Records and Information Management

Records and Information Management

SUMMARY

The Records and Information Management Policy establishes a framework for the creation and management of authentic, reliable and useable records and information that support business functions and activities of the University and that comply with legislative requirements and relevant standards.

Associated Procedures, Schedules and Appendixes provide more information as follows:

  • Appendix 1 Records Retention Guide
  • Appendix 2 Records Classification Guide
  • Classification and Capture Procedure
  • Access and Security Procedure
  • Retention and Disposal Procedure
  • Schedule of Definitions

POLICY

1     PURPOSE

To establish a framework for the creation and management of authentic, reliable and useable records and information that support business functions and activities of the University and that comply with legislative requirements and relevant standards. 

2     BACKGROUND

The University relies upon an effective records and information management system to enable business to be conducted in an efficient and accountable manner.  Efficiently managed records and information is a key University asset, providing administrative transparency, consistency and accountability, as well as enhancing the institution’s identity by the collection and preservation of its corporate memory.

Student records form part of the records and information management system.  The University needs to keep accurate records of important student information in order to manage their progress from admission and enrolment, through completion of courses, to graduation and beyond.  Other University records and information include Corporate, Vital, Archives and Legacy records.

This Policy provides details of how the records and information management system will be managed and assigns responsibilities, in order to meet operational, compliance, accountability and community expectations and requirements in accordance with the State Records Act 1998 (NSW) (referred to as ‘The Act’).

This Policy has the following objectives:

  • to specify the requirements for a University-wide records and information system which manages records and information from their design to their destruction or permanent retention
  • to ensure that the University’s records and information system complies with legislative requirements.

3     SCOPE

All Staff members of Macquarie University and its controlled entities (except Macquarie University Hospital) involved in creating records and information during the conduct of University Activities, including officers, employees and contractors of the University and the appointees to conjoint, adjunct, emeritus, honorary, clinical and visiting academic positions of the University.

This policy applies to records and information in all formats, including both digital and physical records, created, received and used in the conduct of University Activities.  The records and information include, but are not limited to, student files, staff files, correspondence, business email, administrative files, financial records, research management and minutes of meetings of University committees or boards.

4     DEFINITIONS

Commonly defined terms are located in the University Glossary. The following definitions apply for the purpose of this Policy:

The State Records NSW Glossary defines terms used in Records Management.  The following definitions are drawn from the State Records Glossary and will clarify the terms used in this Policy. 

Further definitions are set out in the Records and Information Management Schedule. 

Access: the right, opportunity, means of finding, using or retrieving information. (AS ISO 15489 Part 1 Clause 3.1).  The granting of permission to:

  • use the reference facilities of an archives
  • examine and study individual archives and or collections held by archives
  • extract information from archives and records for research or publication.

Archive: the whole body of records of continuing value of an organisation or individual and sometimes called ‘corporate memory’. (AS 4390 Part 1 Clause 4.4)
The whole body or group of records of continuing value of an agency or individual.  An accumulation of series or other record items with a common provenance, or of a distinct organisation, body or purpose.  Ellis (ed), Keeping Archives, p. 462. 
This is also known as the Macquarie University Archive and/or the Macquarie University Records Collection.

Archives:  those records that are appraised as having continuing value. (AS 4390 Part 1 Clause 4.5).  Traditionally the term has been used to describe records no longer required for current use which have been selected for permanent preservation. Also referred to as permanent records. The place (building/room/storage area) where archival material is kept.  An organisation (or part of an organisation) responsible for appraising, acquiring, preserving and making available archival material.  Ellis (ed), Keeping Archives, p. 463.

Recordkeeping Systems:  business information systems capable of capturing, maintaining, and providing access to records over time.

Records: information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business. (AS ISO 15489 Part 1 Clause 3.15). 
Any document or other source of information compiled, recorded or stored in written form or on film, or by electronic process, or in any other manner or by any other means. (The Act)

Records Management:  the 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. (AS ISO 15489 Part 1 Clause 3.16)

Records Management Program: A records management program encompasses the management framework, the people and the systems required within an organisation to manage full and accurate records over time. This includes the identification and protection of records with longer-term value that may be required as State Archives.

Retention and Disposal Authority: documents authorised by the State Records NSW that set out appropriate retention periods for classes of records.

State Record: Any record, made and kept, or received and kept, by any person in the course of the exercise of official functions in a public office, or for any purpose of a public office, or for the use of a public office. State Records Act 1998 (NSW) – for schedule

State Records NSW: the NSW State Government’s archives and records management authority.  It manages the NSW State archives collection and sets the rules and provides guidance on the management of official records.

University:  Macquarie University and where the context permits includes any one or more of the following:
(a) its controlled entities;
(b) any institution affiliated with Macquarie University or any of its controlled entities;
(d) any College; and
(e) any educational institution located on the premises of the University.

University Activities: the activities of the University and the University community including:
(a) teaching, study and research at the University;
(b) the conduct of any academic exercise;
(c) recreational, commercial, disciplinary or ceremonial activities of the University or the University community;
(d) any clinical, professional or practical work, research, workshops, camps or field or vocational placements and any other activities arranged, sponsored, controlled or supervised by the University whether or not it is part of a program or unit of study at the University;
(e) the provision by the University of services to the general community;
(f) the use or enjoyment of any University property or University Premises by any person authorised by the University; and
(g) the management or administration of the University.

