Corporate records
provide evidence of business activities of the organisation;
contain information which is of administrative, legal, fiscal, evidential or historical value and is not recorded elsewhere on the public record;
document important communication and/or a transaction between employees or between
document the rationale behind policy, senior employee decisions and directives.
Ephemeral records
distributed to staff for information or reference purposes only, such as copies of:
drafts and rough notes (except where they provide changing decisions that may be used to provide evidence of fact)
personal messages and announcements not related to official business
Personal records
be retained in any corporate system such as a shared drive Includes:
personal records of staff members e.g holiday photos;
ephemeral records that offer little or no ongoing value to the organisation; and
copies of circulars, mailing lists and advertising materials.
Record Titling
Staff should ensure meaningful titles are used when creating or capturing records.
A record title should reflect the following:
subject of the record, e.g “financial committee minutes February 2015”
if the record is a draft, version or finalised, e.g - parent contact list-v1, parent contact list-final); and
any other unique aspect of the document, e.g - author, addressee & date.
MANAGING RECORDS IN SCHOOLS 6
The School File Plan
The School File Plan provides a consistent classification structure that allows some flexibility It is designed to provide an efficient and effective way of managing school records
This consistent approach will reduce the time spent by staff learning new filing systems and
The School File Plan classification system consists of three levels:
Business Function is the top-level and broadest term The School File
Plan is broken into 18 Business
Business Activity is the second-level term and more specific than the Business Function Activities are always related to the Business Function they fall under.
The Descriptor is the narrowest term and is created as required by staff in the school The descriptor is used to divide records into manageable pieces.
Records should be classified into the School File Plan according to their business function and activity.
Scope Notes
Scope notes are essential for understanding the appropriate classification of Business Functions and Activities They assist users in verifying the suitability of their selected classifications and guide them to potentially more relevant keywords For a comprehensive overview of the School File Plan's Business Functions and Activities, along with detailed scope notes, please refer to the School Classification and Subject Index.
Business Function Scope Note Example:
Utilize this framework for comprehensive curriculum development, encompassing planning, design, implementation, and evaluation, as well as for individual study units This includes essential documents such as correspondence and reports for each syllabus, design specifications, and proposed courses When necessary, be sure to specify the course title.
Business Activity Scope Note Example:
Use for a range of subjects which develop general vocational and life skills which are readily transferable from one vocational area to another.
Descriptor Titling
To enhance organization within the school, it's crucial to establish a consistent and meaningful titling system for descriptor folders Electronic folders should mirror the titles of their hardcopy counterparts to ensure clarity Additionally, maintaining a master list register of the school file plan will aid staff in locating files efficiently and minimize the risk of duplication or misfiling.
At a minimum, the title of a file should describe the subject matter of its contents and the period of time the contents cover.
File Numbering
The School File Plan utilizes a numerical system for identifying and locating files, promoting the organization of similar documents in close proximity This numerical approach simplifies sorting processes and significantly reduces the chances of misfiling.
The Business Function and Business Activity folders provide the initial number with the
Descriptor folder (third-level) providing the final component of the file number.
Sequential numbers are also used to distinguish between different volumes of the same file When a file becomes too large, create a new volume The first file is marked “V1”, the second
Examples of File Titles Using the School File Plan:
850 STUDENT MANAGEMENT > 867 SPECIAL EVENTS > 867.1 Faction Carnival 2012 - D7YALA
400 FINCANCIAL MANGEMENT > 403 BUDGETING > 403.1V2 Budget 2014 - D2YALAudit
800 STAFF DEVELOPMENT > 804 TRAINING > 804.2 RM Finance Training 2013 to 2015 - D7YALA
Feedback
To enhance the School File Plan, please send your suggestions for new keywords and descriptors to the Manager of Corporate Information Services at recmanhd@education.wa.edu.au These recommendations will be evaluated during the regular review process.
Managing Hardcopy Files
Files in a school setting can take various forms, including manila folders, lever arch files, ring binders, boxes, or file covers with tabs It is essential that all files are labeled according to the School File Plan and included in the school's master list for effective file tracking To enhance organization, file covers should ideally feature tabs for color coding and clips for easy attachment of documents.
A file label may be glued to the front of the file cover irrespective of the type of file cover An
Date Closed (last action date) 21 December 2015
Retention & Disposal Destroy 7 years after last action
Utilizing color coding on file covers enhances the quick identification of files, helps maintain proper filing order, and reduces the chances of misfiling Additionally, color-coded number labels effectively indicate file numbers.
