rm policy department of health final · capturing records in the departmental records management...

Appendix 2

Department of HealthGovernment of Western Australia

RECORDS POLICY and PROCEDURES(Non-Patient records)

2004No Lon

ger A

pplic

able

With

drawn A

pril 2

015

Department of Health Non-Patient Records Management Policy 2004_____________________________________________________________

RM Policy Final - File 95-00175 2

Document Control

Date Version Notes Author30/06/2003 1.0 Initial draft Principal Information Officer28/10/2003 2.0 Working group

updatePrincipal Information Officer

3/02/2004 Final Principal Information Officer

Previous Editions: Records Management Policy (Non-Patient Information)OP 0983/97 28 October 1997Revision due: November 2005Format: Microsoft Word 97

Authorisation

This policy has been authorised by-

Mike DaubeDirector GeneralDepartment of Health

Date-

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



CONTENTS

1. Purpose 4

2. Policy Statement 4

3. Legislation and Standards 4

4. Scope 5

5. Responsibilities 5

6. Correspondence Capture and Control 6

7. Classifying Indexing and Registration 7

8. File Titling Conventions and Numbering 7

9. File Storage Retrieval and Distribution 8

10. File Creation and Closure 9

11. Electronic Records Management 10

12. E-mail Management 11

13. Website and Intranet Management 14

14. Metadata Management 15

15. System Management 15

16. Migration Strategy 15

17. Disposal 15

18. Disaster Preparedness and Management 18

19. Monitoring and Review 18

20. Authorisation 21

21. Glossary 21

22. Resources 23

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



1. Purpose

This policy establishes a framework of accountabilities, responsibilities andthe statutory basis for the implementation and ongoing improvement ofrecords management programs throughout the Department of Health. As allDepartmental staff and contracted services are involved in creating,maintaining and using government records (both paper and electronic) it isimperative that everyone understands their records managementresponsibilities.

A records management program is essential to the core business of theDepartment. Good recordkeeping supports all communication and decision-making, and it is fundamental to business management.

Good recordkeeping enables the Department to:• recall the detail of what was done or what was decided;• prove what was done or decided (in some cases to prove it in court);• provide evidence of business transacted electronically;• distribute information among colleagues working in different places and

to make information available to future employees;• ensure the integrity of information assets;• make decisions consistently and formulate policy on a solid basis of

knowledge;• save money through continual access to previous research rather than

having to recreate information resources; and• save money by not having to waste time looking for records known to

exist but unable to be found.

2. Policy Statement

Recorded information is a major component of the Department of Health’scorporate memory and as such is a vital asset that supports ongoingoperations, and provides valuable evidence of business activities over time.Departmental records protect the interests of the organisation and theGovernment as well as the rights of employees, clients and citizens.

The Department is committed to implementing best practice for themanagement of it’s records and recognises the statutory requirements of theState Records Act 2000 and State Records Principles and Standards 2002.

3. Legislation and Standards

The Department of Health operates in the following regulatory environmentthat impact on records management:

Legislation

Criminal Code Act 1913Electronic Transactions Act 2003Evidence Act 1906

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



Financial Administration and Audit Act 1985Freedom of Information Act 1992Public Sector Management Act 1994State Records Act 2000State Records Principles and Standards 2002

Standards

Australian Standard 15489 – 2002 Records Management

4. Scope

This policy applies to all records (as defined in the State Records Act 2000) ofthe Department of Health, regardless of medium and includes information orbusiness systems acquired or built to support all types of business activities.It also applies to the employees of the WA government health sector,ultimately reporting through to the Minister for Health. This includes theDepartment of Health (DoH) entities, public hospitals, public community healthservices, public pathology laboratories, public health and mental health clinicsand services, public nursing homes, DoH contracted services and any otherWA government health sector organisational entities.

5. Responsibilities

The Director General has a duty under Section 29(n) Of the Public SectorManagement Act 1994 (and subject to the State Records Act 2000) to ensurethat the department keeps proper records. The Director General hasauthorised this policy accordingly.

