Disposal - Chapter 3

Hi Team,

Ok now that we have sentenced the records from chapter 2, we can now identify which of these records are ready for destruction, retention or transfer.  

Chapter 3

Any record that is ready for destruction (i.e. the retention period has lapsed) must be recorded on an “intention to destroy records report form”.  Do not include Permanent files on the ITDRR or records that are not ready for destruction.  This is a big NO NO!!  Believe it or not I have seen P records listed on ITDRR as well as records ready for destruction in 2040!

Once you have correctly filled in the form it is then sent to State Records to seek approval for the destruction of these records.  No records are allowed to be destroyed prior to SRSA approval.  Approval from SRSA may take awhile (up to 8 weeks) so please take this into consideration when sending in your list.  

Fig 1 Example 1 of ITDRR

There are a few images in this post which show examples of what NOT TO do when filling in the ITDRR.  You’ll notice that in example #1 there are a few incorrect listings.  NAP items do not need to be listed on the ITDRR, not to mention that “correspondence” isn’t a detailed description of the record.  Did you notice that this was only page 2 of 230 pages!  This had to be sent back to the agency to correctly complete before SRSA could approve these records for destruction.  Example #2 isn’t much better.  What do you notice is wrong with example 2 form?

Fig 2 Example 2 of ITDRR

Here is a checklist to follow so that you get your ITDRR approved first time every time.  That list is as follows;

• Fill the form in electronically rather than hand written.  It can be difficult for SRSA to decipher your writing!
• Lodge your form electronically – email the agency spreadsheet to the SRSA Government Enquiries email address: srsaRecordsManagement@sa.gov.au 
• Sentence the records correctly in the first instance, this means that you will have to look inside the file itself rather than just relying on the file name, often they can be two different things
• Ensure that the form is signed and dated, if it’s not, it can’t be processed
• Where the form asks you whether you have checked the records against different versions of the GDS, bold and/or highlight  your answer
• What order to fill in the list? The list is to be filled in using numerical order of the sentencing action (item number eg. 3.3.2 then followed by 6.53.1 ) in column four of the list,  this means that SRSA doesn’t have to flip backwards and forwards through the GDS to find records, it flows in a logical order.
• Always include the DOB (date of birth) on any personal / personnel / health / medical / minor records
• Enter the version number of the GDS that you used to sentence the records, if it is not the current version the results of your sentencing and SRSA could differ resulting in your form being returned to be corrected
• Always enter the month and year for destruction action as per YYYY/MM.
• Once you have done all of this, we suggest that you
• Go back and check your work – 10 minutes doing this can save you hours of re-doing the whole thing!
• Also consider, if you plan on sending in a ITDRR list that is more than 10 pages it might take a longer time for SRSA to review the content.

Happy "sentencing" :)

Melisa Z-G

Disposal - Chapter 2

Hi team,

At last week's face to face catch up we were able to make a start on chapter 2.  We also had a chance for some hands on activities using either the GDS15 or GDS20.  Read on for more info 

Chapter 2

We didn’t get to finish this chapter but made a really good start!  Disposal is one of the Adequate Records Management Standard (ARMS) that your agency would have been audited on.  Check out page 10 of ARMS (version 2.5 2/12/2011) as it describes the benchmarks required to meet this outcome.

Before we can undertake disposal we need to identify what records we have within the agency.  This can mean that we need to undertake a records survey to assess what records we have, where they are located or stored & the types of records.  Undertaking a survey was covered in the Business Efficiency subject so please refer to the notes that you created.  When you are conducting your survey don’t forget the following:
Who is your target audience

• How do you word the questions to get the best answers
• How long will it take you to conduct the survey, get the participants to complete it and then the time required to collate the results & share your findings
• Who are you going to share your findings with & how are you going to do it! 

For your assignment (Chapter 2, Question 3) I do not require you to present your findings as a report.  All I expect you to do it “discuss” the preferred method of sharing your survey results.  For example with your Records Management colleagues it may be an informal event compared to sharing the info with the management team, where you would provide a report/statistics/graphs/costings etc

Once you have identified the records you will need to identify if they are ready for disposal.  In order to do this you can use the following tools (pg 23):

• An approved GDS (please note that GDS15 Ed 8 has an extension applied to the end date)
• An approved RDS
• NAP

Using these tools means that you are applying a “sentence” to the record (pg 22).  You become the judge by identifying the minimum retention period, in consultation with the appropriate GDS/RDS, for the record/file.  If you are unable to sentence the record, because it isn’t identified in the GDS or RDS this is when the record needs to be appraised (pg 22).