A hardcopy file can be utilized until it reaches capacity, regardless of the time taken If it fills up quickly, a new volume should be created, designating the original file as Volume 1 and the new one as Volume 2 It is essential to update the file label accordingly To signify that Volume 1 is closed, a Volume Closed sheet should be placed in the folder, marking the start of its retention period.
Files can be efficiently stored in lateral filing cabinets, which save space and time in refiling and retrieval compared to vertical cabinets Additionally, metal cabinets are favored over wooden ones to minimize the risk of damage from fire or pests.
Provision must be made for files containing sensitive/confidential documents to be housed in lockable storage with restricted access.
Suppliers of Storage Boxes and Filing Equipment
Schools should refer to the CUA for available suppliers.
Files primarily utilized by specific user groups should be stored in their designated work areas The school's file register must clearly indicate the locations of all hardcopy files Regardless of their storage locations, all files must adhere to the School’s Retention and Disposal Schedule, which can be accessed on the Records Management IKON page.
To ensure easy retrieval of hardcopy files in schools, it is essential to document their physical movement This can be achieved through various systems, including handwritten logs, card-based borrowing methods, barcode systems, or electronic spreadsheets like the School Master File List.
It is recommended that the following details be recorded when files are borrowed from their normal location:
the title and full name of the person or the department having possession of the file; and
sign out and sign in with dates noted.
All incoming hardcopy correspondence in a corporate setting must be registered and tracked to ensure proper documentation This registration process serves as proof that a record has been created or received within the record-keeping system, enabling efficient retrieval when needed.
For correspondence requiring registration the following details should be recorded:
file number to which the correspondence was attached.
Always consider the subject matter when filing correspondence.
Managing Electronic Records
An "Electronic Record" refers to any document generated or received by an employee that exists in binary format and necessitates the use of computer hardware and software for interpretation and comprehension.
Examples of electronic records include:
Electronic records are susceptible to alterations and deletions, making it crucial to establish the authenticity of documents during disputes Proving that the version of a document captured is identical to the original sent or received is essential for maintaining integrity and trust in electronic communications.
Schools must evaluate the risks associated with storing corporate records electronically without an electronic document and records management system This includes assessing the safety and reliability of various storage options such as S:\ drives, home drives, portable drives, C:\ drives, Microsoft Outlook folders, and cloud storage solutions.
To mitigate the high risk of loss, security breaches, or unauthorized tampering, schools should prioritize printing and filing important records in official paper-based files The significance of each record must be carefully considered before deciding to print and store it.
Schools must print and file all records designated as ‘State Archives’ as these records are to be kept in perpetuity (see Appendix 7 for Archival Records).
For ease of management it is recommended that schools utilise the School File Plan folder
Schools must ensure that the records being deleted are the only available copy of that record or ensure that all copies, including any electronic records, are destroyed simultaneously.
Guidelines on how to title records are covered in section 3.4of this document.
In a network drive directory structure, document names can be tailored to the specific subject matter of the document, rather than having to match the titles of the sub-directories, which are based on the School File Plan.
NOTE: When naming an electronic document, avoid using the name of an existing document
Identically named documents cannot be saved onto the same sub-directory without one document overwriting the other.
To effectively manage sensitive electronic documents, organizations should implement access control on shared drive folders or consider transitioning to physical media stored in hardcopy folders Relying on encrypted and password-protected files is not recommended, as it complicates access continuity during staff transitions.
Example of School File Plan folders on a network drive:
Disaster Management
In the event of a disaster where records are affected, please contact the Corporate Information Services Help Desk either by email Recmanhd@education.wa.edu.au, or telephone (08) 9264 4867.
Also refer to Appendix 9 of this document for a copy of the Disaster Management Plan The Plan provides assistance where immediate action is required.
RETENTION AND DISPOSAL PROCESS FOR INACTIVE RECORDS 12
Retention & Disposal Schedules
The Retention and Disposal Schedule for School, College and Campus Records is designed to provide consistency for records disposal actions across all Department of Education schools, colleges and campuses
The Schedule grants legal authority to prevent the premature destruction of records that violate legal, financial, and public administration standards It also ensures the identification and preservation of records that are integral to the State's archival heritage, while promoting efficient and cost-effective management of records and associated resources.
