Records

Document Currently Under Review

Current Status: Under Review /With Editor 5 August 2013

Records and Document Management Policy

Policy Code: IM1477

Purpose

This policy establishes the framework under which official records and documents of the University are created and managed.  It lists the responsibilities of staff, and articulates the principles underpinning the processes outlined in the records and document management guidelines.

The intent of this Policy is to ensure that University business areas have the appropriate governance and supporting structure and resources in place to enable them to manage their records and documents in a manner that is planned, controlled, monitored, recorded and audited, using an authorised system.

This Policy states the key strategic and operational requirements for adequate recordkeeping and document management throughout the University to ensure that the business needs for evidence, accountability and information about university activities are met.

Scope

This Policy is applicable to all staff of the University and to all official corporate records and documents, in any format and from any source. Examples include paper, electronic messages, digital documents and records, video, DVD, web-based content, plans, and maps.

This Policy does not apply to public domain material or data held within business systems such as the University’s core business applications.

Definitions

DataWorks: The University’s ERDMS - the authorised recordkeeping and document management system.
Document:

Structured units of information recorded in any format and on any medium and managed as discrete units or objects. Some documents are records because they have participated in a business transaction, or were created to document such a transaction. Conversely, some documents are not records because they do not function as evidence of a business transaction.

(Source:Queensland State Archives - Glossary of Archival and Recordkeeping Terms Version 2.00 January 2008).

Email:

The transmission of text messages and optional file attachments over a network.

(Source: TechEncyclopedia)

ERDMS: Electronic Records and Document Management System.
Records:

Information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business.

(Source:  AS ISO 15489.1 2002, Information and documentation – Records management 3.15)

Refer to the Co-ordinator, Records Management for further information on the ISO Standard.

Recordkeeping System:

Information system that captures manages and provides access to records through time.

(Source: AS ISO 15489.1 2002, Information and documentation – Records management 3.17)

Refer to the Co-ordinator, Records Management for further information on the ISO Standard.

Records Management:

Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records. 

(Source:  AS ISO 15489.1 – 2002)

Refer to the Co-ordinator, Records Management for further information on the ISO Standard.

University Business Areas: Refers to an academic, research or administrative area, which may include a School, Portfolio, Section, Unit or Centre.

Policy Statement

Records and documents created, received or used by University staff in the normal course of business are the property of the University, unless otherwise agreed. This includes reports compiled by external consultants commissioned by the University.

The University’s official records constitute its corporate memory, and as such are a vital asset for ongoing operations, and for providing evidence of business activities and transactions.  They assist the University in making better informed decisions and improving business practice by providing an accurate record of what has occurred before.

Therefore, records are to be:

  • managed in a consistent and structured manner;
  • managed in accordance with University guidelines and procedures;
  • stored in a secure manner, in accordance with the Records and Document  Management Guideline – Access and Security;
  • disposed of, or permanently archived, in accordance with the Records and Document Management Guideline – Archiving and Disposal;
  • captured and registered using the authorised recordkeeping system (DataWorks) provided for this purpose, in accordance with the Records and Document Management Guideline – Create, Classify, Capture.

and documents are to be:

  • created by authorised officers and managed in the central and controlled repository of the University Electronic Records and Document Management System (currently DataWorks), in accordance with the Records and Document Management Guideline – Create, Classify, Capture; 
  • version controlled by authorised officers in accordance with the Records and Document Management Guideline – Access and Security.

Responsibility

The Senior Officer responsible for Records Management has delegated responsibility for records management other than financial records across the University.

The Coordinator, Records Management is accountable for providing business areas with assistance in the overall management of records and documents, including:

  • management of the University Recordkeeping and Document Management System (DataWorks);
  • management of the Records Management Department;
  • providing assistance to business areas with the implementation and interpretation of the Records and Document Management Procedures and Guidelines;
  • maintaining and developing University policy and promulgating this to the business areas;
  • identifying retention and disposal requirements for operational and administrative records;
  • providing training in records and document management processes and DataWorks.

Recordkeeping and Document Management System

The University's recordkeeping and document management system assists University staff to capture records, protect their integrity and authenticity, provide access through time, dispose of records no longer required by the University in the conduct of its business, and ensure records of enduring value are retained. It also facilitates the creation, version control, authority of official corporate documents.

The University's recordkeeping and document management system is managed by the Records Management Department which provides ongoing support, development and training to business areas, so that the University's legislative, business and community responsibilities are met.

The University’s authorised recordkeeping and document management system is DataWorks.

All staff are to use DataWorks to ensure that:

  • official records and documents are routinely captured and subjected to the relevant retention and disposal authority;
  • access to records and documents is managed according to authorised access and  appropriate retention times regardless of campus location;
  • records and documents are protected from unauthorised alteration or deletion;
  • documents are version controlled as required;
  • there is one authoritative and primary source of information documenting the University’s decisions and actions.

All staff within the University, who create, receive and keep records and documents as part of their daily work, should do so in accordance with established policies, procedures and standards. Staff should not undertake disposal of records without authority – and only in accordance with authorised disposal schedules.

Implementation

The Records and Document Management Policy will be implemented throughout the University via:

  1. An Announcement Notice under ‘FedNews’ on the ‘FedUni’ website and through the University Policy - ‘Recently Approved Documents’ webpage to alert the University-wide community of the approved Procedure.
  2. Inclusion on the University's online Policy Library.
  3. Information/Training Sessions provided to staff by the Co-ordinator, Records Management.