Records Management - Governing and Institutional Operating Policy
Responsible Officer: Deputy Vice-Chancellor
Designated Officer: Director, Information Services
Approval authority: Council
Approval: C08/17, 15 April 2008
Last amended:
Effective starting date: 15 May 2008
Any policies replaced by this policy: Original Records Management Policy
Policy number: G13.
Related policies:
Due date for next review: February 2013
PART A: Preliminary
1 Purpose of policy
This policy is intended to set a broad framework for records management by and within the University and to enunciate principles for consistency in, and minimal requirements for, the development, approval, implementation, monitoring and review of records management practices within the University to ensure compliance and best practice. The policy should be read in conjunction with the Freedom of Information Policy, Public Records Act (Queensland) 2002 and the relevant Queensland Information Standards.
2 Application of policy
This policy is a governing policy and an institutional operating policy and applies to all University staff, contractors and consultants, all aspects of the University’s operations, all records created or received in any medium to support business activities and all business applications used to create records.
3 Definitions
In this policy the following definitions apply:
Corporate Record means any record, in any form, that is created or received by the University that documents the business transactions, actions, decisions and activities of the University. Corporate records can also be known as University records.
Disposal of a record includes destroying or damaging the record, or part of it; or abandoning, transferring, donating, giving away or selling the record, or part of it.
Disposal Schedule means any schedule of record categories approved by the Queensland State Archivist setting out the length of time records must be retained by the University before disposal action is taken. The University operates under two approved retention and disposal schedules ie the General Retention and Disposal Schedule for Administrative Records and the General Retention and Disposal Schedule for Queensland Universities.
Electronic Record means any record that has been generated, received or stored in electronic format and is maintained by means of electronic equipment. This includes word processing files, spreadsheets, email, digital photographs, plans, scanned documents, etc.
Inactive Record means a record that is no longer required for administrative or other purposes on a regular basis and/or the subject matter is no longer current but the record is required to be retained under one of the approved disposal schedules.
Reasonable Time (for access) means a length of time agreed upon by Records Management Services and the officer requiring access to the record. This may include external factors such as archival storage retrieval and transport of the record if the record is stored off campus.
Record means recorded information created or received in the transaction of business or the conduct of affairs that provides evidence of the business or affairs and includes—
(a) anything on which there is writing; or
(b) anything on which there are marks, figures, symbols or perforations (ie computer records) having a meaning for persons, including persons qualified to interpret them; or
(c) anything from which sounds, images or writings can be reproduced with or without the aid of anything else; or
(d) a map, plan, drawing or photograph.
Records Classification Scheme means a hierarchical system of classification that reflects the business functions and activities of the University, and provides the framework for how University records should be categorised. The Records Classification Scheme contains terms and scope notes that represent and describe the business functions of the University and show the relationship between the different levels of terms.
Records Management System means an authorised electronic recordkeeping system where University records are recorded and managed. The records management system may also manage the creation, capture, storage, retrieval, access, security and disposal of University records.
University Record see Corporate Record.
PART B: Policy
4 Records management principles
4.1 All corporate records created or received by the University or by individuals acting on its behalf are the property of the University and subject to its control.
4.2 The University endorses the following Records Management Principles to maintain compliant and accountable recordkeeping:
- Recordkeeping must ensure the University is compliant and accountable in all areas of business;
- Recordkeeping must be monitored and audited for compliance;
- Recordkeeping activity must be assigned (to specific officers) and implemented;
- Recordkeeping must be managed;
- Recordkeeping systems must be reliable and secure;
- Recordkeeping must be systematic and comprehensive; and
- Full and accurate records must be made and kept for as long as they are required for business, legislative, accountability and cultural purposes. To meet this principle, records must be created, captured, adequate, complete, meaningful, accurate, authentic, inviolate, accessible, useable, retained and preserved.
4.3 The Records Management Policy shall apply to records in any medium, including electronic records.
5 Responsibilities
5.1 University staff, contractors and consultants
Each employee of the University, contractor and consultant will be responsible and accountable to the relevant Cost Centre Manager for creating records that document the business transactions and activities in which they take part, and to maintain these records in accordance with University policy and legislative requirements. All staff shall undertake records management training to a level suitable for their level of record keeping responsibilities.
5.2 Records Liaison Officer
A Records Liaison Officer shall be nominated for each cost centre and be responsible for the day to day operational management of records within that cost centre.
5.3 Director, Information Services
The Director, Information Services is responsible for the establishment and management of records management systems, policies and procedures to ensure compliant recordkeeping. The Director, Information Services is responsible for records stored in Records Management Services.
