 1982
Ombudsman Act 1976
Privacy Act 1988
Public Service Act 1999
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1.7 Standards
DCIT A is cmmnitted to developing and maintaining recordkeeping systems that
captnre and maintain records with appropriate evidential characteristics in accordance
with the requirements of the relevant Acts of Parliament.
DCITA is also committed to ensuring its recordkeeping systems comply with the
Australian Standard AS ISO 15489-2002 and the National Archives guidance
provided in their publication "Designing and Implementing a Record Keeping System
(DIRKS)".
All staff are also required to abide by the standards detailed in this manual.
1.8 Monitoring and Review
Compliance with recordkeeping policies and procedures will be regularly monitored.
Monitoring activities are to be carried out by Managers, the Records Management
Team and by regular audits.
This policy is scheduled for review by July 2005 and thereafter reviewed annually by
the Chief Operating Officer, Corporate and Business.
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Chapter 2 - Departmental Records and Files
2.1 Purpose
This chapter details the procedures and standards to apply to documenting the
business of the Department tluough the capture and maintenance of appropriate
records on Departmental files registered in designated recordkeeping systems.
2.2 The Nature of Departmental Records
All DCITA staff arc responsible and accountable for making and keeping good
records of their work-related activities.
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The Department accepts that not every paper, Email or multimedia document created
or received is a record that shows evidence of actions, decisions and communications
related to the business ofDCITA. For this reason, it is important that staff are aware
of what constitutes a record and must be filed in a designated recordkeeping system,
and what is not a record which can either be discarded or retained for reuse as a
reference document.
In general, if a piece of information includes or suppotts a decision, an agreement, an
approval or an authorisation, then it is a record.
Specifically, a record is any information in any format that:
a) demonstrates or is integral to the conduct of the business of the Depattment;
b) supports the decision making process;
c) details who made a decision and when it was made;
d) is required by law (including regulations) to be kept; or
e) has significant historical interest to. the community.
Records also include any information made public and upon which members of the
public rely on to make decisions, either directly relevant to the Department or
otherwise, including financial decisions and other infonnation for which the
Department may be held accountable.
Emails, papers and multimedia documents should be filed:
if the text of the message and/or any attached documents meets any of a) to e)
above;
to establish who has received the Email, document or multimedia and for what
purpose; or
if the document is a part of a consultative process.
Here are some examples of what is a record and needs to be filed:
an Email and any attaclunents which seek approval for a contract to be
ananged;
an extemal Email received from a grant recipient seeking approval to vary a
grant;
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documents on a CD submitted as patt of a tender; or
a document or authorising instmment with an original signature where
appropriate. (The originals of signed statut01y instmments should be
forwarded to Parliamentary Liaison for safekeeping and a copy of the
document should be filed.)
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Here are some examples of what is NOT a record and can be deleted or retained for
reference purposes:
drafts or working papers which are not finalised;
all staff messages about the next social club happy hour;
reference material which is reused for other purposes;
material published by other agencies which should be referenced but not filed;
duplicates of records which have already been filed;
incidental emails such as status reports and other material distributed for
information only;
administrative matters such as booking conference rooms; or
direct mail about conferences or seminars.
2.3 Departmental Files
Records are to be filed, either in paper or electronic format, onto files registered in
designated Departmental recordkeeping systems. Records are to be filed in date or
action order on a file which relates to a specific matter of Departmental business or in
the case of PCMS, SAP and A uri on, in accordance with documented business mles
and processes.
A file may cover:
the implementation of a Government program e.g. the transfer of a cultural
institution to local ownership;
an aspect of the Depattment's administration e.g. selection criteria for the
awarding of grants; or
the development of a particular policy e.g. policy considerations leading to the
establishment of a grants program or the provision of advice to a Minister.
Files are used:
to enable a successor, through reference to the files, to assume responsibility
for a particular matter from another officer thus enabling continuity of a
business activity;
for the Department and its officers to account for their actions to the Minister,
the Parliament and the public;
so that the Department can provide adequate responses under the various
administrative law statutes or where legal action is taken against the
Department or the Australian Government; or
to provide an enduring record of public administration.
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Any document to which another officer would need to refer or which has any ongoing
value to the Department should be placed on a registered file in the recordkeeping
system.
2.4 Filing Records
A file should include all the key decision points in relation to its subject matter and
who has made those decisions. It should include all the information which a decision
maker has taken into account in making a decision, including any significant options
that the decision maker considered but rejected.
There should be sufficient documentation on the file to make known the intention of
the decision maker and the basis for the decision.
The types of documents which should be maintained on files include:
incoming and outgoing correspondence including Email messages and
attachments;
minutes to the Minister or to the Executive;
legal opinions;
background material, including recommendations that decision makers take
into account when making a decision or formulating a policy;
the fonnal decisions of decision makers under delegated legislation;
draft documents, where appropriate;
discussion papers;
submissions to committees of inquity;
records of discussion detailing views expressed to, and by, parties relevant to
the business at hand;
descriptions of entitlements of beneficiaries under Depattmentally managed
programs; and
published information including any books, reports or website contents.
In each case, the decision to place a document onto a Departmental file will be
detennined by the judgement of individual staff.