The Public Sector Management Act 1994 also establishes general principlesof public administration and management for all employees. Section 7(h)states: “proper standards are to be maintained at all times in the creation,management, maintenance and retention of records”. Section 9(b) deals withprinciples of conduct of public sector bodies and employees and states:“ employees are to act with integrity in the performance of official duties andare to be scrupulous in the use of official information, equipment andfacilities".

The Deputy Director General (Corporate and Finance) is responsible forproviding central support and resources to facilitate a successful recordsmanagement program and to promote compliance with this policy.

Health Service Executives will similarly provide support and resources andpromote corporate compliance with this policy for their area of responsibility.

All managers and supervisors will monitor staff under their supervision toensure they understand and comply with this policy and the requirements ofthe State Records Act 2000.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



All records are corporate assets and as such do not belong to individualemployees. All employees of the department or contractors that createrecords (including Health Services) shall understand their recordsmanagement responsibilities that relate to their position and adhere todepartmental policies and procedures. These include, but are not limited tocapturing records in the departmental records management system and notdestroying any records unless authorised by an approved retention anddisposal schedule.

The Manager Information Resources and Principal Information Officer atRoyal Street are responsible for providing expert advice and consultancyservices to facilitate compliance with this policy and to satisfy therequirements of the State Records Act and subsidiary legislation.

Operational Records Managers and staff from relevant records administrationareas are responsible for the efficient daily operation of records managementsystems and provision of services to agreed standards for users within theirorganisations.

6. Correspondence Capture and Control

Overview

This policy relates to the activities of receipt, registration, processing anddispatch of all official mail.

6.1 Mail Management

Productivity of the department depends on information flow. As paper basedmail remains the prime way of sending and receiving information, it isessential that mail is handled in a planned and consistent manner.

Policy

Mail processing, dissemination and dispatch is to be dealt with in a timelymanner with the aim of ensuring the efficient flow of correspondenceemanating from sources both internal and external to the Department.

Procedures

Mail Collection

Mail enters the Department via:• Australia Post/MailWest on a daily basis• Commercial courier services• Hand delivered

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



Mail Processing

As an example of best practice, mail (other than invoices or data entry formsor ephemera) should be opened as early as possible, letters date stamped,scanned and registered in the Departmental records management system andforwarded to action officers. This includes private and confidential mail andmail addressed to individuals (based on legal opinion that individualemployees are employed as agents of the department and information sent tothem in the normal course of business will be of corporate interest) – seeState Records Office Public Records Policy 5 Mail Management.

Action correspondence is forwarded electronically to action officers and isaccompanied by either the loose original document or attached to therelevant file.

Mail distribution

As a guide, external mail, files and journals should be distributed once in themorning and once in the afternoon and simultaneously collect outgoing mailfor sorting and despatch.

Mail despatch

All outward mail must be placed in envelopes and be sufficiently addressedfor delivery before being placed in outwards trays. Staff are encouraged touse accurately addressed ‘internal’ envelopes to circulate internalcorrespondence.

6.2 Classifying Indexing and registration

Overview

This policy relates to receipt and registration of records via postal mail, handdelivered items and facsimiles.

Policy

All government records (other than ephemera) should be registered, classifiedand captured in the departmental computerised records management system(or other interim systems) pending electronic document records managementsystem (EDRMS) roll out. Scanning of paper based records is recommendedas best practice in records keeping.

Procedures

Incoming correspondence should be classified by assigning it to a relevant filetitle taken from the corporate thesaurus. Where no file exists, a new oneshould be created. The correspondence should be registered into the recordsmanagement system by assigning appropriate metadata such as author,addressee, date created, subject, security, location etc.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



The correspondence should then be forwarded to an action officer as ascanned image and with the original also attached to a hard copy file. Whereno scanned images are created only hard copies should be sent. Should theDepartment implement a full electronic document and records managementsystem only the document images would be sent to action officers.

6.3 File titling conventions and file numbering

Overview

The Department has developed a functions based business classificationscheme (records management thesaurus) based on the Keyword AAA modelused in NSW and the Australian government. All files should adopt the filetitling conventions prescribed in the corporate thesaurus.

