2.1 Each Employee is required to sign a statement of compliance agreeing to abide by and uphold the InfoXpert Business Rules.
2.2 Each Employee will complete this training manual during their Workplace Induction, at the commencement of their Employment.
2.3 This package will be available on Council's Intranet should an employee wish to utilise it at the time of registration.
2.4 The Records Compliance Officer has the right to audit and maintain records as registered by any employee. Relevant feedback will be provided.
Sunday, October 4, 2009
InfoXpert Business Rules
INFOXPERT BUSINESS RULES
1.1 WHY DO WE NEED BUSINESS RULES?
The need to electronically capture documents is both a business necessity and a legal requirement. It is imperative that all corporate documents/records are captured to:
(a) ensure consistency across the organisation in registration practices and retrieval of information methods;
(b) standardise information and record management processes;
(c) provide a framework and rules for record keeping, and the effective and efficient management of the corporate memory;
(d) manage and utilise records conducive to individual business requirements of all Units and Divisions of Council, whilst maintaining consistency and conformance with organisational needs and legislative obligations.
1.2. WHAT IS A RECORD?
The International Standard AS ISO 15489-1 – Information and documentation for records management states that “Records are created, received and used in the conduct of business activities. To support the continuing conduct of business, comply with the regulatory environment, and provide necessary accountability, organisations should create and maintain authentic and useable records, and protect the integrity of those records for as long as required.
1.3. LEGISLATION AND STANDARDS:
The Public Records Act 2002
Information Standard 31 – Retention and Disposal of Public Records
Information Standard 40 – Recordkeeping
Information Standard 18 – Security
Information Standard 42 – Privacy
International Standard AS ISO 15489-1
1.4 INFOXPERT – COUNCIL’S ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SYSTEM::
Council uses InfoXpert as its Electronic Document and Records Management System (EDRMS). All corporate records (including documents, files, photographs, sound recordings, plans and films) must be stored in InfoXpert. Before access to InfoXpert is granted staff must complete a training program on records management and the use of InfoXpert.
1.5 USING BUSINESS CLASSIFICATION SCHEME:
Council's Business Classification Scheme is an integral part of InfoXpert, and of Council’s records management program. A Business Classification Scheme is a tool which supports effective records management practices. In the BCS the top level represents the business function (for example PUBLIC HEALTH), the second level represents activities that make up the function (for example CAMPAIGNS), and the third level represents the transaction that take place within each activity (for example FLUORIDATION).
Use of a Business Classification Scheme also provides consistency across Council in the way records are managed. Classifying records according to function provides more effective management, retrieval and sharing of corporate information.
1.6 SECURITY OF INFORMATION:
InfoXpert has security and controls to prevent unauthorised access to documents and unapproved release of corporate information. However, all staff should be aware that release of any information obtained by the Council is not permitted unless expressly authorised to do so. Staff should also familiarise themselves with Council’s Confidential Information Policy, Code of Conduct and other associated policies and Corporate Management Directives.
1.7 INFOXPERT BUSINESS RULES
The Business Rules list the requirements for users of InfoXpert with regard to:
• Which documents/records to capture
• Entering a summary of a document/record
• Formatting information
• Entering a file number
• Creating a contact and organisational database entry
• Using the notes facility
• Transferring or copying information to other users
• How an Action Officer should co-ordinate a response
• Restricting access to confidential documents
All documents important to the corporate memory of Council should be captured in the InfoXpert database.
1.8 WHAT IS CORPORATE MEMORY?
Corporate Memory refers to all records that are captured to meet the operational business needs, accountability requirements and community expectations of Council
This includes
• Documents
• Files
• Videos
• DVDs, CDs, CDROMs
• Photos
• Plans
• Emails
• Memos
• Letters
• Forms
• Microforms
• Corporate Websites
1.9 SUMMARY OF DOCUMENT TYPES
All these documents (except website content) must be captured in InfoXpert.