Records of Meetings
The responsible officer should notmally make a record of a meeting where the
outcome represents an important pati of the information gathering, decision making or
policy formulation processes on a particular matter. Examples of such meetings
include those with State Government officials, industry representatives, trade unions,
Government Business Enterprises, other departments or agencies, legal
representatives and intra departmental govemance committees e.g. the Audit
Cmmnittee.
In certain instances, it may also be necessary to make file notes of relatively less
fonnal meetings or discussions e.g. those with Branch or Division Heads, members of
the Executive, the Minister or the Minister's staff.
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Records of Conversation/Consultation Involving the Minister
Officers may be invited to attend a meeting with the Minister or their staff to provide,
if the Minister's Office requires it, an official record of conversations or consultations
involving the Minister or a third party.
Draft records will require clearance by the Minister's Office unless that Office decides
othetwise. This is not a decision for the notetaker. It is the responsibility of the
note taker to ensure that the Departmental copy of the record is properly filed.
Telephone Conversations
A file note of a telephone conversation would be appropriate in certain circumstances.
For example, where the conversation:
is part of the information gathering process;
conveys a Departmental response to another Government agency, a staff
member, a media representative or to a client (depending on the situation, the
response may need to be confirmed in writing);
conveys to the Department a response on a particular matter;
represents a complaint from the public on an aspect of the Depmtment's
administration; or
provides significant policy or administrative direction from a senior officer or
from the Minister's Office.
If a file note is to be prepared the notetaker should inform the other party that a file
note of the conversation is being made. Participants in the conversation should be
given the opportunity to comment on the record before finalisation.
Draft Documents
It is undesirable to clutter up files with a large number of draft records, thus detracting
fiom the clarity of the decision making processes that are documented on the file. As
a generalrule, draft documents should not be placed on a file and may be destroyed
under the normal administrative practice provisions detailed in Chapter 5.
There will be occasions when it is appropriate to place drafts on file. Some examples
are:
a draft discussion paper or draft record of a meeting that has been circulated to
industry for comment or to other departments or agencies;
a draft that has been circulated widely within the Department for comment;
a draft annotated by a senior officer that indicates amplification of a
significant policy point or change in policy direction; or
a draft that notes agreement to a particular policy position or course of action
from a senior officer or from another area of the Department.
All drafts should show the file reference, date of creation and the originating officer
or area. If comments of an editorial nature are received, it is not necessary to retain
annotated drafts but a file note could indicate the originator of the connnents and the
fact that they have been incorporated into a revised paper.
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2.5 Maintaining Good Files
You should not put these documents on files:
Unimportant Records such as records which can be destroyed as a normal
administrative practice (see Chapter 5).
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Reference Material such as Books, Newspaper Clippings or Pamphlets because these
types of records include ISBN and other publishing details, they should be referenced
in the file but not attached.
Non-work related material of any kind.
Digital storage media such as Videos, COs, DVDs, floppy disks, USB memory sticks,
Zip disks, Magneto Optical disks, backup tapes, external hard drive, minidisk or any
other material received in readable digital fmmat. The contents of this media should
be filed electronically but the media itself should not be placed inside a paper file
cover.
Cabinet Submissions, Memoranda and Minutes, these documents are maintained by
the Parliamentary Liaison Section, and include:
memorandums (and drafts where it is obvious they are Cabinet memorandums,
i.e. by their fonnat or by a cover sheet);
submissions (including cotTigendums and drafts where it is obvious they are
Cabinet submissions, i.e. by their fotmat or by a cover sheet);
reports and attachments to Submissions and memorandums which have been
brought into existence for the purpose of being considered by Cabinet;
Cabinet minutes (both Committee and Cabinet minutes);
Cabinet Programs, Notices of Cabinet meetings and Business Lists.
It should be noted that copying or othetwise distributing these types of records is not
permitted.
Duplicates of records which may already be filed, this is especially important when
records are able to be filed in both electronic and paper format, only one format of a
record should be filed. Filing a record is the responsibility of the originating Branch
and filing multiple copies of these records is not necessary.
Calendars, Office Diaries and Appointment Books. These should not be placed on a
. file unless the content of a diary represents an important part of the decision-making
process. In such a case, the author should make a record for inclusion on the file.
Routine Statistical and Progress Reports. These should not be retained where the
information has been compiled and duplicated in other reports.
Zip (.zip) files or other digital files in compressed formats are not to be filed because
these type of files are containers of documents, they must be uncompressed and the
records contained within filed appropriately.
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Outlook Archive (.pst) files are not to be filed because these are containers of
documents, they must be opened in Outlook and each individual message is to be filed
appropriately.
Access databases (.mdb) or other user specific databases are not to be filed because
the databases themselves are not records. The records entered into the database and
reports produced and distributed should be filed.
Software of any tvpe (.exe) is not to be filed because it is not a record and there is no
reason to file software.
2.6 Incorrectly Filed or Missing Records
In the event that a Record is misfiled, the Records Management Section is to be
advised. Each record contained within a file forms part of an accountable official
record. The Records Management Section must record where and why movement or
removal has occurred.
If a record is found to be missing from a file without explanation, the Action Officer
to whom the file was issued at that time will be required to provide justification and
assist with accounting for the missing records.