Thesaurus terms can be broadly categorised as top terms or keywords,descriptors and non preferred terms. Top terms classify information into broadfunctional areas comprising either housekeeping functions or core businessfunctions. It is within the context of these top terms that descriptors areapplied to create appropriate storage and retrieval strings. Descriptors areterms that may be used in accordance with keywords to further describe anddefine subject areas. Non preferred terms are terms that should not be usedin the titling of files.

Each file is hierarchical in structure ranging from broadest term (top term) toprogressively narrower terms (descriptors). Preferably a file title should bemade up of at least one and no more than four descriptors added to a topterm.

Policy

All files should be classified using the corporate thesaurus and allocatedunique identification numbers.

Procedures

Files may only be created by an authorised officer who is cognisant withrecords management procedures. Documents and other record types such ase-mail, storage boxes, images etc may be assigned free text titles, providedthey are linked to an official file. All records should be automatically allocatedunique numbers by the records management system, if available.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



7. File Storage Retrieval and Distribution

Overview

This policy relates to the accessibility and storage of active and inactivecorporate records in the custody of the Department.

Policy

Records should be stored and maintained in conditions that ensure that theyare accessible and retrievable in appropriate timeliness for as long as they areneeded. The method of storage employed must be consistent with the recordsphysical characteristics and security arrangements. Files should be distributedfrom their registered location to authorised users in a timely manner. As anexample of best practice, files should not to be taken home or left in motorvehicles.

Procedures

The storage conditions for active and inactive records must take into accountthe purpose of the records, their use and informational value, and theirphysical form and composition.

Storage conditions should be designed to protect records from unauthorisedaccess and theft. There should be minimal risk of damage from vermin andnatural disaster such as fire, water and mould.

Records that have been identified as having evidential/legal, permanent orcontinuing value should be stored in conditions that satisfy minimumstandards for permanent records. The State Records Commission guidelineon Storage of State Archives Retained by Government Agencies sets outoptimal storage conditions.

Movement and distribution of files should be controlled and linked to therecords system. The movement of files is tracked by use of fixed or portablebar code readers that update the corporate data base and form an importantpart of the metadata for individual records.

Highly sensitive and vital records should be kept in a locked mobile storageunit or secure storage cabinet giving them a higher level of security thanwould be provided with normal access controls for the building.

Where files are taken from the office it is the individual officers responsibilityto ensure the safety and confidentiality of those files are protected at all times.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



8. File Creation and Closure

Overview

This policy relates to the creation and use of physical files to organise andhouse corporate records to support the business activities of the Department.

Policy

Corporate records should be created so as to accurately capture corporateactivities and functions.

Procedures

New files should be created when:• A new function, subject, activity or project is commenced; or• There is no appropriate existing file; or• An existing file becomes too large (approximately 200 folios) and a new

part or volume is required.

File covers should be used to protect records held within the file and providean area in which pertinent information relating to a particular topic or function(as specified by the file title) can be stored together for ease of access.

Each file is allocated a unique file number, which is used as a key for retrievaland to signify where it is to be physically stored within its home location.Prefixing may be used to further distinguish between file series. Colour codedlabels should be attached to the side tab of each file for ease of representingthe file number.

Files should be closed when they become too large to physically manage anda new volume is issued or as a result of periodic culling of the series where amatter has been inactive for three years.

9. Electronic Records Management

Overview

The definition of a record in the State Records Act 2000 includes informationthat has been stored electronically and the State Records Standard 2 (RecordKeeping Plans) mandates policies and procedures that cover records in allformats. The Department of Health should manage and keep its electronicrecords in the same manner and using the same policies as its paper basedrecords.

Over the last ten years the environment of government administration haschanged. The pervasive use of electronic systems have profoundly affectedthe way government agencies do business. These changes have made goodrecordkeeping both more difficult and more significant. For many years lack ofattention to recordkeeping has been mitigated by the existence of long-

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



standing, well known practices for the use of paper records. Paper recordsalso have a robustness that enables them to survive poor recordkeepingpractices. In contrast, the sometimes haphazard use of electronic systems forcommunicating and storing recorded information is more fragile.

Although electronic systems offer many advantages, the Department mustensure that these records are captured, survive as long as they are needed,and can be read and understood. For example, important e-mail messagesmust be captured into corporate recordkeeping systems where they can bepreserved securely and found easily. Databases containing case records withlong-term value need to be migrated forward with hardware and softwarechanges so that the records are still accessible.

