Recordkeeping for Councillors Allegra Huxtable Manager Government Recordkeeping Unit Tasmanian Archive and Heritage Office Hi my name is Allegra Huxtable - I'm the Manager of Government Recordkeeping for the Tasmanian Archive and Heritage Office. Ross Latham, our State Archivist, and I have been invited to attend the LGAT General Manager’s meeting today, to discuss the requirements of a recent Advice we released regarding the recordkeeping requirements of Councillors. We also aim to provide some practical direction on how Councils may support their Councillors/Aldermen in their recordkeeping activities.

Legislative imperative Archives Act 1983 Local Government Act 1993 Good Governance Transparency and accountability Code of conduct Probity Good business sense Comprehensive and accurate records Business continuity Consistent delivery of services We’ll begin with ‘why’ Councillors and Aldermen might need to keep records. Firstly, there is the legislative imperative. Both the Archives Act and the Local Government Act contain provisions for recordkeeping. (There are a number of other acts relevant to records management – check with your Council’s Records Manager for more information). Transparency and accountability are fundamental characteristics of good governance. Failure to keep adequate records of Council decision making processes and activities, can lead to a lack of accountability, and a loss of public confidence. Councillors have a unique role in providing services and facilities for their communities, and in exercising community leadership and strategic direction. Many Councils have established a Code of Conduct that their Councillors are expected to adhere to, and appropriate management of Council information should be considered part of that code of conduct. Finally, management of full and accurate records makes good business sense! It provides a clear picture of the activities undertaken, allows for informed decision making, and can mitigate risk. Records of Councillor decisions and actions need to be created and maintained to facilitate the smooth operations of Council.

Are all Councillors records State records? Not all records are considered State records – but many are. YES Councillor’s official Facebook page or Twitter account Councillors official email Complaints or requests for assistance from ratepayers & community Speech notes for an address at a Council event Pecuniary declarations NO Records relating to political issues unrelated to Council business Personal emails from friends unrelated to Council business A Councillor’s personal Facebook page Councils need to ensure that Councillors understand the requirements for records they create. TAHO have been asked to assist Councils to define “what” records need to be captured and managed as part of Council business. Any record created, received or sent in their OFFICIAL capacity as a Councillor is part of Council’s public record, and hence a State record. They are not subject to the Act when conducting personal business or business that is unrelated to their role as Councillors – therefore any records that Councillors create, receive or send that are NOT done in connection with their position as Councillor, are not State records.

Which records should be captured? Yes – forward to Records Staff Ratepayer communications Complaints/compliments Correspondence (official business) Submissions, petitions, lobbying Telephone, meetings & other conversations regarding LG projects or business activities Work diaries containing information specific to work on behalf of Council Presentations and speeches delivered as part of official duties No – no need to forward Duplicate copies of Council meeting agenda, minutes and papers Draft documents or working papers already captured by Council Publications – newsletters, circulars and journals Invitations – where an elected member is NOT representing Council or LG Telephone, meetings other conversation where Information is routine Does not relate to LG activity Electioneering Personal records unrelated to official duties Quick reference guides or ‘cheat sheets’ similar to the list above can assist to identify the various types of information created or received by Councillors, and are a handy tool for Councillor use. Where Councils have implemented procedures that direct Councillors to forward relevant information to Records staff for capture to recordkeeping systems (perhaps via the corporate email inbox, or internal mail protocols), checklists like the one shown can help to clarify Councillor understanding of Council requirements. Where Councillors may have confidentiality concerns, these items should be flagged and provisions made to ensure appropriate security and confidentiality is maintained.

Practical strategies for Councils Policy Include in existing Council Records or Information Management policy, or develop Councillor-specific Induction Council internal induction LGAT induction program Training and awareness raising Monitoring/periodic ‘reminders’ Access to refresher recordkeeping training Tools Systems (software/hardware) Processes and procedures Templates Support mechanisms Central administrative support Access to records staff/expertise Councils need to provide an educational role to ensure Councillors understanding and meet recordkeeping responsibilities. Councillors frequently don’t come from a government environment or background, may not have an awareness of good recordkeeping practice, and the regulatory requirements expected of them when undertaking duties on behalf of Council. A recommended approach is for Councils to provide a support framework to assist Councillors to understand and easily manage recordkeeping requirements. This may include elements such as the development of a Records Management policy specific to Councillors, including the practical considerations of recordkeeping in a home office environment; and Council expectations with regard to appropriate information management conveyed through clear procedural documents. It may also include incorporating a recordkeeping component into existing induction programs, and development of tools to support recordkeeping activities, such as document templates designed specifically for Councillor use.