2.7 File Numbering
Every file you create and use will have a File Number. This number provides a
unique identifier of an individual record so that it can be stored and retrieved and its
movements controlled.
The standard numbering system adopted by the Department makes use of the 'Year
and Single Number Registration' where a new numerical series recommences each
year.
Example: 2004/1234
2.8 Security Classification of Files
The classification given to a file should reflect the highest classification of the papers
that will be contained within that file and shall be in accordance with the Protective
Security Policy and the Information Systems Security Policy.
The original file security classification should be reassessed regularly to ascertain
whether it requires upgrading or downgrading. A classification may only be changed
by the officer who created the file or has the file currently marked to them or by their
General Manager.
Electronic documents can be filed where the security classification of the file is up to
'Protected' level. For documents requiring a security classification greater than this
level, you can only use a paper file. You will also need to obtain the approval of your
General Manager to create a file with a classification above 'Protected'.
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2.9 Control and Movement of Classified Files
The Department has an obligation to abide by Government policies for controlling
access to, and handling of, classified infmmation. Only those officers who have a
genuine "need to know" and have appropriate security clearance will be permitted
access to specific files. Restricting access on a "need to know" basis reduces the
likelihood of unauthorised removal, copying, alteration or compromise of a record.
Officers responsible for the custody of classified material should ensure that the
matter is stored in appropriate security containers. Under no circumstances should a
classified file be left unattended without appropriate cover. Refer to the Protective
Security Policy and the Clear Desk Policy for more information.
Classified files may be transferred between authorised officers within the Department
using the following procedures:
o Material classified TOP SECRET is to be covered and passed by hand
between officers who have the need to know. If that is not practicable, it is to
be locked in an approved case, pouch or transit bag or enclosed in two opaque
envelopes and handed to an authorised messenger for immediate personal
delive1y to the addressee or authorised representative with a classified receipt
enclosed.
o Material classified SECRET or HIGHLY PROTECTED should be passed by
hand between officers who have a need to know, enclosed in a single opaque
envelope marked SECRET or HIGHLY PROTECTED; or by use of an
approved case, and provided it is delivered by hand by an authorised
messenger with a classified receipt enclosed.
o CONFIDENTIAL or PROTECTED material should be passed by hand
between officers who have a need to know, or delivered by an authorised
messenger double enveloped with the inner envelope endorsed
CONFIDENTIAL OR PROTECTED and appropriately receipted. (Cabinet-
in-Confidence files are to be treated in the same way as information classified
at the CONFIDENTIAL level).
o All other classified material (RESTRICTED and IN-CONFIDENCE) shall be
sent in a single opaque, closed envelope and marked "TO BE OPENED BY
ADDRESSEE ONLY" with a classified receipt enclosed. (No security
classification is to be shown on the envelope).
2.10 How to Advise the Change of a Files Location
Paper records 11re maintained on files which are marked as being in the custody of an
individual staff member. You must ensure that you keep your files in a safe and
secure location in accordance with the Depmiments Clear Desk Policy.
The Records Management Section maintains the register of file locations. The officer
whose name is shown on the Recordkeeping System as having custody of a file is
responsible and accountable for that file.
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The movement register will be updated as files pass through the Records Management
Section or when notified by an Action Officer. You must inform Records
Management of the change of custody of a file, otherwise you will continue to be
responsible for the files safe keeping, custody and security.
Movement of unclassified files between officers must be notified to the Records
Management Section by sending the details via Email or by sending the file to the
Records Management Section with request for the markout to be updated.
When transferring a classified file, you should pass the file directly to the next officer
ensuring a 'Classified File Transfer Advice' slip is completed and appropriately
actioned or hand deliver the file to the Records Management Section, under cover of a
'Classified Receipt/Classified File Transfer Advice' slip.
TOP SECRET files are to be passed through the internal clearance service to the
Records Management Section, ensuring that the file is appropriately enveloped and
receipted.
2.11 File Marking Procedures
This procedure details how to correctly mark a file to ensure that its location is able to
be tracked. When you need to move a file or retum it to Records Management for
storage, you should mark the 'action record' on the front of the file to show the action
that you wish to be completed for the file.
This procedure ensures that the Department is able to identify who has had possession
or access to a file and when such access occurred. It also provides complete historical
infmmation on who may have been involved in a particular action or decision making
process.
The following procedures should be followed:
The folio on which action is required must be indicated in column 1 on the file
cover, if applicable, along with the range of folios contained within the file upon
transfer e.g. 1-47.
The name of the officer to whom the file is referred must appear in column 2
and the date of referral must be written in column 3.
When a file is no longer required for current use, you should mark column 4
before transfer.
If a file is passed to the Records Management Section be 'Put Away', you
should sign off the 'action record' with P A.
2.12 How to Create and Title a New File
Creation of files is the responsibility of the Records Management Section. This is
because careful wording of the file title is essential to make the scope of its content as
specific as possible by the use of relevant keywords, titling schemas and cross-
referencing.