In addition, the move to conducting government business online relies on thecreation of accurate records to ensure that online business is conductedefficiently. Such records provide evidence that the transaction occurred andessential details about it. Nonexistent or poor quality records will preventonline business being conducted successfully and may involve loss ofrevenue and poor defence against litigation.

Policy

Electronic records generated or received in the course of business at theDepartment of Health are government records and must be captured,maintained and accessible for as long as they are required to meet legislative,accountability, and business obligations. Recordkeeping in the electronicenvironment is a responsibility shared by all public sector employees,contractors and other personnel undertaking business activities on behalf ofthe Department.

Information Systems, business applications and communication systems, andthe business processes which they support should be designed, modified orredesigned so that adequate records can be created and captured as aroutine part of undertaking business activities. [AS ISO 15489 2002]

Volatility of electronic records requires special consideration for theirmanagement over the long term – the Policy for Long Term Management ofElectronic records: http://intranet.health.wa.gov.au/Records/implement.cfm

Procedures – Word processing documents, spreadsheets and electronicpresentations

Electronic documents are generally textual documents created by wordprocessing and spreadsheet applications. They may also be documents thatcombine graphics, text and sound into single records. Currently, the vastmajority of electronic documents are text documents that are printed anddistributed in hard copy. Until such time as the Department introduces auniversal electronic document and records management system, it isessential that action officers attach such documents to official hard copy filesor send them to records services for attachment. The use of lever arch files,

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



manilla folders or four drawer filing cabinets that are not part of the officialrecords management system is not encouraged.

If the document has been printed in hard copy and there is no furtheradministrative use for the electronic version it can be deleted from the system.If the electronic version has further administrative use as a template orreference copy, or contains elements that cannot be reproduced in hard copy(for example formulas, compound documents) it should be retained for aslong as required in a shared directory that is backed up. The structure ofshared directories should be (as a minimum) the same as the top terms foundin the thesaurus.

Procedures – Databases, information systems and business applications

Electronic records must remain available, accessible, retrievable and useablefor as long as a business need exists or as long as legislative, policy, andarchival requirements exist. Electronic records should be as tamper proof ascurrent technology allows. Systems and facilities should be secure fromunauthorised access or modification, irrevocable loss of records and data as aresult of error or equipment failure, deliberate or inadvertent corruption ordeletion.

Storage media such as magnetic tapes should be tested on a regular basis toprevent degradation. Records of continuing value stored on magnetic tapesshould be copied before the tapes are ten years old. Floppy discs and opticaldiscs (CD’s) may be subject to degradation over time and to ensure mediumterm accessibility, information should be transferred to file servers or regularlymigrated to new discs.

Current State Records policy is that digital records of archival (ie. long-term)value will remain in agency custody. Contemporary thinking in terms of digitalpreservation strategies focuses on either migration or emulation. Migration isthe process of converting a digital object from one data format to another, forexample word 97 to Adobe’s Portable Document Format (PDF). Emulation isan approach which keeps the source digital object in it’s original data formatbut recreates some or all of the processes enabling the performance to berecreated on current computers. The National Archives has released a greenpaper entitled “ An approach to the Preservation of Digital Records” and isavailable on their web site athttp://www.naa.gov.au/recordkeeping/er/digital_preservation/summary.html

The Department of Health is in the process of developing a policy for the longterm management and preserve records made in data bases and businessapplications. Electronic records including databases should only be disposedof in accordance with an approved retention and disposal authority.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



10. E-mail Management

Overview

E-mail systems are provided primarily for business communications, but theyare typically viewed as informal communication having little bearing onrecords management issues. The management of e-mail is, however, animportant part of organisational accountability. E-mail is used for a variety ofpurposes including approvals and authorisations, policies and directives,negotiations and instructions – all of which need to be included in theDepartment’s records keeping structure.

E-mail is popular because it:

• is instantaneous• very low cost means of communication• is less intrusive than a phone call or a personal visit• one person can send the same message to a number of people• generally less formal than official paper based memos.