Other points that were highlighted included;

• Private Organisations are not bound by a legislative requirement to use a GDS, however they should consider the points listed in the table on page 19 of the handbook.
• Records pre 1901 are automatically sentenced as Permanent 
• When using the GDS 16, 18, 21, 22, 27 etc. these must be used in conjunction with either the GDS15/20 and the RDS for your agency.
• When sentencing records (identifying the type of record that it is and then determining the correct disposal action to be taken and the minimum retention time for that record) if you cannot find it in your GDS, look to the RDS – if it is not in the RDS, then the RDS will need to be amended and sent to the State Records Council for approval.  
• For records over 50 years old, the previous point applies even if the GDS reads that it is okay to destroy them – it is NOT.  They must be referred to the RDS and if it is not in there, they are then referred to the State Records Council for appraisal – they may be the very last file of that kind and therefore have a historical value.
• For the GDS20, the planning approval records for dwellings must be kept until the dwelling is demolished.  It is only when the building is demolished that the records can be disposed of.
• When dealing with records pertaining to the building industry, remember that anything pre-1986 may have contained asbestos – records relating to asbestos must be kept until at least 2040.
• CEO diaries are automatic Permanent (not taught on Tuesday, but very handy to remember)
• Permanent records are to be transferred to SRSA (more details to follow in upcoming chapters)

GDS Layout

The GDS is divided into three parts, with part one being the introduction.  Be sure to read through the introduction section of the GDS as further important information will be highlighted when using the GDS.  Section two is the schedule, which is divided into alphabetical order of the keywords (functions).  Section three is an index which can be most helpful when trying to locate certain activities.  This will be explained further in upcoming chapters.

This lead to us completing the associated activities using GDS15 (pg 44 for State Government) & GDS20 (pg 45 for Local Government).  If you require a copy of the most recent GDS edition please refer to State Records website at: http://www.archives.sa.gov.au/management/disposalschedules.html and locate the necessary schedule for you to use.

It is important that you are using the current edition, not an old edition as disposal classes may be different!

There are some important things to remember when classifying records.  These include:

• If you have two disposal classes that are equally weighted always pick the longest retention period.  
• When sentencing, if you keep getting PERMANENT then you really need to double check the scope notes!
• If it is not in the GDS you MUST, MUST, MUST check the RDS!
• Read the scope notes in their entirety
• Records over 50 years, MUST be referred to the RDS, even if the GDS reads that they are okay to be disposed of!
• Asbestos related files are retained until 2040.   
• Culling of files is not recommended
• Sentence records by the content of the record not the title or subject heading.
• Apply the longest retention period to the total file, including “parts”.  This means that if there are mixed retention periods you need to hold onto the file/s until the longest retention period lapses.
• Use a pencil when making notes about retention periods.  Easy to change if you make a mistake!
• Did I say read the scope notes
• Oh by the way read the scope notes

Please refer to the “tips” page in your handbook (from page 41).  Maybe print them off & keep them handy when sentencing your records.

I have attached a picture of the activity from pages 44 & 45 (You will need to complete these as part of your Chapter 2 submission).  Blue writing are the answers that relate to GDS15 & green answers relate to GDS15.  If you have the same retention period but a different item number that’s acceptable.  If your item number & disposal action are both different to what I have listed then please re-read your scope notes.

Fig 1 Pgs 44 - 45 "Answers"

Assignments

Please ensure that you read & understand the assignment requirements for this subject.  Due dates for chapter reviews were contained in my introduction email.  For chapter 2 please do not leave it till the last minute to complete!  In addition to the activities located in the chapter review I would also like you to submit the following:

• Pg 44 Sentencing using the GDS15 (State Government employees only)
• Pg 45 Sentencing using the GDS20 (Local government employees only)

Don't forget that a survey requires proper preparation & planning to ensure that you get all the necessary information.  

Enjoy the weekend.

Ciao,
Melisa Z-G

Disposal - Chapter 1

Hi Team,

Welcome to chapter one of Disposal.  For this subject there are two work books which we will cover.  Each workbook relates to a competency.  Please refer to the lesson outline (in my introduction email) to ensure that you are keeping up with the required lessons & reading.