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This procedure details how to create, conectly title and classify a new file. To ensure
responsible titling of files and to set and maintain suitable file titling standards, all file
titles will follow the same format:
Group/Division/Branch/File title
For example:
ARTS & SPORT- Arts & Sport- Film & Digital Content- APPLICATION
FOR CERTIFICATION OF FILM- THE MOUSE THAT ATE MY BRAIN-
PHILLIP MIDDLETON
File titles can also include the name of the Section raising the file as an option.
File titles must be specific enough to restrict the scope of the file to a particular
subject or item of business. The title must be stmctured in such a way that it will
distinguish the file from all other files of related subject.
Step 1
This step details the procedure for creating a new file:
1) Go to theE-Records pmtal on the Intranet at http://apOli!Timweb/
2) Choose the option 'Create a File'
3) Choose the 'Type of File' you wish to create, the default is 'DCITA FILE'
4) Choose the area that the file relates to, you should select your Division,
Branch and Section or just your Division and Section.
5) Key in the suggested title in accordance with Departmental standards for file
titling:
file titles should be specific enough to allow users to understand the
content without opening the Record;
good titles include names, dates, places and subject matters;
use correct spelling (Macquarie Dictionmy is the standard) and avoid
jargon;
do not use abbreviations for words e.g. govt, ctte, min, exec, rep;
do not expand approved acronyms such as those for states, territories
and countries, and commonly known names of organisations (NSW,
VIC, QLD, W A, SA, NT, USA, UK), Portfolio agencies, OECD, UN,
APEC, AG's PM& C, AGS, MYEFO, IMF;
retain ampersands in titles when in company names or organisations
(Sly & Co.);
numbers - ordinals - words should be used up to and including I 0 e.g.
First, fifth, tenth but 22nd, 40
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numbers - cardinals ~ figures should be used except for the large
numbers like thousand, Million, billion e.g. I million, 3 thousands;
express in full financial years e.g. 2003-2004 (no space between
dashes);
express in full single dates e.g. 13 September 2003;
use full names for days of the week and months (Tuesday, June); and
Version 3.2
do not use punctuation except for single apostrophe and single
quotation and also ensure spaces are between words.
5) if you require a paper file cover, select the box 'Is a paper file required'
Page 14
6) choose the security caveat to be applied, the default is 'Unclassified', please
note that you cannot create an electronic file with a security caveat above
'Confidential', if you need to create a file above this security classification,
you should contact the Departmental Security Advisor on x1404
7) choose records which are related to this file by clicking the linking button to
the right of the field to add the records
8) provide any comments or additional restrictions you may wish to apply to the
new file
9) click the Create button, this message will appear:
Your file request (as specified above) has been sent to the records area and will
be assessed soon. The file 2004/XXXXX has been created and can be used prior
to assessment.
Your file has now been created and its title and other information about the file will
be examined by Records Management Staff. !fit is necessaty to alter the title of the
file or any other caveats or conditions, Records Management will inform you.
2.13 Maintaining Complete Paper and Electronic Records
The introduction ofE-Record systems provides a new way for you to file your Email
messages and other electronic records. You now have the option of filing Email and
other electronic records onto files without the need to print out the record and place it
onto a paper file.
However, the continued use of paper as a means of distributing and storing records
requires that the Department maintains a system for managing records which takes
into account the different formats of records.
Paper Only Files where only paper records are placed onto the file --only files
with a security classification greater than "Confidential" should be created in
paper only form;
Paper/Electronic Files where records are maintained on both paper files and
electronic files, this format will be used for existing paper files that have
electronic records added to them; or
Electronic Only Files where all records are maintained in digital formats and
any relevant paper records are scanned and placed onto the electronic file.
You should note that where a file is created in both hard copy and electronic formats,
a single file number will be used. To ensure that you are able to obtain a complete
record pe1taining to an issue, it is essential that you use TRIM to search for electronic
records in conjunction with reviewing paper files.
It is expected that staff will file these records electronically using designated record
keeping systems:
Records Management Manual - 3
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all relevant Emails and attachments;
all relevant electronic documents located on the G:\ or H:\ drive which have
not been filed previously on a paper file; and
all relevant electronic documents which have been distributed or received by
CD, DVD, floppy disk, USB memory stick, Zip disk, Magneto Optical disk,
backup tape, external hard drive, minidisk or any other readable digital format.
It is expected that staff will file these records onto paper files:
all relevant records received and available in hard copy only;
copies of statutory instruments which have been signed by the Minister or
other authorised person (originals should be sent to Parliamentaty Liaison for
safekeeping);
all relevant records with a security classification greater than "Confidential"
Staff can, if desired, continue to maintain records in solely paper fonn but must
ensure that all records, especially those contained in Email mailboxes, are filed in a
timely way and are complete.
I ~
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Chapter 3 - Guidelines for Filing Email and Other Electronic
Records
3.1 Purpose
The purpose of this chapter is to detail procedures for the filing of Email messages
and other Electronic Records within DCITA. All staff are expected to abide by these
guidelines and use good judgment to meet your record keeping responsibilities and to
ensure that DCITA complies with its legislative obligations.
3.2 Principles
Three principles underpin these guidelines:
1) Email messages and attached documents that record the evidence of actions,
decisions and communications for the business of DC ITA are to be captured
and maintained in the official DCIT A E-Records System.