It is precisely because of the mostly informal, conversational style of e-mailthat staff typically do not appreciate the legal and administrativerecordkeeping responsibilities they are required to follow. Messages (andattachments) that document:-

• what happened• what was decided• what advice was given• who was involved• when it happened• the order of events

should be either printed out on paper and filed or saved electronically.

Policy

E-mail forms part of the business communications in the Department ofHealth. E-mail is a government record under the State Records Act 2000 andthe Freedom of Information Act 1992. E-mail messages that provide evidenceof the Department’s business and ongoing activities should be kept asdepartmental records.

Procedures

Where messages are of a personal nature such as lunch appointments orfrom a list server or an internal broadcast message, they are considered to beephemeral in nature and need not be saved.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



Staff who originate an internal e-mail message are responsible for saving thatmessage. This applies even if no reply is expected. Where the message issent to multiple recipients and different replies are received all replies shouldbe saved. Staff who receive an external e-mail are responsible for saving thatmessage. Executive personnel have the opportunity to pass the filing to theirpersonal assistants.Where an e-mail message results in multiple exchanges the originator shouldensure that only the final important decision or policy is saved. E-mailattachments must either be printed to hard copy or saved electronically.

11. Website and Intranet Management

Overview

Premier’s Circular 2002/14 provides a policy directive for WA Governmentagencies in establishing and maintaining web and intranet sites. Thepublication ‘Guidelines for State Government Web Sites’ is available from theOffice of E Government.

A key component in the guideline is that web sites are managed inaccordance with the provisions of the State Records Act 2000.

Agencies are awaiting specific whole of government guidelines for themanagement of web sites from the State Records Office. In the interim,departments are encouraged to operate in accordance with the standardsdeveloped by the National Archives.

Policy

The Department of Health acknowledges that web and intranet sites need tobe managed in accordance with the requirements of the State Records Act2000.

Procedures

The National Archives policy and procedures can be found at:http://www.naa.gov.au/recordkeeping/er/web_records/policy_contents.html

Various methods may be employed in capturing and preserving web basedactivity. These include:

• “snapshot” pictures taken at regular intervals;• copying the web site with each significant change;• keeping copies of web pages that are new or have been changed; and• maintaining a log of changes to the web site.

The procedures for managing records on the corporate web site is currentlyunder development by the Department of Health.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



12. Metadata Management

Overview

Recordkeeping metadata will facilitate the use and management of records.Particularly in electronic applications, metadata can be a key means ofimproving our system and helping it to meet recordkeeping requirements.

At a basic level, metadata is ‘data about data’. In the Web environmentmetadata is principally used to improve the retrievability of web basedresources and to facilitate e- commerce initiatives.

In the paper and electronic records keeping environments, metadata is usednot only to facilitate discovery and business activities, but also to enableadequate identification, control and description of records in a manner thatallows them to serve as reliable and useable evidence through time.

The State Records Office is developing a WA Recordkeeping MetadataStandard.

Policy

The Department acknowledges the importance of capturing record keepingmetadata.

13. Systems Management

The Department has a set of polices that govern the provision, use andmaintenance of information technology systems and facilities. These include:

• Systems Information Architecture Policy• Telecommunications Architecture Policy• Information Technology Planning policy• Information Systems Development and Implementation Policy• Computing and Telecommunications Systems Facilities Management

Policy• Information Security Policy• Data Management Policy

The Department also has a set of standards that govern the provision, useand maintenance of information technology systems and facilities. Theseinclude:

• Change Management Standard• Service Level agreement Standard• Problem management standard• Database Administration Standard• Structured Cabling Standard• Network Access Standard

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



• Information System Development Methodology• Logon Standard• Acceptable Use – Computing and Communication Facilities Standard• Office Systems Software Standard for Personal Computers• Logical data Models Technical Standard• Process Model Technical Standard

All of the above policies and standards are available on the Departmentsintranet : http://intranet.health.wa.gov.au/Records/implement.cfm

A data custodian policy is under development which will compliment theabove policies.

