Records Management Policy and Procedures Manual
** Please note that our Records Management Policy and Procedures Manual is currently under review. The new policy and procedures documents will be available in February 2010. In the meantime, if you have any queries related to our policy and procedures, please contact the Manager, Records Services on cvn@unimelb.edu.au. **
Chapter 1 Introduction
1.2. Availability and Updating
1.3. Records Management Policy
1.6. Contact Information – Records Services
1.6.2. Manager, Records Services
Records Services is responsible for policy advice and records management services to the University community. The Records Management Policy and Procedures Manual aims to provide clear, concise information on recordkeeping matters, in a format accessible to staff of the University. Further information and advice on issues discussed in the Manual can always be sought from the relevant contact officer who is listed in each section. Current names and telephone extensions for contact officers are given in Section 1.5 and Section 1.6 of this manual.
1.2. Availability and Updating
Regular updates of the Manual are made to the web version of the manual. Records Services will not be issuing any printed versions of the manual however if a printed copy is required, a pdf version of the Records Management Policy and Procedures Manual may be downloaded and printed from the web.
Any queries or suggestions for inclusion or amendment of material should be directed to the Manager, Records Services see Section 1.6.2.
1.3. Records Management Policy
Purpose
The purpose of this document is to broadly identify
• the function and purpose of records and recordkeeping within the context of the University of Melbourne,
• the roles and responsibilities of University staff in maintaining access to University records both paper and electronic,
• the rules of assessment for when records should be created and what the requirements are for capturing and maintaining them over time and space.
Policy Scope
This policy sets out the recordkeeping requirements for all official university records, created or received by persons employed or engaged by the University of Melbourne during the course of their normal business activities.
Definitions
University record
A record comprises recorded information in any form, created, or received and maintained by the University in the transaction of business activities or the conduct of affairs and retained as evidence of such activity.
Business transaction
The smallest unit of a business activity. Refers to both University administrative and commercial activities. Within the context of email, the email becomes a record when it is transmitted (i.e sent).
Archive (a collection of records or location)
The whole body of records [paper and electronic records] of continuing value of an organization or individual. Sometimes called ‘corporate memory' [1].
Recordkeeping system
Recordkeeping systems are business information systems capable of capturing, maintaining and providing access to records over time [2].
Keyword classification
Keyword classification involves grouping records into broad, functionally based areas represented by keywords. Records are further classified by the use of activity descriptors and optional subject descriptors.
Metadata
Data describing data and data systems.
In records management, recordkeeping metadata is data that describes the context, content and structure of records and their management through time.
Reference
• University Records Management Policy and Procedures
• Public Records Act (1973)
• Copyright Act (1968)
• Privacy Act, Commonwealth (1988)
• Information Privacy Act (VIC) 2000
• Health Records Act (VIC) 2001
• International Standard for Records Management , ISO 15489
• Evidence Act (1958)
• Electronic Transactions Act (2001)
• Whistleblowers Protection Act (2001)
Related Documents
• University policy & procedures manuals
• Information Technology Polices, Strategies and Procedures Guide
• Web Archiving Strategy (WAS) Policy (July 2004, Version 8.5)
• Guide to Managing Research Data and Records
• EHS Recordkeeping requirements
Policy
The function and purpose of records and recordkeeping within the context of the University of Melbourne.
Records that are related to a University business activity must be retained in a manner that ensures their ongoing integrity and retrievability for as long as they are required to meet the business and accountability requirements of the University.
Records serve three purposes – administrative, evidentiary and social/cultural. Records are the basis for:
• organisational accountability,
• compliance with legislative and regulatory requirements,
• current and future policy formation and management decision making,
• protecting the interests of the University and the rights of employees and clients,
• consistency, continuity and productivity in management and administration; and
• documenting University activities, developments and achievements.
The consequences of being unable to provide persistent access to University business related email over time include the following risks:
• Legal liability, for example, records created under the Freedom of Information Act and are “discoverable” in litigation. They can be demanded under subpoena for production in court.
• Lack of business continuity.
• Damage to the University of Melbourne 's reputation and credibility.