Records not covered by the Schedule
Records that cannot be sentenced via the Schedule, mainly human resources, financial and general administrative records, are likely to be covered by the
General Disposal Authority for State Government Information (GDASG).
The retention and disposal schedules applicable to all Department records can be found on the Intranet here
How to Read a Retention & Disposal Schedule:
The Retention & Disposal Process
There are four actions that can be performed against a record when it is no longer active:
Destroy now The record is ready for immediate disposal as it has been inactive for a period longer than the minimum retention period
1 List the records due for destruction on the List of Records for Destruction Appendix 1
2 Have the list for destruction approved by the school Principal or Manager, Corporate Services using the destruction approval memo Appendix 2
3 Destroy hardcopy records using a CUA approved destruction service Country schools can shred, burning or burying are not acceptable methods of destruction The destruction list must note the method, be signed and dated by the destroyer and counter-signed and dated by the supervisor.
4 Destroy electronic records in a way that ensures they cannot be recovered.
5 If used, ensure receipt of destruction certificate from destruction service
6 Collate destruction list, approval memo and the destruction certificate (if used) File in School File Plan file 551 – retain for life of agency.
The record can be destroyed but needs to be held in interim storage until it has passed its minimum retention period
1 Close the file with a closed volume sheet Appendix 4
2 Box file according to destruction date and create box list to be attached to front of box Appendix 3
3 Store records in an appropriate location taking into consideration security, safety, potential damage, ease of access and environmental conditions to ensure no unwarranted access/damage to records while in storage Metro schools can utilise the CUA for external storage solutions.
Archive The record is identified as archival and is never to be destroyed In the future it will be transferred to the State
Records Office of WA and enter the public access domain.
1 Close the file with a closed volume sheet Appendix 4
2 Label the file as “Archive - Never to be Destroyed”
3 List records that are to be transferred Appendix 5 3.1 If the school has been invited to submit records to the School Archives Collection Program it can make arrangements to transfer the records to Central services Contact the Records Management Help Desk on Ph: (08)
If your school has not yet received an invitation to join the School Archives Collection Program, it is essential to store the records in a secure location When boxing the files, make sure to clearly label the contents on the front of each box for easy identification.
Retain The record must be retained locally for the life of the agency
1 Close the file with a closed volume sheet Appendix 4
2 Store the records in a secure and safe location If the files are being boxed ensure that the contents are clearly labelled on the front of the box.
It is essential to keep a separate copy of all records stored, as these copies will act as a backup in case of premature destruction due to natural disasters or other unforeseen events.
Archival Records
Refer to Manage archives at your school for information about archiving records at schools.
Maintenance of Archival Records
Before archival records can be sent into central services they must be stored properly The State RecordsOffice provides guidance on the correct storage of archival records.
Access to State Archives held by the State Records Office
Before 2001, numerous schools submitted their records to the State Records Office (SRO) You can explore the list of these records through the publicly accessible Aeon Database available online at https://sro.wa.gov.au/.
Schools wishing to access records from the SRO should contact them directly on 9427 3600 Any records on loan from the SRO should be registered in the school File Tracking System.
CLOSING OR AMALGAMATING SCHOOLS 16
Closed School – Transferring Records to CIS
Process instructions for transferring the custody of closing school records can be found at Appendix 8.
Amalgamated Schools
During school amalgamations, it is essential to transfer the records of the amalgamated schools to the new school’s custody, as maintaining separate systems or merging them is not considered best practice.
1 Transfer all records both closed and current to the new school
Do not remove file covers, renumber, change file titles or in any way destroy the identity of those records.
2 Close all old and current records of the subsumed school/s
3 Remove if required only documents within a recent date range from the closed files and attach them to the newly created file to continue the function.
4 Print and file final copies of corporate electronic records including emails in appropriate hardcopy files.
5 Make cross-references on the file covers of both old and new records This will provide easy retrieval and establishment of continuity for the business functions and activities
6 Create new records as required to continue current functions, using the file covers, pathways, logos, numbering and titling system of the new school.
7 Process records according to the instructions detailed in section 5 of this document
Records will need to be assessed to determine whether they can be destroyed now or in the future or need to be retained as archives.
For further assistance please contact the CIS Helpdesk via email recmanhd@education.wa.edu.au or telephone: (08) 9264 4867.
