LIVING HISTORY PROJECT

Transcription

1 THE RETURNED & SERVICES LEAGUE OF AUSTRALIA RECORDKEEPING GUIDE LINES H:\IM Information Management\IM10 Policies & Procedures\2012 RSL Sub Branch Collections Recordkeeping Guidelines\2013 Sub Branch Collections Record Keeping Guidelines.doc

2 Contents Records... 3 Table 1: Is it a Record?... 3 Archives... 3 Working Files... 3 Table 2: Examples of Non-Records... 3 Folder Structure... 3 Figure 1: Snapshot of Windows Folder Structure... 4 Electronic Records... 4 Naming Electronic Files... 4 Electronic File Back Up... 4 Figure 2: Portable Backup Devices... 5 Anti-Virus Protection... 5 Figure 3: Anti-Virus Software... 5 Physical Files... 5 Figure 4: Physical Files Filing Cabinets... 6 Figure 5: Physical Files - Shelves... 6 Vital and Archival Records... 6 Disposal of Records... 7 Pest Management & General Physical Record Preservation... 7 Figure 6: Keep it for the Future... 8 Memorabilia... 8 Photographs... 8 Computer Literacy Skills... 8 Funding... 8 Museum Assistance Program... 9 Ethics... 9 Incorporated Associations... 9 Electronic Resources for Further Information... 9 Appendix 2: Records Destruction Form Appendix 3: Voluntary Organisations Retention & Disposal Schedule Page 2 of 13

3 Records Records are information that you send and receive which need to be kept to support the activities of your Sub-Branch. Records can be physical objects or electronic files. To assist you in deciding what are records, Table 1 can be used as an assessment checklist. Some of these records can be disposed of after a certain amount of time; others will need to be kept indefinitely. A list of record types and the length of time they need to be kept can be found in the Folder Structure & Disposal Dates as Appendix 1. Table 1: Is it a Record? Yes Did your Sub-Branch produce or publish the Record? Did your Sub-Branch receive the Record and act on it? Does the Record contain information about what, when, where, why, how and/or who in particular to your Sub-Branch? Is the Record unique to your Sub-Branch and not available elsewhere? No If you answered Yes to any of these questions, the item should be treated as a record. Archives Archives are records of enduring value to the organization. Working Files Information that is not specific or integral to the running of your Sub-Branch, such as copies of flyers and books for example, form part of your Working Files and do not need to be kept for any longer than you require them. Table 2 lists examples of non-records that might form part of Working Files. Your Working Files should be purged regularly to avoid a build up. If you are not sure if something is a Record or a Working File, please contact the State Archivist at RSL WA HQ for guidance. Folder Structure Table 2: Examples of Non-Records Blank forms, catalogues and brochures. Circulars, pamphlets or flyers not produced by your Sub- Branch. Reference material published elsewhere such as books, journals, newsletters and magazines. Notes that have been typed up or transcribed elsewhere. Personal s that are not related to Sub-Branch activities. Duplicate copies of information. If you have digital records it is advisable to set up a folder structure to save your files into. The folder structure we suggest is attached as Appendix 1 and should look similar to Figure 1, on your computer. Page 3 of 13

4 Figure 1: Snapshot of Windows Folder Structure Electronic Records Electronic files, such as JPEG, Word and PDF Records, should be saved in the most appropriate folder within the structure you have created. File names should include the date, folder location and a brief description of what the file contains. Naming files in a similar manner will make them easier to locate when you require them. Naming Electronic Files Date (yyyy) Folder (Name) Brief Description.ext Examples: 2013 Minutes of Meeting December 2013 Committee Meeting.doc 2013 Banking October 2013 Statement.pdf Electronic File Back Up If possible your electronic records should be backed up regularly in case something happens to the computer you store them on. An external hard drive (example in Figure 2) is the best choice and can be purchased for a reasonable price from many outlets including Australia Post. If you do not have many digital records, a Flash Drive (example in Figure 2) is an inexpensive alternative. Ideally your backed up files should be store in a location away from your computer so that they can be recovered in the event of a physical disaster. Page 4 of 13