2) The staff member responsible for creating and distributing an Electronic
Record or the staff member who receives an external Email is responsible for
the filing of that Electronic Record.
3) Email and other Electronic Records must remain available, accessible,
retrievable and usable for as long as a business need exists or as long as
legislative, policy and archival requirements exist.
3.3 E-Record Systems for Filing Email
DC ITA uses TRIM Context as it primary paper and electronic recordkeeping system.
TRIM Context is the system used by the Department to generate file numbers and
record the titles and locations of paper files. It is being deployed to all staff to enable
filing of Email messages and other electronic records. TRIM Context enables much
more sophisticated searching for records through its indexing functions and will store
records in digital multimedia formats.
You should note that where a file is created in both hard copy and electronic formats,
record pertaining to an issue; it is essential that you use TRIM to search for electronic
To reiterate, the introduction ofE-Records Systems is a major change to
Departmental record keeping practices and it cannot be assumed that an electronic or
hard copy file represents the complete and accurate record about an issue. To assure
yourself that you have reviewed all the records on a file, you should always search
both the electronic and hard copy files.
Records Management Manual - 3'
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3.4 Responsibility of Senders for Filing Email
To ensure that all filing is assigned to a responsible officer, a fundamental principle to
be observed when filing Email and other electronic records is that the sender of an
Email (or the author of a document) is responsible for filing of that record and
subsequent replies in accordance with these guidelines.
This means that if you create, send or forward an Email, you are responsible for filing
any replies to your Email and for any changes made to documents attached to that
Email. In all cases, documents attached to Email messages are regarded as part of the
Email message and are to be filed with the Email message.
Your Email filing responsibility extends to the filing of any:
Email message created and sent by you;
replies received to an Email sent by you and any reply you subsequently make
or recetve; or
Email message forwarded by you to anyone else
These guidelines will help you to determine who is responsible for filing Email and
other electronic documents. They are not intended to be hard and fast rules but if the
guidelines are followed, your filing responsibilities will be met.
3.5 Responsibility of Receivers of External Email
To ensure that all filing is assigned to a responsible officer and because Emails which
are Departmental records can be received from extemal Email addresses, a secondaty
principle to be observed when filing Email is that the receiver of an Email from an
extemal Email address is responsible for filing that Email and subsequent replies and
any on-forwarding of that Email in accordance with these guidelines.
This means that if you receive an Email from someone outside the department which
is addressed to you, then you are responsible for filing that Email and any attachments
in their original form.
Your Email filing responsibility extends to the filing of Emails addressed to you on
the 'To" line of an Email or which has been sent to you as a Blind Carbon Copy
(BCC) which is ieceived from outside the Department i.e. from a non 'dcita.gov.au'
Email address. You do not have to file any Email messages addressed to you on the
CC (Carbon Copy) line of an Email.
It is recommended that if the Email is addressed to more than one Depattmental staff
member, the most junior staff member on the address list is responsible for filing the
message. Branches and Sections can make their own local arrangements as long as
the record is filed in a complete and timely manner.
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3.6 How to File Your Email
This procedure details how to file your Email from Outlook using folders. It
describes how to link a folder to a file, file Email messages and attachments, and
check that a message is on a file.
Step 1
Create a folder in your Outlook mailbox and name it the same name as the file title
you will be using. You can also use existing folders if they can be linked to a relevant
file. It's a good idea at this stage to move relevant Email messages from your Sent
Items and your Inbox to this folder. (If you haven't created a file for these records,
See Chapter 2 for instmctions on how to create a new file).
Step 2
This step involves linking the folder you have created and named to the relevant
TRIM file:
1. select the folder you want to link to the TRIM File
2. select the 'TRIM' Button in Outlook
3. then choosing the 'Current Folder' option (this option will also show the
name of the folder you are linking to the TRIM file)
4. choose the option 'Create link', the TRIM Folder Properties dialog box will
open.
5. choose the option 'Record Type' and select the option 'DCITA File' (this
option is used for all primary Departmental files, and you will only need to
do this once as it will be saved as the default choice)
6. choose the option 'Container' and open the 'Search for Records' dialog box,
from this screen, you can search for a file in many ways. If you know the
Record Number' (also known as the file number), insert that number in the
field 'Equal To' and click OK. If you don't know the file number, chose
another option for searching for the file.
7. your Outlook Folder has now been linked to the relevant file.
Step 3
This step involves filing your Email into the file you have linked to your Outlook
Folder:
1. select the folder that you have linked to the TRIM File
3. then choosing the 'Linked Folder option (this option will also show the
name of the folder you are linking to the TRIM file)
4. then choose 'Clear Backlog'
5. the 'New Record DCITA Policy and Administration Document' TRIM
filing dialog box will open
6. you can now choose a new Record Title for this document, or you can
choose to leave it as the default.
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7. click OK, TRIM will ask you to confirm the document number (this
number has the same purpose as folio numbering on a paper file), Click
OK
8. all your documents will now be filed. You can see that this has occurred
because 'TRIM' will be shown against the Subject of the message.