14. Migration Strategy

The State Records Office Public Policy No 8 - Policy for the OngoingManagement of Electronic Records Designated as Having Archival Value setsout responsibilities of agencies to manage the migration process of electronicrecords including those of long term value. Migration must not result in a lossto Health’s business or diminution of responsibilities for recordkeeping.

The Department of Health has developed a policy for the Long TermManagement of Electronic Records which is available at:http://intranet.health.wa.gov.au/Records/implement.cfm

15. Disposal

Overview

The effective disposal of records is essential for the efficient operation of anyrecords system. Failure to dispose of records regularly and appropriatelyresults in improper use of office space, equipment and staff. All recordscreated, received or held by the Department of Health can only be disposed ofin accordance with one or more of the following approved authorities:

• General Disposal Authorities (published by the SRO) including Financialand Accounting records, Human Resource records and Administrativerecords

• Agency Functional disposal schedule; and• Agency Ad Hoc Disposal authorities.

A retention and disposal schedule is a systematic and comprehensive listingof categories, or series of records created by an agency that plans the life ofthose records from creation to ultimate disposition. A retention and disposalschedule is essential for best practice records management as it provides themost efficient program for the ongoing management of records.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



An approved schedule allows for the timely disposal of records through:

• regular transfer of inactive, non-archival records to secondary offsitestorage,

• regular transfer of permanent records to archival storage, and the• destruction of records which are of no further use in a prompt, efficient

and legal manner.

The schedule will also enable an agency to:

• Locate all of its records;• Identify and describe those records; and• Establish retention periods.

The State Records Act provides for penalties of up to $10 000 for theunauthorised destruction of records.

Policy

Records of the Department of Health may only be disposed of accordancewith approved retention and disposal authorities. This will ensure that disposalis in accordance with business needs and meets the requirements of theState Records Act 2000.

Procedures

Each Health organisation should nominate an officer who has delegatedauthority to dispose of records in accordance with exiting retention anddisposal schedules and ad hoc schedules from time to time.

Records disposal should be undertaken as soon as the records are no longerrequired for administrative purposes. Regular disposal and the consequentdestruction or transfer of semi active records to intermediate storage or to anarchive enables office space to be used more effectively and by reducing thetotal volume of records, enables active records to be accessed quickly andeasily. It is good practice to conduct regular (ongoing or quarterly) disposalrather than allowing records to accumulate over time.

Destruction of records requires careful management particularly whereconfidential or sensitive records are concerned. Responsible managersshould ensure:• that records are sealed in containers before they leave the premises so

that they cannot be accidentally released;• disposal of records is a discreet practice and should not be included with

other types of waste or garbage disposal;• use only an approved contractor and where practicable, seek certificates

of destruction.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



Disposal of patient records is governed by the Patient Information Retentionand Disposal Schedule and managed by health information managers atindividual health services or hospitals. This is done on an ongoing basis.

The Patient Information Retention and Disposal Schedule is available at:http://intranet.health.wa.gov.au/hic/Statistics/hiconsu/PIRDSV22000.pdf

Certain types of records and information can be destroyed as part of normaladministrative practice without reference to records services. The GeneralDisposal Authority for Administrative Records sets out the terms andconditions based on the following:

• records duplicated elsewhere (eg drafts or information copies)• unimportant (eg telephone message slips)• short term facilitative value (eg compliments slips address lists etc)• unsolicited advertising material

The general disposal Authorities for Financial and Accounting records andHuman Resource records also allow for processing without reference torecords services.

The State Records General Disposal Authorities are available at:http://www.sro.wa.gov.au/government/disposal.html#general

16. Disaster Preparedness and Management

Overview

State Record Standard 2 (Record Keeping Plans) sets out six Principles andminimum compliance requirements. Principle 4 – Preservation makesorganisations and their employees responsible for preserving governmentrecords for as long as required by law and business requirements. A majorthreat to the preservation of records is the risk of disaster, natural orotherwise.

Organisations are required to establish and maintain a disaster managementplan for the records of the organisation. A disaster management plan forrecords is a plan setting out the strategies and activities for mitigating risksand consequences from disasters, for preparing an appropriate response toand recovery from them.