• Inability to retain and make available the history of the University to future generations.
The roles and responsibilities of University staff in maintaining access to University records both paper and electronic
POSITION |
RESPONSIBILITY |
Senior Executive Responsibilities |
|
University Secretary |
Under Statute 2.6, has overall responsibility for the management of University records (with the exception of student records). |
Vice Principal and Academic Registrar
|
Management of student records. |
Individual work units and staff members |
|
Individual work units |
University records are maintained by Central Administration, Faculties and Academic Departments. Individual work units are usually responsible for the daily management and storage of their current records. Academic departments maintain assessment records, general correspondence relating to the work unit and committee records. |
Individual staff member |
Individual employees, as records creators, are responsible for making and keeping complete full and accurate records that adequately document University business activities and support any decisions made and registering all records relating to the corporate memory into a recordkeeping system. |
Records Services |
|
Records Management Program |
Monitor and develop University wide records management policies, procedures, standards and guidelines, for the design and implementation of recordkeeping systems and for the appraisal and disposal of University records. Records Services also provides secondary storage facilities for selected short term value records. |
Minutes Office |
A section within Records Services that is responsible for maintaining and indexing selected minutes, agendas and papers of Central Committees |
Central Records |
A section within Records Services that is responsible for the storage, management and retrieval of the University's administrative policy files. |
Other areas with recordkeeping responsibilities include: |
|
University Archives |
It is the responsibility of University Archives to preserve and provide access over time to long term value records that fall within its collection policies. |
Information Division |
Provide guidelines about the appropriate use of electronic resources (including email and University computer and electronic equipment). Includes guidelines and advice about monitoring appropriate security infrastructure and issues concerning data integrity, risk management and disaster recovery within the University's information technology environment. |
Human Resources |
Responsible for maintaining individual personnel files. |
Property and Buildings
|
Responsible for maintaining drawings, maps and other plans and building records. |
Financial Operations |
Responsible for maintaining financial records of the University. |
Risk Management Office |
Responsible for maintaining insurance and worker's compensation records. |
The rules of assessment for when records should be created and what the requirements are for capturing and maintaining them over time and space
It is essential that documents recording University business activity are registered and maintained within a recordkeeping system.
Documents that are used for information only and or contain personal information should be destroyed in accordance with approved processes and legislative requirements.
Adequate records must be created where there is a need to be accountable for decisions, actions, outcomes or processes. Records should be created and maintained in a manner that ensures they are clearly identifiable, accessible and retrievable in order to be available when required.
Records should be full and accurate.
Recordkeeping must be compliant with the regulatory, statutory and administrative environment in which the University operates.
Records must be authentic, credible, authoritative and adequate for the purposes for which they are kept and should correctly reflect what was communicated, decided or done.
Located on University of Melbourne Records Services website at http://www.unimelb.edu.au/records/glossary.html
1.5. Records Services Department
Under the direction of the University Secretary, Records Services comprises of the following units: Records Management Program, Central Records, Minutes Office and Imaging Centre. Further details about each unit can be found at the Records Services homepage.
1.6. Contact Information – Records Services
|
1.6.2. Manager, Records Services
Manager, Records Services |
Ms Catherine Nicholls |
x46996 1st Floor, 780 Elizabeth Street |
1.6.3. Records Management Program
Senior Records Analyst |
Mr Peter Bode |
x44225 |
Records Analyst |
Ms Lucinda Davies |
x49741 |
Supervisor, Central Records |
Ms Lesley Williams |
x46159 6th Floor, Raymond Priestley Building |
Senior Minutes Officer |
Ms Leanne Dyson |
x46162 6th Floor, Raymond Priestley Building |
Supervisor, Imaging Centre |
Mr Joe Arthur |
x46161 Level 3, Thomas Cherry Building |
Endnotes
[1] Australian Standard AS 4390.1-1996 Records Management Part: 1 General p.6
[2] State Records of New South Wales Glossary at http://www.records.nsw.gov.au/recordkeeping/glossary_of_recordkeeping_terms_a-c_4298.asp
To download Chapter 1 as a PDF document, click here.