Step 4
This step involves assuring yourself that your Email has been filed correctly and
deleting Email messages from your linked folders:
1. select an Email message in the folder that you have linked to the TRIM File
3. choose the 'Mail Items' and then choose 'Open Record 'PAD!NN!NNNN' in
TRIM'
4. the filed document will open and be able to be read and viewed.
5. when you are satisfied that your Email has been co!Tectly filed in TRIM, you
should then delete the Email from your Outlook Mailbox. It is recommended
that you clean up your mailbox and do your filing on at least a weekly basis.
These procedures provide basic guidance about how Email is to be filed. There are
many ways of using TRIM for this purpose, please feel free to use TRIM as much as
possible to help you with your filing responsibilities.
3.7 How to File a Document on the G:\ or H:\ drive
The procedure details how to file a document which you have saved to you G:\ drive
folders or into your H:\ drive. This procedure can also be used for documents which
are received via CD, DVD, floppy disk, USB memory stick, Zip disk, Magneto
Optical disk, backup tape, external hard drive, minidisk or any other readable digital
format.
Step 1
Create a folder on your G:\ or H:\ drive and name it the same name as the file title you
will be using. You can also use existing folders if they can be linked to a relevant file.
(If you haven't created a file for these records, See Chapter 2 for instructions on how
to create a new file).
Step2
This step involves linking the folder you have created and named to the relevant
TRIM file:
1) select the folder you want to link to the TRIM File
2) using a right mouse click, choose the option 'Send to'
3) choose the option "TRIM", the "Process Folder" dialog box will open
4) within in the 'Process Folder" dialog box, choose 'check in'
5) the 'Check in Document' dialog box will open, choose the option
"Attach to the Record"
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6) search for the file you wish to attach the document to, click OK when
you have found it.
These procedures provide basic guidance about how electronic documents are to be
filed. There are many ways of using TRIM for this purpose, please feel free to use
TRIM as much as possible to help you with your filing responsibilities.
3.8 How to Retrieve Documents on an Electronic File
The continued use of paper as a means of distributing and storing records requires that
the Department maintains a hybrid system of managing both paper and electronic
records. This means that any file created will, regardless of whether it has a paper file
cover or is an electronic file, have the same file number. To ensure that you are able
to obtain a complete record pettaining to an issue, it is essential that you use TRIM to
search the electronic file record in conjunction with the paper file.
To retrieve and view documents on a file in TRIM you can search for either the file or
the document itself. The TRIM search window, Find Records- Filtered, has three
pages to allow you to define the search and the way the results are displayed. These
are:
Search
Sort
Filter
to set the type of infotmation you wish to base your search on. There are
11 broadly defined search characteristic sets available.
defines the view of the results retumed to you. There are three sort levels
with 14 characteristics available per level.
allows you to set the record types you wish to search for, either file or
document or a range of both.
The three most cotmnon searches are:
1. Word Searches:
-Title Word
-Notes Word
- Document Content
- TRIM E-Mail Message Contents
2. Date Searches:
- Date created- you can select a range of dates from and to
3. Location and People Searches:
- Home Location
- Owner Location
-Creator
-Contact
-Addressee
Search criteria can be multiplied and combined in many different ways to allow you
to avoid searching the whole database and improve the quality of the retums.
Records Management Manual- 3rc Edition December 2004
Version 3.2
Chapter 4 - Guidelines for Filing Paper Records
4.1 Purpose
Page 21
The purpose of this chapter is to detail procedures f01' the management of Paper
records within DCIT A. All staff are expected to abide by these guidelines and use
good judgment to meet your recordkeeping responsibilities and to ensure that DCIT A
complies with its legislative obligations.
4.2 Principles
Three principles underpin these guidelines:
I) Papers and documents that record the evidence of actions, decisions and
communications for the business of DCIT A are to be captured and maintained
in the official DCIT A Recordkeeping System.
2) The staff member responsible for creating and distributing a paper record or
the staff member who receives a paper record is responsible for the filing of
that record.
3) Paper records must remain available, accessible, retrievable and usable for as
long as a business need exists or as long as legislative, policy and archival
requirements exist.
4.3 Paper Recordkeeping Systems
DCITA uses TRIM Context as its primary paper and electronic recordkeeping system.
TRIM Context is the system used by the Department to generate file numbers and
record the titles and locations of paper files.
You should note that where a file is created in both hard copy and electronic fonnats,
record pertaining to an issue, it is essential that you use TRIM to search for electronic
To reiterate, the introduction ofE-Records Systems is a major change to
Departmental record keeping practices and it cannot be assumed that an electronic or
hard copy file represents the complete and accurate record about an issue .. To assure
yourself that you have reviewed all the records on a file, you should always search
both the electronic and hard copy files.
4.4 Responsibility of Senders for Filing Papers
To ensure that all filing is assigned to a responsible officer, a fundamental principle to
be observed when filing Paper records is that the author of the document is
responsible for filing of that record and any subsequent revisions to that record in
accordance with these guidelines.
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This means that if you author and distribute a paper record, you are responsible for
filing any revisions to the paper record.
These guidelines will help you to determine who is responsible for filing paper
records. They are not intended to be hard and fast rules but if the guidelines are
followed, your filing responsibilities will be met.