5.4 Cost Centre Managers
Cost Centre Managers, depending on their lines of reporting, will be responsible and accountable to the Vice-Chancellor, Deputy Vice-Chancellor or Pro Vice-Chancellor, for implementation of the Records Management Policy, procedures and good recordkeeping practices within the organisational unit/s under their responsibility or any University-wide functional areas that they may lead. Cost Centre Managers shall nominate Records Liaison Officers for all areas under their responsibility. Cost Centre Managers are responsible for ensuring that all appropriate material within their area, including email, is recorded in an approved records management system.
6 Records management systems
6.1 Corporate records management systems shall be approved for:
(a) Financial records
(b) Staff and payroll records
(c) Student records
(d) Curriculum records
(e) Legal and contractual records, and
(f) All other records
6.2 Corporate records management systems approved under this policy are listed in Schedule A and may be amended on the approval of the Deputy Vice Chancellor.
6.3 All University records are to be recorded in one of the approved records management systems.
(a) It is mandatory for all staff to ensure University records are recorded, managed and disposed using the records management systems.
(b) All records contained in the records management systems shall be securely stored.
7 Records creation and capture
7.1 Records are to be created as evidence of business decisions, actions or transactions.
7.2 All records, including emails and other electronic records, created or received shall be captured and managed in an approved records management system.
8 Access to records
8.1 Staff may have access to those records necessary to fulfil their duties.
(a) Certain records of a confidential nature may have restricted access for the period of time which they remain confidential.
(b) All requests by external agencies or individuals for access to records of a personal nature, other than their own record, must be referred to the University’s Privacy Officer.
8.2 University records must remain on campus with the exception of the following:
(a) Archived records may be stored off campus with an approved service provider.
(b) Records are required to be made available to a court or for other legal purposes.
(c) Any other exceptional purpose with the approval of the Director, Information Services who may stipulate special conditions to be taken while the record is off campus.
9 Records classification scheme
9.1 A University records classification scheme shall be developed and maintained by Records Management Services, and made available to all staff.
9.2 The records classification scheme shall be used for classifying all University records.
10 Disposal of records
10.1 The disposal of all records shall be through consultation with Records Management Services and with the approval of the Director, Information Services.
(a) No records shall be disposed of without the permission of the Director, Information Services, or in the case of security video CCTV records, the Operations Manager, Capital Programs and Operations.
(b) The University has two Retention and Disposal Schedules approved by the Queensland State Archives under which records can be disposed of. The schedules are maintained by Records Management Services, and made available to all staff.
(c) All records are to be disposed of in accordance with the approved retention and disposal schedules.
10.2 Records of cultural or historical significance to the University of the Sunshine Coast may be retained beyond the approved disposal period.
(a) The University may identify records of cultural or historical significance that should be retained beyond the period set out in the approved retention and disposal schedules. These records shall be identified and included in a separate Schedule of Retained Records developed specifically for records identified for extended retention periods.
(b) The Schedule of Retained Records will be maintained by Records Management Services.
(c) Categories of records may be added to the Schedule of Retained Records upon approval of the Deputy Vice-Chancellor.
11 Archiving of records
11.1 Inactive records shall be retained in accordance with approved retention periods in the University’s archival storage facility.
(a) Inactive records shall be the responsibility of Records Management Services.
(b) Inactive records shall remain accessible by staff.
11.2 Archival storage shall be established and managed by Records Management Services.
12 Staff leaving employment
12.1 Any staff member who ceases employment shall ensure all University records under their control, regardless of format, have been identified and included in the official recordkeeping system.
12.2 Cost Centre Managers should ensure the departing staff member has complied with 12.1.
12.3 Where it would appear that section 12.1 has not been complied with, the Deputy Vice-Chancellor may authorise the Director, Information Services to have access to the departing staff member’s F: drive and/or email to ensure all University records have been captured into the records system.
13 Training
13.1 All staff of the University shall be provided records management training to the level of their responsibilities under this policy.
14 Audit and Review
14.1 A schedule of on-going records management audits shall be developed and implemented to ensure compliant record keeping is maintained in all areas of the University.
14.2 The University’s electronic records management system shall be reviewed every five years to ensure compliance and best practice are maintained.
15 Disaster recovery
15.1 A Records Disaster Recovery Plan shall be developed and implemented to minimise the loss of University records in the event of a disaster.
15.2 The Records Disaster Recovery Plan shall be reviewed every two years.
Schedule A: Approved corporate records management systems
The following systems are approved electronic systems for the purposes of records management:
- PeopleSoft - Financial records - management responsibility - Chief Financial Officer
- PeopleSoft - Staff and personnel records - management responsibility - Director, Human Resources
- PeopleSoft - Student records - management responsibility - Director, Student Administration
- RecFind - Legal and contractual records - management responsibility - Director, Information Services
- RecFind - All other administrative records - management responsibility - Director, Information Services
- Curriculum Management System - Curriculum records (yet to be determined) - management responsibility - Director, Teaching and Research Services
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