Effective date Last update date Version no Ref No Notes
Approved by A/Manager Corporate Information Services.
29/11/2019 As above Updated the definition of Significant Records to read Corporate Records as per Records Management Policy and Procedures effective 03/12/2019.
28/1/2021 As above Update to disposal templates to reflect two-stage authorisation
APPENDIX 1 – LIST OF RECORDS DUE FOR DESTRUCTION
Date Records were Destroyed: Box/Bin No:
*All fields must be completed – the School File Plan number must be noted and the Retention and Disposal Schedule and category number used Schools will use either the
General Disposal Authority for State Government (GDASG 2013-017) or the Functional Retention and Disposal Schedule for Department of Education School, College and Campus
Records (FRDSSCCR 2007005) The One-Stop Reference Sheet will provide guidance on what schedule and category number has been used.
Disposal File Title Date Range Date Due for
017; 13.1) FINANCIAL MANAGEMENT – ACCOUNTING – Deposit Account (hardcopy & electronic) 2006 to 2008 2015
File Title Date Range Date Due for
APPENDIX 2 – MEMORANDUM FOR DESTRUCTION APPROVAL
Subject: REQUEST FOR APPROVAL TO DESTROY SCHOOL RECORDS
Please find attached the lists of records scheduled for destruction according to the Retention and Disposal Schedule for School Campus and College Records (RD200705) and State Government Information (2013-017) To proceed with the destruction process, kindly review the listings and sign and date this memorandum to approve the necessary actions.
You should not authorise records for disposal if they:
are still current, in use, or topical
are subject to a current Freedom of Information application
are still needed for a formal inquiry, such as a Parliamentary Inquiry or Royal Commission
are still needed for auditing or legal purposes
Currently, all records related to children, including student files, are subject to a disposal freeze This measure is implemented in line with the recommendations from the Royal Commission.
Institutional Responses to Child Sexual Abuse If there are any records you wish to retain please annotate the lists providing a review date and reason for retention).
Please return this memorandum and listings to: {Name}
Forward this page and the list of records due for destruction, to recmanhd@education.wa.edu.au for checking and authorisation before approval by principal and destruction.
(On behalf of the Manager Corporate Information
Position Title Coordinator RKP Implementation and Support
School or Business Unit to which the records pertain
File Number & Title Date Due for Destruction
File Number & Title Date Due for Destruction
DO NOT PLACE ADDITIONAL PAPERS ON THIS FILE
(Date of the latest record in the file)
APPENDIX 5 – LIST OF ARCHIVAL RECORDS FOR TRANSFER
Name of School: Date of Transfer: Transferred to:
Plan No File Title Date Range
APPENDIX 6 – STUDENT ENROLMENT RECORDS HELD ON THE SCHOOL INFORMATION SYSTEM (SIS)
According to the State Records Act (2000), all records classified as archival must be transferred to the State Records Office of Western Australia Specifically, the Retention and Disposal Schedule for Department of Education records indicates that student enrolment records hold archival value and must be preserved rather than destroyed.
The Student Information System (SIS) is not compliant with Records Management standards, and due to the lack of an electronic records and document management system for schools, enrolment records must be maintained in hardcopy format Ultimately, these records are required to be submitted to the State Records Office of Western Australia, which exclusively accepts physical documents.
Please follow the following steps in producing the report:
At the end of the school year, generate the SIS report for all students who have completed their attendance Please consult the SIS procedures to ensure accurate report production.
Print the report (this will list the various student enrolment details)
File the report under the 859 category of the School File Plan e.g., 859/nn STUDENTS – ENROLMENTS – Enrolment details of students who left [name of school] in 2007
Ensure that the file is kept as an archival record and maintained at the school until you receive further instructions from the School Archives Collection Program within Corporate Information Services (CIS).
Transfer the records to CIS when notified.
Keywords Activity Descriptors Free Text (File Titles Allocated by the School)
ADMINISTRATION ACCOUNTABILITY School Histories (not published)
Principal’s diaries (only to be provided where diaries contain significant school matters not recorded elsewhere, not to include student case material or if they only contain routine appointment details)
107 ADMINISTRATION MEETINGS School Strategic Planning & Policy Meeting (high level only)
Include only school developed policies and procedures which apply to a number of schools
Avoid including specific school-based policies or procedures, such as those related to classroom management, homework, or internet usage, as these are categorized as school-based process documents Additionally, refrain from incorporating any policies created by Central services.