4.5 Responsibility of Receivers of Paper Records
To ensure that all filing is assigned to a responsible officer and because paper records
are can be received fiom outside the Department, a secondary principle to be observed
when filing paper records is that the receiver of the papers from an external
organisation is responsible for filing those papers and subsequent replies and any on
forwarding of those papers in accordance with these guidelines.
4.6 How to Attach Papers to a File
This procedure details how to file your paper records. It describes the best practices
to be used when filing.
Step 1
Determine if a file exists which is similar to the subject or topic of the record you
wish to file. If you are satisfied that a file does exist, then obtain the file and place the
papers neatly and in chronological order on that file with the folios conectly
numbered. (If you can'tfind a relevant file, see Chapter 2 of these guidelines for
instructions on how to create and title a new file.)
Step 2
Once you have obtained the file for your papers, place the papers on the file neatly
and in chronological order correctly folioed. You are advised to do this on a regular
basis. Do not leave paper records lying around unfiled for weeks and months at a
time, create a file and file early to ensure the record is complete and up to date.
Where practical and appropriate, only original papers should be attached to a file,
particularly where the papers carry authorising signatures. If copies of key documents
are to be filed, it is good practice to annotate these documents indicating that they are
that the papers on the file are copies.
Each paper attached must be sequentially folio numbered in the top right hand corner.
Folio Numbering is used as an audit measure to establish the completeness of a paper
record. It also provides an administrative aid that facilitates specific folio
identification and cross referencing within a subject. Folios can only be removed
from a file by authorised Records Management staff.
Folios shall appear in date order within a file. Exceptions are permitted where sound
reasons exist. For example a group of folios, which together represent a "compound
document" referencing a single event or action (e.g. the minutes of meeting with
attachments tabled at the meeting) may be grouped together out-of-date order. These
folios should remain together at one point in the file even though individually they
may have different dates.
Records Management Manual - 3'd Edition December 2004
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You should not incorporate earlier papers or documents within a file and then re-folio
that file. In this situation, the papers and the relevant file should be returned to the
Records Management Section for necessary administrative action.
4.7 Custody and Storage of Paper Files
Records Management provide appropriate storage facilities for holding files on which
current action is completed or where action is pending or suspended.
Files are considered to be "on loan" to you for current actions and should only be held
for the period you need to complete those actions. You should not retain files that are
not required for immediate action or reference.
4.8 Closing a Paper File
'File Closure' shall occur only when the subject is continuing and the current file
cover is no longer able to hold further papers (maximum 200 folios).
Once action has been completed on a particular subject, even if the file contains only
a single item of correspondence, it will be Put Away (PA) and not closed.
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Chapter 5- Transfer, Sentencing and Disposal of Records
5.1 Introduction
This chapter details procedures for the transfer, sentencing and disposal of records.
Transferring records is the process of sending records to, or receiving records from,
another Australian Govertunent agency. This usually occurs following changes to
Administrative Arrangements Orders.
Sentencing and disposal of records is the process of examining the contents of
individual record items or files against authorised Disposal Authorities and
documenting the results. This process may result in the immed.iate destruction of
records or files, the destruction at a specified date in the future of records or files or
permanent retention and transfer of records or files to the Archives.
5.2 Role of the Records Management Section
The Records Management Section is responsible for managing the transfer,
sentencing and disposal of records.
These processes ensure the efficient and economical management of Australian
Govemment records by:
accurate recording of the current location of records;
the prompt destruction of records no longer needed for legal, fiscal,
administrative or other reasons; and
identifying and preserving those records which must be retained permanently
or for a designated period.
5.3 Taking Files off Departmental Premises
If it is necessary for you to remove files from the Department you must infonn
Records Management that the file is no longer on Departmental premises.
To facilitate file movement, you should provide a list of the files numbers to the
Records Management Section before the files are removed. This is essential where
files are to be carried on official visits interstate or overseas.
In cases where files are removed from the Department, you are responsible for
ensuring security and safe handling of the information contained in the files. Files are
not to be left at the offices/locations visited and no papers are to be removed from the
files during the course of the visit.
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5.4 Moving Files to Other Departments or Agencies
If it is necessmy for files to be transferred to other departments or agencies, you
should infmm the Records Management Section of the details of files which are to be
transferred. Under no circumstances should you transfer a file to another depmtment
of agency without the approval and knowledge of the Records Management Section.
The Records Management Section will liaise with the receiving agency to ensure the
files are conectly registered, titled, received and stored.
5.5 Transfer of Inactive Records
All Departmental files that are at least three years old and no longer active are
transfened to the Department's secondary storage repository.
5.6 Sentencing
Records or files transferred to the Departmental secondary storage repository will be
sentenced by the Records Management Section within the provisions of Disposal
Authorities and the Archives Act.
5.7 Disposal Authorities
A Disposal Authority is a legal document approved and issued by the National
Archives. with the agreement of the Department responsible for the record series.
These authorities control the orderly disposal and transfer of Departmental records for
disposal or destruction.
They provide the basis for the systematic sentencing and disposal of Australian
Govemment records, identifies the classes of records, and nominates for how long and
where these records need to be retained.