5 Figure 2: Portable Backup Devices Anti-Virus Protection There are many products available to ensure that your computer is not attacked by viruses. If you do not have anti-virus protection, a reasonably priced software package can be purchased from Officeworks. Figure 3 shows two basic products which retail for under $40 (note these are single user packages). Figure 3: Anti-Virus Software Physical Files The folder structure you have created for your electronic files can also be used to store your physical Records. Folders and sub folders that mirror those in the electronic records folder structure can be made up. For example; create a physical file for Membership and then divide it into sections for Applications, Deceased Notices and Registers. Page 5 of 13

6 If you have a filing cabinet, records can be stored in Manilla folders (Figure 3) within Suspension Files (Figure 3), both of which can be purchased at any larger Newsagency, Supermarket or stationery supplier. Figure 4: Physical Files Filing Cabinets If you have shelves or cabinets (or both) you can store your records in Lever Arch Files (Figure 4) using Dividers (Figure 4) to separate different subjects. These can also be found at most Supermarkets, Newsagents and Stationery suppliers. Figure 5: Physical Files - Shelves Vital and Archival Records Vital records are essential to the operation of the Sub-Branch. Archival records are significant records that are of enduring historical value to the Sub-Branch. An effort should be made to maintain Vital records and Archival records indefinitely. Some examples of significant records are: Minutes of Meeting (inclusive of reports). General Ledger up until the time that Audited Financial Reports were produced. Consolidated Audited Financial Reports. Membership Records such as cards, books and registers. Page 6 of 13

7 Sub-Branch produced newsletters or circulars. Records that generated wide community interests (Eg. photographs, newspaper articles). Records that involved substantial public debate or controversy. Legal records. Records concerning major liability or obligations of the Sub-Branch. Records relating to the development of policy, regulations or major organisational change to the Sub-Branch. Records relating to items or property of the Sub-Branch that have significant cultural heritage value (Eg.Sub-Branch Member recorded oral history). Donation records. If your Vital and Archival records are in paper copy format, it is advisable to store them in a secure area and under conditions that will not cause them any deterioration. Further information can be found in Pest Management & General Physical Record Preservation. In order save the original from being handled and also act as a back up, the hard copy can be scanned and stored as a digital file on your computer. Vital and Archival records that exist only in digital form are difficult to preserve indefinitely due to changes in hardware and software formats over time. Where practical it would be a good idea to also maintain a hard copy of any Vital and Archival records. The Victorian Electronic Records Strategy suggests that the current standards for digital documents are JPEG for photographs and PDF for other documents. Audio-visual Vital and Archival Records should be converted from their current format (Eg. audio cassette, micro cassette, VHS, digital software formats such as.wav or.mov files) to MPEG-4 which is the current preferred format for long term preservation and stored on Archival Grade DVD if possible (on your computer if not). If you are storing digital files of Vital and Archival records on your computer, please ensure that a regular back up is carried out onto a portable device that is not normally stored with the computer. Disposal of Records It is suggested that Sub Branch assess their collections on an annual basis and dispose of any items that are no longer. Record retention periods can be found in Appendix 1. When records have been identified for disposal, the Records Destruction form (which can be found as Appendix 2 of this document) should be completed and approved before disposal commences. A more detailed retention and disposal schedule is attached as Appendix 3. This template can be used for larger collections managed by a professional archivist or records manager. Paper records should be disposed by shredding and electronic files, along with any back-up files, should be deleted. If records for disposal are stored on CDROM or DVD, these should be scratched with a sharp implement so that they are no longer readable. Pest Management & General Physical Record Preservation It is important to protect your records, especially those that need to be kept for a long time, from damage by insects and other pests. If you use the internet, more information can be found by following this National Archives of Australia link: Pests Page 7 of 13