Within the context of the health portfolio, this high level policy establishesbroad guidelines only and comprehensive disaster preparedness andrecovery plans will need to be developed within each health serviceorganisation. This policy is particularly focused on paper based records, asthey are less likely to have offsite back-up procedures than electronic records.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



Records fall into three main categories which are:

Vital Records

Vital records are those which are essential to reconstruct and continue theoperations of the agency. Vital records are usually associated with legal andfiscal matters such as original policy documents contracts and agreementsetc.

General Records

There is a wide range of general records within a workplace. RecordsMangers must be aware of theses records disposal status. Permanent andlong term temporary status records will have a high salvage priority. Theremay also be many records affected by a disaster that have short termtemporary status which would have a lower salvage priority or may already bedue for destruction.

Special Records

Records such as computer tapes, discs, microfilm, photographic prints andnegatives have a high risk of loss in a disaster and will need special salvageand processing procedures.

Policy

The Department of Health acknowledges that the risk of a disaster (natural orotherwise) poses a threat to the preservation of records. Health organisationswithin Department of Health WA will develop and implement strategies toidentify potential risks, mitigate the potential loss of information and establishappropriate business continuity planning.

Procedures

It is desirable that organisation emergency management response alsocoordinate aspects of Disaster Preparedness and Recovery plans forrecords. The following positions as appropriate to location be assigned withthe preparation, planning and management of records in the event of adisaster.

• Building Manager - coordinate emergency response teams• Records Manager - records management priorities• Health Information Mgr – patient records• Manager Information Systems - computer systems requirements• OH & S Representative - safety issues

Assessment of Risks and Impacts of Disasters

A risk assessment of potential threats to records should be undertaken.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



A risk assessment can be made by following these four steps:

• Identify possible threats to records;• Establish the likelihood of each threat occurring;• Determine the likely outcome if each threat occurred;• List the threats in order of probability.

Potential risks fall generally into the following categories:

• Natural hazards – flood, fire, cyclonic wind or earthquake;• Criminal or Terrorist Attack;• Industrial Accidents;• System Failure.

It is essential that Records Managers be aware of the types of records held inthe workplace, their priority and location. It is also essential that the agenciesvital records receive the highest salvage priority.

Quick-Response Strategies for Stabilisation and Recovering Records

Records disaster and recovery response and training should be put into placeby health organisations within the Department of Health and should beaccessible for after hours call out and be trained in response and recoverytechniques. To ensure efficient recovery of records it is desirable thatappropriate equipment and materials are readily available. As a guide suchitems could include:

• Blotting paper, paper towels, sponges;• Freezer bags, mops, buckets, rubber gloves;• Plastic bins, electric fans, plastic sheeting etc• Masking tape, string, torches and extension cords.

In the event of a major disaster where extensive water or fire damage isevident it is may be expedient to seek the services of a diaster recoveryspecialist. Advice can be sought from the State Records Office andpreservation services section of the Library and Information Services of WA.

17. Monitoring and Review

Monitoring and measurement of records management operations will help toensure the ongoing effectiveness of these operations and will help rectify anyday to day problems, duplications or inefficiencies. Given the size andcomplexity of the Health portfolio, monitoring and measurement will need tobe scalable. Depending on business needs, reporting requirements andorganisational priorities, compliance monitoring will assess:• The entire portfolio records management operations• The recordskeeping activities of a specific business unit, or• The operation of a specific recordkeeping system.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



The effectiveness and efficiency of this policy document will be monitored onan ongoing basis through audit processes and on an ongoing basis using keyperformance indicators. The Department’s annual report will includeinformation about compliance with the requirements of the State Records Actand the Recordkeeping Plan. This policy will be reviewed every two years.

18. Authorisation

This policy has been authorised by the Director General, Department ofHealth WA.

19. Glossary

Archive

The whole body of records of continuing value of an organisation or individual.Sometimes called the ‘corporate memory’

Disposal

Means a range of processes associated with implementing appraisaldecisions. These include retention, deletion or destruction of records in orfrom recordkeeping systems. They may also include the migration ortransmission of records between recordkeeping systems and the transfer ofcustody or ownership of records.