The Department uses two types of Disposal Authorities. These are:
General Disposal Authority (GDA)
A series of authorities which have been developed and issued by the National
Archives. They describe classes of records which are common to all
Australian Government agencies and prescribe how long and where those
records are to be kept. They are issued after an evaluation and appraisal of the
administrative, research, financial, legal and historical value of the records has
been detennined.
Records Disposal Authority (RDA)
In addition to the GDA, the Department needs an RDA to sentence records
which are unique to its function. RDAs describe classes of records and
prescribe how long and where the records are to be kept. In consultation with
the relevant Division, a detailed appraisal of records is conducted by the
Records Management Section. A draft authority is then produced. The draft,
along with the appraisal report, is forwarded to National Archives for
evaluation and authorisation.
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5.8 File Destruction and Disposal
Most records or files do not need to be kept beyond that point in their life cycle where
the infonnation they contain loses its significance. Straightforward case files and
other files dealing with eve1yday administration often only need to be kept for a short
time after action is completed.
Only records which have been sentenced against an approved RDA or GDA may be
disposed of or destroyed when the specified retention period has been reached.
Where files sentenced for disposal or destruction can be clearly attributed to a
Division, the Records Management Section will provide the Division with a list of the
files to be destroyed. If the list is satisfactory, the Chief General Manager must
certify that the records can be disposed of, or destroyed.
When the Chief General Manager has certified that a record can be destroyed,
Records Management will complete the 'confirmation' certificate that accompanied
the list of files and obtain the approval of the Chief Operating Officer, Corporate and
Business for the final destruction. Records Management will then make the necessary
anangements to dispose of, or destroy the files.
5.9 Normal Administrative Practice (NAP)
The Archives Act includes a 'normal administrative practice' provision which allows
for some destruction without formal authorisation.
Unimportant records which can be destroyed as a Normal Administrative Practice
(NAP) should not be placed on file. Destmction as a NAP usually occurs because the
information is duplicated (e.g. hand-written draft or information copy), is unimportant
( eg. telephone message slips), is of short term facilitative value (e.g. compliments
slips, or test data from business systems), or any combination of these.
NAP provisions cannot be used to destroy records which document the significant
operations of an agency and which may have long term value for research. Neither
can it be used to allow the destmction of records which document the rights and
obligations of the Govemment or private people.
Under no circumstances shall an officer destroy a registered Departmental file under
the NAP provision.
5.10 Retrieval of Archived Records
If you need to retrieve a record from the Archives, you should Email the Records
Management Section with the details.
Files retrieved from Seconda1y Storage or National Archives would have in most
cases undergone sentencing to determine their retention value. When accessing these
files, you shall not add new papers to, or in any way alter a file, except to update
the 'action record'.
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Chapter 6 - Public Access Arrangements
6.1 Introduction
The Department's records may be accessed at various times in their life cycle. This
access is controlled through legislation which is listed in Chapter I.
6.2 Access under the Archives Act
The access provisions of the Archives Act apply to all Australian Government records
regardless of whether the records are in the custody of the National Archives or the
Depmiment.
Public access to Australian Government records is available under the Archives Act at
two levels:
access to records older than 30 years ('Open Period'); and
special access to records less than 30 years old ('Closed Period') for specific
purposes.
6.3 Access to 'Open Period' Records
Applications for public access to records in the 'Open Period' (older than 30 years) are
lodged in the fiTst instance with the National Archives. Prior to release, these records
are examined by the National Archives, in consultation with the Department, to
determine which material is exempt from public disclosure.
The Records Management Section will co-ordinate the fulfilment of an access request
with the National Archives.
Departmental records which may be determined to be inappropriate for public access,
either in part or in full, must be justified with a statement of reason in accord with
Section 40 of the Archives Act. The exemptions may be claimed for reasons detailed
in Section 33 (1) of the Act.
Where the records which cany exemption claims are the subject of a public access
request, the applicant will be provided with details of the Depmiment's statement of
reason by the National Archives.
6.4 Access to 'Closed Period' Records
Departmental records which are in the 'closed period' (e.g. records which are less than
30 years old) can be subject to Special Access under the provisions of the Archives
Act. A decision to approve or deny Special Access is discretionmy and will normally
require a decision by the Minister. Under certain circumstances the Secretary may
exercise this discretion.
3l
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Special Access is usually used by people preparing major works for publication which
are considered to be of national importance. Special access provides individuals
access to records which are not normally available under the provisions of the
Freedom of Information Act or the Archives Act.
Approving authority for special access is retained by the Minister or by way of a
formal Instrument of Delegation, the Secretmy. Decisions concerning approval or
denial of special access must be notified through the Records Management Section to
the Director-General of the National Archives of Australia.
6.5 Public Access Under the Freedom of Information Act
The FOI Act gives members of the public a right of access to documents held by the
Australian Govemment and its agencies.
The Act sets out certain types of documents which may not be released (called exempt
documents). Generally exempt documents are those which must be kept confidential
to protect essential public interests, personal or business information.
If the Department decides not to give access to a document it must give a statement of
reasons for the decision and advise the applicant of their appeal rights.
The Department 1nust advise an applicant within 14 days that it has received the
request. In addition, the Department must advise the applicant within 30 days of a
decision of access.
Further information is available from the Department's FOI Coordinator.
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