Corporate Systems, ‘Appropriate use’ and Access Email (protocols around use of Councillor’s corporate email address) Network drives - secure areas Provision of office space for Councillor use within Council building Mobile devices (phone, iPad, etc.) Hard copy file management Systems access – EDRMS systems, other business systems Many Councils do not currently provide access to Corporate business systems to Councillors. Often, protocols exist that require Councillors to request information from Council business units or systems via the General Manager. There may be further restrictions around what sort of information is permissible for access, or controls around viewing of hard copy files. The requirement for Councillors to manage recordkeeping associated with Council business appropriately, means Councils may want to review their traditional approach to issues of Councillor access, and consider providing (restricted) access to relevant systems. Strategies may include having secured network drive space for individual Councillor use, accessible by the Councillor and authorised staff (eg Records Manager, and General Manager). For those agencies with more sophisticated EDRMS systems available, it may mean the creation of Councillor log-ins (with limited functionality and access) to manage information within an appropriately structured part of the corporate system. Note this approach will obviously require additional training and support in system use. Agencies with paper based systems may require file creation, and those containing records considered ‘confidential’ be kept in secure, locked or otherwise controlled locations accessible only to authorised staff.

Procedures and workflow Consider the development of procedures to guide Councillors and assist with time management. These may include: Identifying what records to keep Responsibility for creation, capture and disposal of records (who is responsible for what activity) Capture of hard copy records Capture of email Identification of confidential or sensitive information to Records Processes for capture of incoming Councillor mail (paper), including mail marked private/confidential Emails received through corporate email inbox addressed to Councillors Access arrangements Confidentiality and Information disclosure Handling and care of Council records Appropriate authorised disposal (usually via Council’s Records Team) Councils can provide support to Councillors by developing protocols and procedures for Councillors to follow, to ensure records are captured and managed appropriately. In all cases, procedures or workflows will need to be developed as to the frequency or ‘timeliness’, and responsibility for capture of records in all formats to Council systems – whether by Councillors themselves, or via administrative support teams (Records staff, GM or Mayoral secretary, etc). There will be some instances where the responsibility falls internally to Council administration or Records staff. An example may be the capture/filing of Council Minutes to corporate systems – Councillors will only receive distribution copies, and will not be required to save these records. Clear, concise procedural documents will assist to identify individual responsibility for records identification and management.

What about mobile devices like laptops, iPads, and smartphones? Develop ‘acceptable use’ policies – these may be for both email and hardware/software applications Develop BYOD (Bring Your Own Device) policy to ensure appropriate management of Council information accessed through provided, or private, mobile solutions Deletion of duplicate copies – can this be automated? Procedures/instructions in place to manage information Capture email correspondence at ‘end’ point in conversation capture all ‘sent’ items related to Council business Only use Councillor’s corporate email address for Council business & “cc” Council’s corporate email inbox for capture by Records staff When it comes to mobile devices, Councils need to consider “Appropriate Use” policies for all council staff – Councillors included. Mobile devices may be used as a tool for viewing email and accessing Council agendas, or they may have additional capacity for storage of information, which poses significant recordkeeping issues. Tools such as Dropbox and Docs On Tap are fast becoming popular distribution applications. These tools need to be evaluated for appropriate business use. In the event Council management endorse the use of such applications after performing appropriate risk assessments (a mandatory requirement), Records and Information Managers (or managers charged with this responsibility) will be required to develop ‘appropriate use’ policy to guide Councillors and staff, and ensure secure management of Council information.

Management of Home Office workspaces? Procedures in place at induction, and also at resignation/retirement/termination for Councillors, e.g. Senior officer may need to attend Councillor’s home office to support finalisation of business Protocols for home office records management When / how information needs to be ‘synched’ with, or transferred to, appropriate Council corporate systems Hard copy filing requirements Provision of devices Provision of media (USB drives, portable hard drives, etc.). Include usage requirements – encryption or password protection if applicable.

Where to from here…..? Determine the current situation. What are the current practices/protocols around the management of Councillor records? Risk analysis of current findings, and mitigations strategies for identified risk Ask Records Management and IT staff to develop a project plan for how to manage Councillor records. Considerations may include: Policies, procedures, templates and ‘cheat sheets’ or checklists Induction programs Access to Councils corporate systems Paper file management BYOD (Bring Your Own Device) Email management – how does this get to Records staff or captured? Home office arrangements Regular copies of network drives taken and loaded into EDRMS Investigate a project to effectively manage Councillor special projects

Future direction TAHO has recently commenced work on a number of Local Government specific initiatives to improve recordkeeping awareness and practice, for all Council staff including Councillors. Initiatives include: Articles in LGAT quarterly magazine Training and event information advertised in the LGAT newsletter Approaching Local Government organisations (LGMAT, LGWAT) regarding opportunities for collaboration and awareness Dedicated TAHO liaison officers for all LG agencies and enterprises Working with LGAT to incorporate recordkeeping awareness elements into formal induction programs Recordkeeping Toolkit for Local Government TAHO has recently commenced work on a number of Local Government specific initiatives to improve recordkeeping awareness and practice, for all Council staff including Councillors. You may have noticed an increase lately in our profile – we have been actively approaching Local Government associations to secure opportunities for awareness raising and presentations, and have been producing material for LGAT quarterly publications. We have also developed an operational Recordkeeping Toolkit aimed specifically at Local Government, which includes a number of templates and sample documents for use.

Questions? Allegra Huxtable – Manager Government Recordkeeping Unit E: allegra.huxtable@education.tas.gov.au