Ephemeral Records

Records that have no continuing value to the Department and are generallyonly needed for a few hours or a few days. They may not need to be placed inthe official recordkeeping system (eg brochures, fliers not produced by theDepartment)

Government Record

Means a record created or received by-a) a government organisationb) government organisation employee in the course of the employee’s

work for the organisation, but does not include an exempt record.

Keyword AAA

the records thesaurus of administrative terms developed by the NSW StateRecords Office. Stands for Accuracy, Accessibility and Accountability.

Record

means any record of information and includes-a) any thing on which there is writing or brailleb) a map, plan, diagram or graph

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



c) a drawing, pictorial or graphic work, or photographd) any thing on which there are figures, marks, perforations or

symbols, having a meaning for persons qualified to interpret theme) anything from which images, sounds or writings can be reproduced

with or without the aid of anything elsef) any thing on which information has been stored or recorded, either

mechanically, magnetically or electronically.

Records

Information created, received, and maintained as evidence and information byan organisation or person in pursuance of legal obligations or in thetransaction of business. (AS ISO 15489 Records Management)

Records Context

The context in which records were created and used in the course of businessshould be apparent. To document decisions and activities, it is necessary tobe able to show who did what, where, when, how, and why. In some kinds ofrecords the content and the contextual information (who took part in thetransaction, when, as part of what larger activity) are separate data elements,which must both be maintained. Thus it is not enough to keep just the contentof electronic mail messages: contextual data, such as the name and positionof sender and recipient, date and time of sending, whether and when it hasbeen read, copies sent to other people, and links to replies must also becaptured and maintained.A record must also carry the contextual linkages to other records that arenecessary to understand the transaction in which it was created and used.The links between records which document a sequence of activity must bemaintained.

Records Content

The content is the substance of the record, what it is about - it’s subjectmatter.

Records Structure

The structure of a record, that is, the relationships between the data elementscomprising a record, provides an essential part of it’s meaning. In a letter, forexample, structural data includes the different components of the letter(addressee, data, text, sender, etc.) and the order in which they appear. Ifthey appear in a different order, or if some do not appear at all, the letter willmake no sense. Maintaining structure is a particularly important requirementfor electronic records.The use of standard templates for the creation of documents provides acommon structure, which is easier to maintain than multiple structures.Records in the form of electronic documents must be maintained in wayswhich retain layout, formatting and other elements of the document'sstructure. Thus it is not enough to retain a richly formatted document as an

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



ASCII file: it must be retained in a format which enables the record to berendered with it’s structure intact. The information content and structure ofelectronic records must be retained so that they may be re-constructed,particularly when migrating them to new software environments.

Recordkeeping

a) creating, maintaining, indexing, organising, storing, preserving, securing,retaining and managing records;

b) maintaining, preserving, securing and retaining the means by which anyinformation on a record can be recovered. [State Records Act 2000]

Recordkeeping Metadata

Data describing context, content and structure of records and theirmanagement through time.

Records Management

Is the field of management responsible for the efficient and systematic controlof the creation, receipt, maintenance, use and disposition of records, includingprocesses for capturing and maintaining evidence of and information aboutbusiness activities and transactions in the form of records. [ISO AS 15489]

Recordkeeping Plan

Means the records keeping plan approved in respect of the organisationunder part 3 of the State Records Act.

Thesaurus

Means a complex alphabetical listing of all terms derived from a classificationscheme. Such tools act as a guide in the allocation of classification terms toindividual records. In a thesaurus the meaning of the term is specified andhierarchical relationships to other terms shown. Often referred to as abusiness classification scheme.

20. Resources

Australian Standard AS ISO 15489-2002, Records ManagementState Records Act 2000State Records Principles and Standards 2002Public Sector Management Act 1994Freedom of Information Act 1992National Archives of Australia http://www.naa.gov.auNew South Wales State Records Office http://www.records.nsw.gov.auOffice of E-government : http://www.egov.dpc.wa.gov.auQueensland State Archives http://www.archives.qld.gov.auState Records Office of WA http://www.sro.wa.gov.au/src/policies.html

No Lon

ger A

pplic

able

With

drawn A

pril 2

015



21. Further Information

For further information please contact the Principal Information Officer on92224418.

No Lon

ger A

pplic

able

With

drawn A

pril 2

015