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Branch Collections Record Keeping Guidelines.doc

THE RETURNED & SERVICES LEAGUE OF AUSTRALIA

WA BRANCH INCORPORATED

LIVING HISTORY PROJECT

RECORDKEEPING GUIDE LINES

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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 .................................................................................................................. 12 Appendix 3: Voluntary Organisations Retention & Disposal Schedule .................................................................. 13

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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 No 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?

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.

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 emails that are not related to Sub-Branch activities. Duplicate copies of information.

Folder Structure 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.

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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.

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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”.

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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.

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• 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 required. 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

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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: http://www.dva.gov.au/aboutDVA/publications/commemorative/memorabilia/Pages/index.aspx

• ReCollections: Caring for collections across Australia:

http://www.collectionsaustralia.net/sector_info_item/3

• A guide to caring for veterans heritage collections: http://www.dpcd.vic.gov.au/__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 http://www.cityofperth.wa.gov.au/web/Living/City-of-Perth-Library/Online-Resources/. Funding There are a number of potential sources of funding for small museums:

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• Australian Government – Department of Veterans’ Affairs ttp://facts’heets.dva.gov.au/factsheets/documents/GS14%20Saluting%20Their%20Service%20Commemorations%20Grants%20Program.pdf

• Lotterywest http://www.lotterywest.wa.gov.au/grants/faqs

• National Library of Australia

http://www.nla.gov.au/chg/

• Australian Government – Australia Council for the Arts http://www.australiacouncil.gov.au/grants

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 08 9212 3775 or at http://www.museum.wa.gov.au/research/development-service/#introduction. 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 http://www.rslwahq.org.au/About-the-RSL/Constitution-and-By-Laws.aspx. 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: http://www.docep.wa.gov.au/associationsguide/Content/05_Records/5.0_Record_Keeping.htm Electronic Resources for Further Information National Archives of Australia: http://naa.gov.au/records-management Preserving Access to Digital Information: http://www.nla.gov.au/padi Victorian Electronic Records Strategy: http://prov.vic.gov.au/government/vers Record Keeping for Small Business:

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http://www.ato.gov.au/businesses/content/76494.htm Taxation Records for Business: http://www.business.gov.au/BusinessTopics/Taxation/Recordkeepingandreporting/Pages/Recordkeeping.aspx

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Appendix 1: Folder Structure & Disposal Dates

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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):

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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 required:

2012 Records Retention & Disposal

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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 2nd 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).

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Type of Record Retention by and length of time

Disposal

ORGANISATION RECORDS Constitution

• Official copy • Duplicate

• Duplicate

Secretary Committee members Ordinary members

ARCHIVE1 DESTROY after amendment DESTROY after amendment 1 When amended Archive obsolete original

Register of Members • Official copy • Duplicates

Secretary President

ARCHIVE1

1 When amended Archive previous Register.

Committee Meetings • Agendas - Official Secretary 2 years ARCHIVE • Agendas - Duplicate President and Members – as

required DESTROY when no longer required

• Minutes - Official Secretary 2 years ARCHIVE • Minutes - Duplicate President and Members – as

required DESTROY when no longer required

• Reports to Committee (including President’s and Treasurer’s) - Original

Secretary 2 years ARCHIVE

• Reports to Committee - Duplicate President and Members – as required

DESTROY when no longer required

Annual General Meetings

• Agendas - Official Secretary 2 years ARCHIVE • Agendas - Duplicate President and Members – as DESTROY when no longer

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required required • Minutes - Official Secretary 2 years ARCHIVE • Minutes - Duplicate President and Members – as

required DESTROY when no longer required

• Reports to AGM (including President’s and Treasurer’s) - Original

Secretary 2 years ARCHIVE

• Reports to AGM - Duplicate President and Members – as required

DESTROY when no longer required

• Audited Financial Statement presented at AGM - Official

Secretary 2 years

ARCHIVE

• Audited Financial Statement presented at AGM - Duplicate

President and Members – as required

DESTROY when no longer required

Correspondence

• Inwards Secretary 2 years [??] • Inwards – unsolicited brochures, advertisements,

etc Secretary - NAP DESTROY - NAP

• 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

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Finance • Correspondence – Inwards –Organisation related Treasurer 7 years DESTROY 7 years after

annual audit • Correspondence – Inwards – unsolicited

brochures, advertisements, etc Treasurer – NAP DESTROY - NAP

• 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