Chapter 1 

This chapter is relatively short in length but it did get us thinking about disposal & what does (or doesn’t) happen in our agencies in relation to the disposal of our records.  Some of the pictures in your workbooks looked familiar to some students.  Hopefully none of your office space looks like this!

Fig 1 Disposal of records . . . Where do I start?!?!

For this chapter it is important to remember that “disposal” is more than just the destruction of records!  Disposal can refer to three things:

        1. Physical destruction of the record
        2. Retention of the record
              ~ Permanent – Transfer to SRSA
              ~ Temporary
                     > Long Term – As in Development Applications (councils) or Personnel files (state  
                       & council)
                     > Short Term – As little as 3 months

          3. Transfer of custody or ownership – consider if your agency uses the services of NGOs 
               (non government organisations) to conduct business.  What happens to these 
               records?  For example services that Uniting Communities or Anglicare might provide 
               your customers on behalf of your agency.

Fig 2 NOT an Approved Storage Provider!

Fig 3 Why hello there!

If you are undertaking a disposal project be careful of little creatures that might be lurking in  or around the records.  As depicted in Fig 2, shipping containers are NOT an ideal storage space for records.  While it might seem like a good idea at the time to house your records, be careful that you don't come in contact with something from Fig 3 (or spiders, snakes etc).  If you run out of room for safely storing your temporary records, you can always send them to an ASP (Approved Storage Provider).  

You will not be required to submit the review for this chapter.

Gepps Cross Repository Tour - UPDATE

Unfortunately the tour that I was hoping to organise for June will have to be postponed until later on in the year.  It is more than likely to occur sometime in October.  I will confirm dates etc in the coming months.  Apologies for the date change.  This means that the 25th June will be a "free" day for you to catch up on your assignments etc. . . .So it's not all bad :)


Happy reading!

Ciao,
Melisa Z-G

CCC - Chapter 6

Hi Team,

The following images should assist you when completing the upcoming activities for the Disposal subject.

Fig 1 KWAAA

Fig 2 LGT

The above image shows how the activities in the workbook would be classified using the KWAAA.  


The above images shows how the activities in the workbook would be classified using the Local Government Thesaurus.

Remember that you MUST identify the Keyword (Function) and the Activity Descriptor.   In some of the examples you will notice that there are no terms used at the SD level.  If you choose to go straight to Free Text and not identify the subject descriptor then that is fine.  Alternatively if you decide to use different terms for free text that too is also fine.  However the KW & the AD used in these images are the preferred terms to use. 

How did your answers compare with these answers?

Any questions please let me know.

Ciao,
Melisa Z-G

CCC Chapters 4 & 5

Hi Team,

It feels like ages since I've blogged, so grab a coffee & sit down to a fairly lengthy post.

Chapter 4

By now you should have read through this chapter and have a clear understanding of what it means to group records into order - "classification".  Some students have identified that they weren't classifying their records according to their business functions.  They were using classification methods of either subject, numerical, alphabetical or free text.  There are problems associated with classifying records in this way.  It can lead to problems further along the track when we  start to dispose of records.  If all of our RK tools (thesauri, Records Disposal Schedule (known as an RDS which is specific to the agency) & General Disposal Schedule (GDS15 which is used by state govt agencies and GDS20 for local govt agencies)) are based upon the functions of the business, then sentencing at the point of creation is easier.  There is a consistent approach across not only in the area of disposal but also in the area of access and control.

The activity on pg 64 proved to be interesting.  It highlights how people classify things differently, based upon previous experience or knowledge!  It also demonstrated why a thesaurus should be used.  It provides us with a consistent approach.  Nothing like looking for lease documents for the agency van under "w" for white van! 

This is how the activity could have been "classified":

Sport (this is probably the most easiest group to classify!  I can probably safely say that we would all agree on the items for this group)

• Tennis

• Football

• Volleyball

• Cricket

 Stationery

• Pen

• Sticky tape

• Stapler

• CD

• Laptop?

 Furniture

• Desk

• Chair

• Laptop?