8 If you suspect that you already have a pest problem and need urgent advice, or if you have concerns about other events that may cause damage to your physical records, please contact please contact the RSL WA State Archivist who will advise you on the best course of action. The National Archives of Australia have further information on the subject of Preserving Physical Records or you can purchase a publication they produce called Keep it for the Future for $4.95 which has lots of great advice for looking after small community collections. Figure 6: Keep it for the Future Memorabilia Memorabilia are items that are of historical interest to your Sub-Branch. Some records such as photographs are memorabilia, other items may not be. There are many online resources that can assist you in caring for your memorabilia, which include the following: Caring for your wartime memorabilia: ReCollections: Caring for collections across Australia: A guide to caring for veterans heritage collections: data/assets/pdf_file/0008/51587/guide_to_caring_for_veterans_ Heritage_July_2010_LR.pdf If you do not have internet access and would like to obtain a printed copy, your local library should be able to assist you. Photographs Photographs that form part of your collection should be given meaningful descriptions and ideally include the date taken, type of event, location and people in the photograph. Write in pencil on the back of hard copy photographs or include the information in the filename of any digital photographs (for example 2012 ANZAC Day Maylands Corporal Smith.jpg ). Computer Literacy Skills If you feel your computer literacy skills could be improved most public libraries have community learning programs available either online or on the premises. The City of Perth Library provides a range of online courses that are available to any users with a Western Australian library card. A list of online resources can be found at Funding There are a number of potential sources of funding for small museums: Page 8 of 13

9 Australian Government Department of Veterans Affairs ttp://facts heets.dva.gov.au/factsheets/documents/gs14%20saluting%20their%20service%20 Commemorations%20Grants%20Program.pdf Lotterywest National Library of Australia Australian Government Australia Council for the Arts Again, if you do not have internet access and would like to obtain a printed copy, your local library should be able to assist you. Museum Assistance Program The Western Australian Museum has a development service and basic information is available to any organization or individual. More information about the service can be obtained by phoning Claire- Frances Craig on or at Ethics The RSL By-Law 22 outlines the Code of Ethics by which Sub-Branches should operate. With reference to keeping records, the following two items are particularly relevant: e. ensure that all available relevant details and documents are submitted with claims and applications for benefits; i. keep personal information secure and not disclose such information to others without express consent;` The complete Code of Ethics can be found in your copy of the RSL WA Constitution on the RSL WA Website at Incorporated Associations If your Sub-Branch is an incorporated association you will need to consider other types of records that need to be kept and further information can be found at the Department of Commerce: Electronic Resources for Further Information National Archives of Australia: Preserving Access to Digital Information: Victorian Electronic Records Strategy: Record Keeping for Small Business: Page 9 of 13

10 Taxation Records for Business: g.aspx Page 10 of 13

11 Appendix 1: Folder Structure & Disposal Dates Page 11 of 13

12 Appendix 2: Records Destruction Form Date Range Description of Records (including any relevant names, reference numbers or purchase orders) Format (Paper, PDF, JPEG, etc ) Media (CDROM, DVD, Digital, etc ) Records have reached the end of their retention period and are able to be destroyed. Records have been destroyed using secure and confidential methods. Destruction Date: Destruction Method: Authorisation Signature(s): Page 12 of 13

13 Appendix 3: Voluntary Organisations Retention & Disposal Schedule Embedded within this document is a MS Word file that can be opened and saved on your computer to use as a template if : 2012 Records Retention & Disposal Page 13 of 13

