CEI 1.6 Recordkeeping

1.Scope of this instruction

These Chief Executive’s Instructions (CEI) outline the Department of Agriculture Fisheries and Forestry’s (the department) responsibility in regard to the creation and management of departmental records.

Practical guidance on the department’s recordkeeping policies is available in “All about recordkeeping – additional guidance to CEI 1.6”.

2. Policy principles

• Records must support the needs of the business to which they relate and correctly reflect communications, decisions and actions taken.
• Records must be retrievable and in a form that can be presented and interpreted.
• The removal of records must be authorised in accordance with the department’s Protective security procedures.
• The creation, access, maintenance, security, storage, archiving, disposal and removal of records from the department must comply with the relevant procedures and standards as published from time to time.
• Departmental procedures must be compliant with the recordkeeping requirements of the National Archives of Australia (NAA).
• Proper accounts and records must be kept of receipts and expenditure, in accordance with the Financial Management and Accountability Act 1997 (FMA Act).
• The disposal of Commonwealth records must comply with the provisions of section 24 of the Archives Act 1983.
• Business information system(s) that will be used for creating, capturing and managing digital records of a business activity must include either adequate recordkeeping functionality as outlined by the NAA or be integrated with the departmental recordkeeping system.

3. Target audience

This CEI is applicable to all officials (as defined in the ‘Definitions’ section) in the department.

4. Departmental instructions

4.1 Responsibilities

The secretary:

• Under the Archives Act 1983, holds delegations for section 56 which are arrangements for accelerated or special access to records.

Officials:

• are responsible for creating and keeping full and accurate records of activities, decisions and processes for their work area
• must ensure records are captured in departmental recordkeeping systems, in either an electronic and/or a printed paper-based format
• are responsible for reviewing and signing off the Indexed file lists for publishing on the departmental website
• are responsible for the safekeeping of records and must secure them to prevent unauthorised access, alteration or removal
• are responsible for supporting and fostering a culture of good recordkeeping
• who have responsibility for oversighting outsourcing arrangements must ensure that contractors comply with the department’s record keeping requirements.

The Chief Information Officer:

• authorises records management policy, strategies and guidelines
• authorises procedures and, if appropriate, delegates responsibilities for the destruction/disposal of departmental records.

The Corporate Systems Manager, Corporate Services:

• manages and supports recordkeeping systems within the department.

Information Technology Security Adviser:

• must provide advice on the classification and security of the departmental information technology systems that contain records.

Information Management Unit Manager:

• must develop and manage record keeping business processes and provide service delivery to the department
• must develop procedures to provide officers with detailed guidance on the management, storage, handling and disposal of records
• must endorse new, or the upgrade of existing, business information systems that will be used for creating, capturing and managing digital records of a business activity, to ensure they have adequate recordkeeping functionality or have been integrated with an approved departmental recordkeeping systems.
• coordinates the review and publishing of the departments indexed list of files
• is responsible for coordinating all reviews of departmental archival records, that have been requested for access, that may have continuing sensitivity and advising the NAA accordingly
• coordinates proposals for accelerated access to departmental records
• coordinates and delivers recordkeeping training and advice
• maintains and updates the department’s Business Classification Scheme (BCS) and Records Authorities (RA), also known as the Business Classification and Retention Plan (BCRP).

4.2 Reporting

Recordkeeping practices are audited as part of the department’s Audit Program.

Every six months, the department must publish their new files and parts created within the preceding six month period. This is required under the Senate Procedural Orders of Continuing Effect Indexed list of Departmental and Agency Files.

5. Breaches

Officials are bound by section 13 of the Public Service Act 1999 (the PS Act Code of Conduct) and section 44 of the FMA Act to use Commonwealth resources in an efficient, effective and ethical manner. Officials who do not comply with this CEI may be found to be in breach of these provisions and sanctions may apply. Section 24 of the Archives Act 1983 addresses inappropriate disposal of records.

6. References

6.1 Legislation

• Financial Management and Accountability Act 1997
• Public Service Act 1999
• Archives Act 1983
• Financial Management and Accountability Regulations 1997 (as amended)
• Freedom of Information Act 1982
• Ombudsman Act 1976
• Privacy Act 1988

6.2 Internal Guidance/instruction

• All about recordkeeping – additional guidance to CEI 1.6
• DAFF TRIM Portal
• MyLink information on:
• • Information/records management
  • Information security
  • Freedom of Information, Privacy and Ombudsman.

6.3 External Guidance/instruction

• Finance Circular 2011/05 – Chief Executive's Instructions
• National Archives of Australia

6.4 Related CEIs

• CEI 1.5 - Protection and disclosure of information

7. Definitions

Change History