Inactive Records Transfer and Destruction

Transcription

1 Curtin Records & Information System CRIS Inactive Records Transfer and Destruction User guide July 2015 (V4.5) Records & Information Management (RIM) Page 1

2 Inactive Records Transfer User Guide The objectives of this guide are to: Provide guidelines for people who need to use the Curtin Records & Information System (CRIS) to transfer their sentenced inactive records to Records & Information Management (RIM) for either; Transfer (storage) or Destruction Outline all key processes that people who use the CRIS should know about; so that Curtin's information that is no longer in regular use is effectively managed, able to be retrieved and dealt with according to Curtin s recordkeeping procedures and policy. Records & Information Management (RIM) Page 2

3 Contents 1. GETTING STARTED LOGGING ON NAVIGATION CREATING A NEW BOX ENTERING A BOX DESCRIPTION ADDING ITEMS TO A BOX EDITING ITEMS WITHIN A BOX SUBMITTING A BOX FOR STORAGE SUBMITTING A BOX FOR DESTRUCTION CHECKING BOX STATUS SEARCHING FOR BOXES Records & Information Management (RIM) Page 3

4 1. Getting Started Once your records have been inactive, (i.e. not used), for two or more years you can transfer them to Records & Information Management (RIM), where we will make sure they are stored appropriately or destroyed in accordance with the disposal authorities. Inactive records are stored in one of our storage areas on the Bentley campus or with our off-site storage provider, Iron Mountain. Records due for destruction are transferred to RIM and destroyed securely. Curtin Records & Information System Important Information - Please Read Before you submit any items to RIM for storage or destruction, the following requirements should be met in order for the boxes to be accepted. Before sending records to RIM check the Disposal Authorities to determine whether the record is due for destruction or transfer into inactive storage. Records that are due for destruction cannot be mixed in the same box as records that are submitted for transfer into inactive storage. Each file/item listed in every box must be allocated the correct Disposal Authority Reference next to it. The DA reference codes can be obtained from the approved Disposal Authority Each file/item has a trigger date. Trigger dates can be determined by referring to the instructions for the code chosen from the Disposal Authority. Records that are still active or semi-active (still being referred to) are not to be placed in storage, if the records are less than two years old they cannot be placed in inactive storage, they must be maintained by the area until the two years is up. Records may be submitted for destruction prior to two years providing that the disposal authority reference requires a retention period of two years or less. Only approved storage boxes may be used. These can be ordered via the online form found at: Documents in lever arch files or box folders should be removed from their housings and the contents placed in suitable manila style folders to maximise storage within each box or bound with string Boxes must not be over packed / under packed or damage to the box can occur. There should be sufficient room to place your hand in the box without effort and the lids must be able to be closed properly. Further information, Disposal Authorities and box order forms are located on our website Records & Information Management (RIM) Page 4

5 2. Logging On Once you have completed the required training you will need to request a user account to access CRIS. To request a user account for CRIS contact Records & Information Management rim@curtin.edu.au To log on: 1. Open your browser and browse to the URL for the login screen: (Consider adding this to your browser favourites for easy access in future.) 2. Enter your account name and password and click (See Image 2.1 on the next page) this will take you to the CRIS home page. Records & Information Management (RIM) Page 5

6 Image 2.1: Login page Account name will be your staff id e.g A. Your password will be your Oasis password. If you're having trouble logging in, contact RIM on ext.: 7050 or for assistance. Once you have logged in you will see the Home page. (See Image 2.2 on the next page) Records & Information Management (RIM) Page 6

7 Image 2.2: Home page This will list your name and the area that you are transferring the records for. Please check that these details are up to date. If there are any errors in this information please call RIM on extension 7050 so that we can update your details. Click the Inactive Records Transfer tab Records & Information Management (RIM) Page 7

8 3. Navigation To navigate through CRIS you can click create a new box, use the search functions or click show all tab. (See Image 3.1). Image 3.1: Search Tabs These tabs will take you to the particular action that you wish to perform: Create a new box Search by box number Search for the information in the box description field Search for items within a box Show all ( through this tab you can view or edit all of your boxes) Note: Do not click the BACK arrow on your browser. If this occurs the information that you are currently entering will be lost. Records & Information Management (RIM) Page 8

9 4. Creating a new box To create a new box in CRIS Click the Create New Box tab Image 4.1: New Inactive Record Box page You can now enter in a description for your box. (See image 4.2 see next page) Records & Information Management (RIM) Page 9