14 DRAFT TEMPLATE Add a glossary VOLUNTARY ORGANISATIONS RETENTION AND DISPOSALSCHEDULE This Retention and Disposal Schedule is a systematic listing of records usually created by voluntary organisations which plans the life of these records from the time of their creation to their disposal. It is a continuing authority for implementing decisions on the value of records specified in the schedule. This Retention and Disposal Schedule can be adapted to suit the organisation by adding or deleting record types and/or changing retention and disposal times. This Schedule lists: records created by the organisation the retention period for each group of records the disposal sentence for each group of records whether the records are to be retained as archives or destroyed the custody arrangements for each group of records whether the records are to be transferred to another location Keeping Archives 2 nd edition Edited by Judith Ellis. ASA, 1993 p467 NAP = Normal Administrative Practice provides for the routine destruction of drafts, duplicates, publications and ephemera. Ephemera = material that has been produced for short term use (usually printed brochures, flyers, posters, sales catalogues often unsolicited). H:\IM Information Management\IM10 Policies & Procedures\2012 RSL Sub Branch Collections Recordkeeping Guidelines\2012 Records Retention & Disposal Schedule Template for Small Collections (Jennifer Ford).doc

15 Type of Record ORGANISATION RECORDS Constitution Official copy Duplicate Duplicate Register of Members Official copy Duplicates Retention by and length of time Secretary Committee members Ordinary members Secretary President Disposal ARCHIVE 1 DESTROY after amendment DESTROY after amendment 1 When amended Archive obsolete original ARCHIVE 1 1 When amended Archive previous Register. Committee Meetings Agendas - Official Secretary 2 years ARCHIVE Agendas - Duplicate President and Members as DESTROY when no longer Minutes - Official Secretary 2 years ARCHIVE Minutes - Duplicate President and Members as DESTROY when no longer Reports to Committee (including President s and Secretary 2 years ARCHIVE Treasurer s) - Original Reports to Committee - Duplicate President and Members as DESTROY when no longer Annual General Meetings Agendas - Official Secretary 2 years ARCHIVE Agendas - Duplicate President and Members as DESTROY when no longer H:\IM Information Management\IM10 Policies & Procedures\2012 RSL Sub Branch Collections Recordkeeping Guidelines\2012 Records Retention & Disposal Schedule Template for Small Collections (Jennifer Ford).doc

16 Minutes - Official Secretary 2 years ARCHIVE Minutes - Duplicate President and Members as DESTROY when no longer Reports to AGM (including President s and Secretary 2 years ARCHIVE Treasurer s) - Original Reports to AGM - Duplicate President and Members as DESTROY when no longer Audited Financial Statement presented at AGM - Secretary 2 years ARCHIVE Official Audited Financial Statement presented at AGM - Duplicate President and Members as DESTROY when no longer Correspondence Inwards Secretary 2 years [??] Inwards unsolicited brochures, advertisements, Secretary - NAP DESTROY - NAP etc Outwards Secretary 2 years [??] Projects - proposal, budget, acquittal, feedback - duplicate material - - Photographs Secretary or Project Coordinator until end of project Members of Project Team until end of project Archive DESTROY at end of project ARCHIVE H:\IM Information Management\IM10 Policies & Procedures\2012 RSL Sub Branch Collections Recordkeeping Guidelines\2012 Records Retention & Disposal Schedule Template for Small Collections (Jennifer Ford).doc

17 Finance Correspondence Inwards Organisation related Treasurer 7 years DESTROY 7 years after annual audit Correspondence Inwards unsolicited Treasurer NAP DESTROY - NAP brochures, advertisements, etc Correspondence - Outwards Treasurer 7 years DESTROY 7 years after annual audit Bank statements Treasurer 7 years DESTROY 7 years after annual audit Receipts Treasurer 7 years DESTROY 7 years after annual audit Invoices Treasurer 7 years DESTROY 7 years after annual audit Photographs Prints/negatives/digital - originals ARCHIVE Digital DVD master copy ARCHIVE Prints/negatives/digital DVD reference copy For Reference use Destroy once worn out H:\IM Information Management\IM10 Policies & Procedures\2012 RSL Sub Branch Collections Recordkeeping Guidelines\2012 Records Retention & Disposal Schedule Template for Small Collections (Jennifer Ford).doc