So how does your classification look?  In previous years students have had some difficulty in deciding if a laptop would be group with “furniture” or “stationery”.  We could probably have broken these 3 groups even further if we had the time.  In the real world if you were to conduct this type of activity to identify the agency's functions you would need to conduct a functional analysis (pg65).  Depending on the skills set of the RM team this might be conducted internally (you will learn more about that next year when you come back to do Cert IV!!) or you may employ the services of an external consultant.  However this can be quite a detailed project ensuring that you investigate all areas of the business to identify what happens.  It isn't so important to identify who actions these functions, as team responsibilities can change, hence why the BCS (pg 65) is based on the "functions" of the business, rather than business teams/units.

We also looked at the different terms used in a thesaurus and identified the interchangeable terms:

• Function = Keyword

• Activity = Activity Descriptor

• Transaction = Subject Descriptor

When classifying your files you need to ensure that the minimum requirement of classifying captures the "Function/Keyword" & "Activity/Activity Descriptor".  These descriptors are mandatory, what you decide to use at a 3rd level can be defined by the user (we will discuss this in more detail in upcoming chapters).  Be sure to check out the rules (pg 72) to make sure that you are classifying correctly.

Chapter 5

This is where we get to have some hands on fun by looking through the thesaurus.  You guys will either have a copy of the Keyword AAA (KWAAA) or the Local Government Thesaurus (LGT) depending on if you work for State Government or Local Government.  They are both set out the same way with three sections, however the terms that are contained in the thesaurus are slightly different.  Section one is what i like to call the "Introduction".  It gives the user an idea of how to use the thesaurus.  Section 2 (tables) I personally don't use.  I feel that it doesn't have the level of detail that section 3 has.  I prefer to use section 3 (thesaurus) as it contains a lot more info that section 2.  There are scope notes that clearly identify the terminology of Keywords & Activity Descriptors.  My suggestion is that while you are still finding your way in using the thesaurus to classify, use section 3.

Fig 1 - Business Classification Scheme

The above image shows the linkages between the terms used in a thesaurus (if you find it hard to read click on the image & a bigger picture will be shown).  You will notice that i have tried to use different colours for each part of the BCS.  Here is the meaning behind the colour schemes used.

• Black = Business classification scheme which shows the hierarchy of terms.  EG FUNCTION, ACTIVITY, transaction.
• Green = Terms used in the thesaurus.  Please note that FUNCTION is the same as KEYWORD.
• Red = Mandatory terms.  When classifying the minimum requirement is to name the KEYWORD & ACTIVITY DESCRIPTOR.  
• Blue = examples of how the terms are used to classify.  In the first example we have FLEET MANAGEMENT(KW)/POLICY(AD)/Private Vehicle(SD).  This file title is telling me that it contains the policy on private vehicles.  The second example PERSONNEL(KW)/RECRUITMENT(AD)/Advertising(SD)/Records Officer (Free text) tells me that all advertising relating to the recruitment of the Records Officer position TAR47198 is in the file.  It means that i am restricted to placing only documents relating to the classification given.  However the third example PERSONNEL(KW)/RECRUITMENT(AD)/Records Officer (Free text) is more broader classification & means that everything related to the recruitment of the Records Officer can be placed in this file.  For example the advertising, the panel questions, the applications received, letters sent out in relation to appointment/interview times etc.  The use of free text within your file title can either make your file "broad", meaning that a greater amount of documents can be kept on the file or alternatively being quite specific in your classification means that only a documents are contained in the file

Fig 2 - Examples in using the KWAAA & LGT

The above image is an example of how to apply either the KWAAA or the LGT for the activity on pg 105 in chapter 6 - Order to purchase stationery supplies for the training room.  Depending on how much stationery your agency orders will dictate the way in which to classify.  By adding the year, or a date range to a file EG "2013", means that only the orders corresponding to that year can go into it.  This hopefully eliminates the need for parts to a file.  Parts of a file mean that when the file is too big & physically nothing more can be fitted into the file you would make a "part 2".  In some cases because of how we have used classification, there are some agencies that have file part 132!  Wow that it is a fairly big file.  This makes it very difficult when it comes tome to apply a disposal action to the files.  We will discuss this in more detail in our upcoming subject

So by now you should be stuck into chapter 6 & working through the activities.  If you have any questions please give me a call to discuss.

Next subject

Keep a look out for course material of the upcoming subject, Disposal.  An email will be sent to students in the coming days.  Also please note that there will be a lesson next Tuesday to kick off Disposal subject.  I hope that you can make it :)

Ciao,
Melisa