10 Image 4.2: Entering box description Records & Information Management (RIM) Page 10

11 5. Entering a box description To enter a contents description of your new box complete the following fields: (See Image 5.1) Description of Contents: should have a brief description of the contents of the entire box. (e.g. General Student Files) Boxes for destruction: Please make a note that items are due for destruction in this field. (e.g. FOR DESTRUCTION General Student Files) Date Range of Records: year or year range (e.g. yyyy yyyy) Current Location: building & room Number (e.g. building xxx room xxxx where the boxes are currently stored) Type of Content: Please select from the drop down list options Contents Arrangement: Please select from the drop down list options Access Restrictions: this field is not mandatory, only staff in your area will be able to see the boxes that are created within the area; this field is used when the access restriction is required within the department. e.g. Confidential to Director (RIM) Notes: This field can be left blank, or used to describe any important details. Also may be used to communicate with RIM e.g.; fragile contents, box full etc. Records & Information Management (RIM) Page 11

12 Image 5.1: Box description fields: Add a brief description of what is contained within the box. Boxes for destruction must be identified here. Year or year range (e.g ) Building & room Number (e.g. building 100 room 114) Please select from the drop down list options Only required if confidential within the department This field can be left blank, or used to describe any important Once entry is complete, click OK Records & Information Management (RIM) Page 12

13 To review your box details click View and Edit Boxes. Your new box will appear with a box number. (See Image 5.2) Image 5.2: Box description: Take note of your box number and write it on the side of the physical box for reference. Records & Information Management (RIM) Page 13

14 Image 5.3: Box details Changing box description 1. If your box details are incorrect, Click then make the necessary changes 2. Click OK. Message to user will read, Thank you. Your changes have been saved Click to add items to this box At this stage box review will be IN PROGRESS Records & Information Management (RIM) Page 14

15 6. Adding items to a box Once you have created the box description you can begin to add the items to your box. Click to start adding items to this box (see Image 6.1) Image 6.1: Adding items Once in the Add Item screen you will have four fields to complete: Description: Enter a detailed description of the item. The more information you include, the easier it will be to search and retrieve this item in the future. Ensure that your description matches your choice of Disposal Authority (DA) reference code. Folder Title: If your item has a folder title, include it here. If not, please enter N/A for Not Applicable. Disposal Authority (DA) Code: Use the drop down field to enter the selected DA reference code for your item from the Disposal Authorities. If the item contains multiple subjects use the longest DA reference code or contact RIM for advice. Trigger Date: Is the date from which the disposal period is calculated as stated by the disposal authority reference e.g. last action date, birth date, date of audit. (See Image 6.2 over the page for an example of a completed entry) Records & Information Management (RIM) Page 15

16 Image 6.2: Add item fields Enter the details for your item in these fields This is an example of a general student file Hint: you can start typing your code and the drop down will find it. 1. Once you have finished and you are satisfied with your entry, Click OK The view returns to the Inactive Records Box Number (Your box number) - Add Item page where you can review your entry (see Image 6.3 on next page). Records & Information Management (RIM) Page 16

17 Image 6.3: Add item fields 1. If you need to edit the item, Click the Back to Box (your box number) link and select the item from the Items in This Box listing at the bottom of the page. Refer to chapter 7 Editing items within a box. 2. If the details are correct and you wish to add more items, then click Add Another Item. 3. Note: If the description of the next item is very similar to another item already added to the box (eg it only differs by a small detail such as semester or year) then it is possible to create a duplicate of that item. Click the Back to Box (your box number) link. Scroll down to the Items in This Box listing and find the item you wish to copy. Click on the Duplicate button to the right of the item. 4. This will create a duplicate item. Make the necessary changes to the new item then click OK to save the changes. Records & Information Management (RIM) Page 17

18 7. Editing items within a box 1. If you need to edit the details of an item in a box, select the item from the Items in This Box listing at the bottom of the Inactive Records Box Number xxx (your box number) page. (See Image 7.1) Image 7.1: Edit item from the box details view 2. Click Edit to change any incorrect details or Delete if you want to remove the item from the box. (The Duplicate button can be used where the descriptions of the items in the box are very similar and only vary by a small detail (eg Semester or unit number). Use the the Duplicate button to create an exact duplicate of the item and then make the detail changes then save the new item.) 3. After editing an item, Click OK to save the changes. Message to user will read, Thank you. Your changes have been saved. 4. Click to return to the list of items in the box. Records & Information Management (RIM) Page 18

19 8. Submitting a box for storage Once you are satisfied with your box and item descriptions, you can submit your box for review. 1. Click the Printable Version link above the Submit for review button. (See Image 8.1) Image 8.1: Link to printable version 2. Print a copy of your submission from this page; this is to be placed inside the box for reference purposes. 3. Click the link at the top left corner of the page (See Image 8.2 over the page) Records & Information Management (RIM) Page 19