The document and record types integral to Council corporate memory include:
Written Correspondence consisting of:
• Inwards Letters
• Outwards Letters
• Inwards Emails
• Outwards Emails
• Inwards Facsimiles
• Outwards Facsimiles
Memos (Internal)
Legal Documents consisting of:
• Bank Guarantees
• Contracts
• Agreements
• Certificates of Title
• Registration Confirmation Statements
• Easements
• Leases
• Licences
Policy Documents
Meeting Agendas and Minutes
Applications including but not limited to:
• Planning Applications
• Building Applications
• Plumbing Applications
• Job Applications
Records of Oral Conversations including:
• Notes from telephone conversations
• Notes from meetings (between individuals)
• Tape or digital recordings of incidents
Drawings, Maps and Plans including:
• Hardcopy plans
• Plans received electronically
• Microforms
• Maps, Plans or drawings from GIS
Copyrighted reference materials including:
• Periodicals and Journals
• Reports
• CDs, DVDs, Videos, CDROMs
• Books and other published documents
• Internet- downloaded and emailed documents
Website Content:
Notices including but not limited to:
• Infringement Notices
• Rates Notices
• Dog Registrations
• Water Usage Notices
• Notice of Legal Action
Forms including but not limited to:
• Service Request Forms
• Change of Ownership forms
• Rates Searches
• FOI Requests
• Leave Forms
THE BUSINESS RULES:
2.1 CAPTURE OF RECORDS IN INFOXPERT
The Records Section registers all incoming documents of a business nature received through the mail or across the counter. Any correspondence received by officers which has by-passed the Records Section must be sent to the section for capture into the system. This will ensure the integrity of Council’s corporate memory and information. All staff have a responsibility to ensure that corporate records are captured and stored in InfoXpert.
Inwards Correspondence
The Records Section processes all inwards correspondence received via the mail, hand delivery and by facsimile. These documents are scanned and registered and then tasked to the appropriate officer/s. The Records Section does not have the capacity to scan documents (such as plans) which are larger than A3. Wherever possible, plans larger than A3 should be received in an electronic format.
Inwards Emails
The Records Section captures, distributes and stores emails received via the generic council email address.
Emails received directly by council officers should be captured as follows:
1. If an officer receives an email from an external source, then it is the responsibility of that officer to capture and store (register) the email in InfoXpert.
2. If 2 or more officers receive the same email, it is the responsibility of the first officer on the receiving list to register the email.
3. If an officer sends an email to other council offers, it is the sender’s responsibility to register the email.
If Officers are unsure about how or where to register an email, assistance will be provided by the Records section.
Outward Correspondence & Emails
Officers are responsible for the registration of their own outward going correspondence. Outgoing correspondence must be placed in the tray at front office for mailing. It is the duty of Customer Service to copy the letter with attachments before sending. The copy is to be then forwarded to Records Section for scanning of attachments if required and filing.
If an officer sends an email either externally or to other council officers, it is the sender’s responsibility to register the email in InfoXpert. These emails may also be forwarded to the Records Section for registering if required.
Legal Documents
All Legal Documents should be forwarded (either in hardcopy or electronic form) to the Records Section for registration.
Applications
Planning and Development applications - initially to be registered by records, then originals passed to Planning Section
Plumbing Applications – same as above.
Job Applications – to be registered by Records.
1.1 WHY DO WE NEED BUSINESS RULES?
The need to electronically capture documents is both a business necessity and a legal requirement. It is imperative that all corporate documents/records are captured to:
(a) ensure consistency across the organisation in registration practices and retrieval of information methods;
(b) standardise information and record management processes;
(c) provide a framework and rules for record keeping, and the effective and efficient management of the corporate memory;
(d) manage and utilise records conducive to individual business requirements of all Units and Divisions of Council, whilst maintaining consistency and conformance with organisational needs and legislative obligations.
1.2. WHAT IS A RECORD?
The International Standard AS ISO 15489-1 – Information and documentation for records management states that “Records are created, received and used in the conduct of business activities. To support the continuing conduct of business, comply with the regulatory environment, and provide necessary accountability, organisations should create and maintain authentic and useable records, and protect the integrity of those records for as long as required.
1.3. LEGISLATION AND STANDARDS:
The Public Records Act 2002
Information Standard 31 – Retention and Disposal of Public Records
Information Standard 40 – Recordkeeping
Information Standard 18 – Security
Information Standard 42 – Privacy
International Standard AS ISO 15489-1
1.4 INFOXPERT – COUNCIL’S ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SYSTEM::
Council uses InfoXpert as its Electronic Document and Records Management System (EDRMS). All corporate records (including documents, files, photographs, sound recordings, plans and films) must be stored in InfoXpert. Before access to InfoXpert is granted staff must complete a training program on records management and the use of InfoXpert.
1.5 USING BUSINESS CLASSIFICATION SCHEME:
Council's Business Classification Scheme is an integral part of InfoXpert, and of Council’s records management program. A Business Classification Scheme is a tool which supports effective records management practices. In the BCS the top level represents the business function (for example PUBLIC HEALTH), the second level represents activities that make up the function (for example CAMPAIGNS), and the third level represents the transaction that take place within each activity (for example FLUORIDATION).
Use of a Business Classification Scheme also provides consistency across Council in the way records are managed. Classifying records according to function provides more effective management, retrieval and sharing of corporate information.