111 ADMINISTRATION PROGRAMS Planning & development of major school based programs, including unique Curriculum
Development (not originating from Central or Regional Office)
155 COMMITTEES SCHOOL School Decision Making Group, School Council or School Board
203 COMMUNITY RELATIONS COMMUNITY PARTICIPATION School organised/coordinated and participated in community based projects
207 COMMUNITY RELATIONS MEDIA Media statements released by the School or articles published in the local papers
210 COMMUNITY RELATIONS SPECIAL EVENTS Events which are significant to the School’s history e.g School Centenary, visits by Head of
603 ORGANISATIONAL DEVELOPMENT SCHOOL School Strategic Plan, School Development Plans
859 STUDENT MANAGEMENT ENROLMENTS Enrolment Cards & Forms/Admission Registers , SIS Archive Report (Restricted Archives)
865 STUDENT MANAGEMENT MSB Punishment books (Restricted Archives)
866 STUDENT MANAGEMENT SCHOLARSHIPS Scholarship winners (not annual awards)
867 STUDENT MANAGEMENT SPECIAL EVENTS Significant student achievements e.g in State or National sports, winning major awards
DISPOSAL PROCEDURES FOR RECORDS AND ARTEFACTS FROM CLOSED SCHOOLS
Corporate Information Services (CIS) in Central services will manage closed school records and organise storage when a decision has been made to close a school.
School staff responsible for closing must contact Corporate Information Services for guidance on storage requirements They can reach out via email at recmanhd@education.wa.edu.au or by calling 9264 4867 CIS will offer advice on the necessary procedures for the proper disposition of school records.
Under the State Records Act 2000, it is mandatory for schools to dispose of government records in compliance with this legislation Government records encompass any documentation, regardless of format or media type, generated or received by public officers during their official duties This includes various types of records such as enrolment documents, correspondence files, financial statements, database entries, admission cards, attendance reports, school journals, and student reports.
Records from closed schools must be in accordance with the following: l Functional Retention and Disposal Schedule School, College and Campus Records; and l General Disposal Authority for State Government Information
(Administrative, Human Resource and Finance Records)
cover transportation cost of empty boxes to schools; and
pay transportation cost of boxes from schools to CIS in Central services; and
sort, separate and box records into the categories listed below using the relevant retention and disposal schedule.
The next section should be read in conjunction with the Section 5 of this manual which details procedures for the boxing and storage or destruction of records.
Active records are to be sent to the Host School(s) E.g Student files.
3.2RECORDS WHICH CAN BE DESTROYED IMMEDIATELY
As part of their closure procedures, schools are tasked with the destruction of records that have reached the end of their designated retention period, in accordance with the approved retention and disposal schedules.
3.2.1 Once destroyed, place the list of destroyed records, principal’s approval letter and Certificate of Destruction in the school’s folder titled Information Management Send this folder with other records requiring temporary storage to CIS.
3.3.1 Contact CIS Helpdesk either by email recmanhd@education.wa.edu.au or telephone 9264
3.3.2 Print corporate documents from network drives and email folders if not printed already and attach them to hard copy subject files.
3.3.3 Box records in accordance with their destruction dates and ensure the box is labelled with the contents.
3.3.4 Ensure each box weighs no more than 15kg Records should fit firmly but not be too tightly packed.
3.4.1 Identify and locate archival records
3.4.2 Some archival material takes the form of Journals or Notebooks These items should be listed on the Box Content List form, (e.g ADMINISTRATION – ACCOUNTABILITY - School Journal 1981-1987), as part of the consignment being forwarded to CIS.
3.4.3 Print archival documents from network drives and email folders if not printed already and attach them to hard copy subject files.
3.4.4 Print SIS State Archives Report from the School Information System (SIS) if this has not been done previously Refer to the SIS Manual for instructions on printing the SIS State Archives Report from SIS
3.4.5 Box records in the storage boxes supplied by CIS with details of records contained on each box.
3.4.6 Write ‘A’ on the side of the boxes containing archival records.
4.1 Email RMDispositionteam@education.wa.edu.au when all the boxes are ready for transfer before forwarding the boxes to Central services
4.2 Schools to cover the transportation costs of the transfer of the boxes to Central services. 4.3 Use contractors specified in the Department of Finance Common Use Arrangement contracts This information is available here.