20 Image 8.2: Click Back Click to go back Once you have printed your box details click the Submit for Transfer button. This will inform RIM staff that your box is ready to be reviewed. The review status of your box will now change from IN PROGRESS to FOR REVIEW if you submit for transfer (See Image 8.3) Image 8.3: Review status changed Do not alter the contents of your box from this point on. Information Officers will then review your submission. When you log in to CRIS always check to see the review status of your box and correct any amendments if required. Records & Information Management (RIM) Page 20

21 9. Submitting a box for destruction Once you are satisfied with your box and item descriptions, you need to gain authorisation from the head of your area for the items to be submitted for destruction prior to review by RIM staff. 1. Click the Printable Version link above the Submit for review button. (See Image 9.1) Image 9.1: Link to printable version 2. Print two copies of your submission from this page. One copy is to be placed inside the box for reference purposes. The other must be attached to the destruction request form which is required to be signed off by the head of your area. 3. Click the link at the top left corner of the page (See Image 9.2 over the page) Records & Information Management (RIM) Page 21

22 Image 9.2: Click Back Click to go back 4. Once you have finished a number of boxes for destruction complete the destruction request form, attach the corresponding box listings and send to the head of your area for their approval. (See image 9.3 over the page) Records & Information Management (RIM) Page 22

23 Image 9.3: Destruction request form Complete applicant details with your details, sign and date List a number of boxes due for destruction from your area. (List of maximum of ten and delete and unused lines) You can list boxes completed by multiple applicants from the same area for authorisation Head of School/Area to tick if approved and sign the space provided Records & Information Management (RIM) Page 23

24 5. Once you have received the signed destruction request cover sheet click the Submit for Destruction button on all boxes identified on the cover sheet. This will inform RIM staff that your boxes are ready to be reviewed. 6. Place the cover sheet and attached box listings in the internal mail or deliver to RIM Information Officer, Records & Information Management, building 100 room 114. The review status of your box will now change from IN PROGRESS to DESTRUCTION PENDING AREA HEAD APPROVAL (See Image 9.4 on next page). Image 9.4: Review status changed Do not alter the contents of your box from this point on. Information Officers will then review your submission. When you log in to CRIS always check to see the review status of your box and correct any amendments if required. Records & Information Management (RIM) Page 24

25 10. Checking box status Boxes in CRIS can have ten different levels of status: In Progress - box is still being worked on For Review - box has been submitted and is awaiting review by RIM staff Amendments Required - box has been reviewed and requires some changes to be made before it can be accepted Pending Area Head Approval (destruction boxes only) RIM staff are waiting to receive the destruction request cover sheet signed by your head of area Pending FOI Approval (destruction boxes only) Information Officers have sent the box to the Freedom of Information Officer for Review Pending Archivist Approval (destruction boxes only) Freedom of Information Officer has sent the box to the Archivist to Review Approved for Destruction (destruction boxes only) box has been accepted for impending transfer to RIM for secure destruction Accepted (storage boxes only) - box has been accepted for impending transfer to central storage Transferred (storage boxes only) box has been transferred to offsite/bentley storage areas Destroyed (destruction boxes only) box has been securely destroyed by RIM officers To find Information on the status of your boxes click on either one of the tabs in the search function and enter in the relevant details. It is advised that on a regular basis select show all to see whether your boxes have been accepted or require amendments. Identify the box number and check the Records & Information Management (RIM) Page 25

26 Image 10.1: Box status If the review status is Amendments required: 1. Click View and Edit Box for that box number 2. The top of the next screen will have a note informing you of what changes are required (See Image 9.2) Image 10.2: Note stating required amendments A note will state what amendments are required If you have any questions regarding the request, please contact the officer who made the request. 1. Complete the amendments and resubmit the box. (See Submitting a box) Once the Information Officer is satisfied with the submission the box will be accepted into RIM custody. This will be indicated by the Review Status of the box changing to Accepted and a padlock will be displayed next to that box entry (See Image 10.3 on next page) Records & Information Management (RIM) Page 26

27 Image 10.3: Status Accepted Once a box has been accepted you cannot edit or delete the contents. If you are required to change the box contents after the box has been accepted please contact the information officer dealing with your submission This box is now ready for transfer, RIM staff will come to your area and sticker the boxes before they are collected by site services. Records & Information Management (RIM) Page 27

28 11. Searching for boxes To view all the boxes submitted by your department: 1. Go to the tab Image 11.1: Show all tab The Inactive records boxes page for your area will display This page will show the twenty most recent submissions To view previous entries 1. Click at the top left of the list Records & Information Management (RIM) Page 28

29 To Search for individual boxes: 1. Go to the Search tab in the top navigation Image 11.2: Search page Here you can choose to search by: Box Number - type in the box number you are looking for and click The box description will be displayed (See Image 11. 3) Image 11.3 : Box number search results Additional searches can be performed by entering a key word into either the box description or item description fields and clicking on. Records & Information Management (RIM) Page 29