1.6 SECURITY OF INFORMATION:
InfoXpert has security and controls to prevent unauthorised access to documents and unapproved release of corporate information. However, all staff should be aware that release of any information obtained by the Council is not permitted unless expressly authorised to do so. Staff should also familiarise themselves with Council’s Confidential Information Policy, Code of Conduct and other associated policies and Corporate Management Directives.
1.7 INFOXPERT BUSINESS RULES
The Business Rules list the requirements for users of InfoXpert with regard to:
• Which documents/records to capture
• Entering a summary of a document/record
• Formatting information
• Entering a file number
• Creating a contact and organisational database entry
• Using the notes facility
• Transferring or copying information to other users
• How an Action Officer should co-ordinate a response
• Restricting access to confidential documents
All documents important to the corporate memory of Council should be captured in the InfoXpert database.
1.8 WHAT IS CORPORATE MEMORY?
Corporate Memory refers to all records that are captured to meet the operational business needs, accountability requirements and community expectations of Council
This includes
• Documents
• Files
• Videos
• DVDs, CDs, CDROMs
• Photos
• Plans
• Emails
• Memos
• Letters
• Forms
• Microforms
• Corporate Websites
1.9 SUMMARY OF DOCUMENT TYPES
All these documents (except website content) must be captured in InfoXpert.
The document and record types integral to Council corporate memory include:
Written Correspondence consisting of:
• Inwards Letters
• Outwards Letters
• Inwards Emails
• Outwards Emails
• Inwards Facsimiles
• Outwards Facsimiles
Memos (Internal)
Legal Documents consisting of:
• Bank Guarantees
• Contracts
• Agreements
• Certificates of Title
• Registration Confirmation Statements
• Easements
• Leases
• Licences
Policy Documents
Meeting Agendas and Minutes
Applications including but not limited to:
• Planning Applications
• Building Applications
• Plumbing Applications
• Job Applications
Records of Oral Conversations including:
• Notes from telephone conversations
• Notes from meetings (between individuals)
• Tape or digital recordings of incidents
Drawings, Maps and Plans including:
• Hardcopy plans
• Plans received electronically
• Microforms
• Maps, Plans or drawings from GIS
Copyrighted reference materials including:
• Periodicals and Journals
• Reports
• CDs, DVDs, Videos, CDROMs
• Books and other published documents
• Internet- downloaded and emailed documents
Website Content:
Notices including but not limited to:
• Infringement Notices
• Rates Notices
• Dog Registrations
• Water Usage Notices
• Notice of Legal Action
Forms including but not limited to:
• Service Request Forms
• Change of Ownership forms
• Rates Searches
• FOI Requests
• Leave Forms
THE BUSINESS RULES:
2.1 CAPTURE OF RECORDS IN INFOXPERT
The Records Section registers all incoming documents of a business nature received through the mail or across the counter. Any correspondence received by officers which has by-passed the Records Section must be sent to the section for capture into the system. This will ensure the integrity of Council’s corporate memory and information. All staff have a responsibility to ensure that corporate records are captured and stored in InfoXpert.
Inwards Correspondence
The Records Section processes all inwards correspondence received via the mail, hand delivery and by facsimile. These documents are scanned and registered and then tasked to the appropriate officer/s. The Records Section does not have the capacity to scan documents (such as plans) which are larger than A3. Wherever possible, plans larger than A3 should be received in an electronic format.
Inwards Emails
The Records Section captures, distributes and stores emails received via the generic council email address.
Emails received directly by council officers should be captured as follows:
1. If an officer receives an email from an external source, then it is the responsibility of that officer to capture and store (register) the email in InfoXpert.
2. If 2 or more officers receive the same email, it is the responsibility of the first officer on the receiving list to register the email.
3. If an officer sends an email to other council offers, it is the sender’s responsibility to register the email.
If Officers are unsure about how or where to register an email, assistance will be provided by the Records section.
Outward Correspondence & Emails
Officers are responsible for the registration of their own outward going correspondence. Outgoing correspondence must be placed in the tray at front office for mailing. It is the duty of Customer Service to copy the letter with attachments before sending. The copy is to be then forwarded to Records Section for scanning of attachments if required and filing.
If an officer sends an email either externally or to other council officers, it is the sender’s responsibility to register the email in InfoXpert. These emails may also be forwarded to the Records Section for registering if required.
Legal Documents
All Legal Documents should be forwarded (either in hardcopy or electronic form) to the Records Section for registration.
Applications
Planning and Development applications - initially to be registered by records, then originals passed to Planning Section
Plumbing Applications – same as above.
Job Applications – to be registered by Records.
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