University Records: any recorded information created, received, used or maintained as evidence of, or information about, the conduct of the University’s Activities. University Records may be created by any staff member of Macquarie University or its Controlled Entities when undertaking official business and making decisions related to the University’s Activities.  

University Records can be in any format, including but not limited to, electronic documents, hardcopy letters, email, spreadsheets, legal contracts and agreements, building plans, photographs, audio-visual records, anything on which there is writing or Braille or images or sound that convey information.

These Records include, but are not limited to, student files, staff files, correspondence, business email, administrative files, financial records and minutes of meetings of University committees or boards. Specific Research data records are excluded.

Vital Record: a record that is essential for the ongoing business of Macquarie University without which Macquarie University could not continue to function effectively. The identification and protection of such records is a primary objective of records management and business continuity planning.

5     POLICY STATEMENT

RECORDS AND INFORMATION MANAGEMENT FRAMEWORK

The University is committed to making and keeping full and accurate Records of its business transactions and Activities.

The University will continue to improve, promote, maintain and review a University-wide Records and Information Management Program that complies with relevant standards and legislative requirements.

The University will develop procedures in the following areas:

CAPTURE AND CLASSIFY RECORDS
Identify records

  • determine and document what Records and information are to be created, according to the needs and structure of the University and classify them in accordance with relevant legislation
  • identify and document Vital Records
  • identify and document Archives

Implement systems

  • decide and implement the format and media of Records and information are to be created and captured in, and the technologies to be used
  • specify when and where Records and information are captured into the Records and information Management System
  • specify how to organise Records and information to support their requirements for use
  • track the movement and use of Records and information

ACCESS AND SECURITY
Control access

  • regulate Access rights, conditions and restrictions to address privacy, security and freedom of information  
  • provide Access to Records and information, as appropriate, to meet business and community expectations

Store and preserve records

  • ensure that Records and information are stored in a safe and secure environment
  • ensure Vital Records are identified, protected and recoverable when needed
  • preserve and handle Records and information to prevent loss or decay

RETENTION AND DISPOSAL
Archive records

  • transfer control and ownership of University Archives (records of continuing value) to State Records NSW as appropriate

Retain and dispose of records

  • ensure that Records and information are maintained only for as long as needed or required, and
  • systematically and accountably dispose of or destroy Records and information when they are no longer required and meet the criteria for disposal as defined in, and in accordance with the relevant Retention and Disposal Authorities

MONITOR AND EVALUTE
Train staff

  • provide training and consultancy services to all stakeholders and users of the Records Management System

Monitor and evaluate

  • monitor compliance with the Records and Information Management System and ‘The Act’
  • evaluate opportunities for improving the effectiveness, efficiency and quality of the Records Management System

Report

  • report on the Records Management System to the appropriate authorities
  • participate in audits by internal and external agencies.

RESPONSIBILITIES

Vice Chancellor (VC), as head of the University, is responsible for ensuring the University complies with legislative requirements for records and information management.

Chief Operating Officer (COO), as the Vice-Chancellor’s delegate, has the responsibility for overseeing compliance with and performance against the University’s Records and Information Management Program.  The COO may, as and when required, delegate this authority to another senior officer in accordance with the Delegations of Authority Policy.

Director: Strategic Planning and Information (DSPI) is responsible for developing, implementing and monitoring the Records and Information Management Program as well as the University’s Recordkeeping Awareness Program which provides staff with the knowledge and skills required to fulfil their record and information keeping obligations.

Manager Records and Archives (MRA) is responsible for providing Record and Information Management advice and support to business units in relation to managing University Records and Information and manages the University’s Archive and offsite storage facility. 

Manager Digital Information (MDI) is responsible for providing advice and support to business units in relation to managing the digital lifecycle of information assets into digital records systems, record control tools and metadata standards.

Chief Information Officer (CIO) is responsible for ensuring that the information technology systems at Macquarie University perform effectively and comply with statutory requirements for record, information and data keeping functionality (capturing, managing, and protecting records), including disaster planning/business continuity.

Business System Owners (BSOs) are responsible for ensuring the reliability and continued operation and functionality of business systems that generate and store records and information; and for ensuring business continuity plans for these systems are in place.

Executive Group (EG) are responsible for ensuring that the Records and Information Management Program aligns with the strategic direction of the University and is actively implemented within their relevant portfolios.

University staff (M&S) who are in a supervisory capacity are responsible for monitoring and supporting staff to ensure they understand and comply with records and information management policies and procedures.  Managers and Supervisors must encourage and support positive record and information keeping practices within their business areas.

All University staff (S) including casual staff as well as individuals who may perform work on behalf of the University are responsible for ensuring they access records and information only relevant to their role, and understand and comply with their record and information keeping requirements outlined in this Policy and associated procedures, individual position descriptions and in the corporate induction program

No University staff member is excluded from this Policy.

6     RELEVANT LEGISLATION

State Records Act 1998 (NSW)
General Retention and Disposal Authorities: –

  • University Records (GDA23)
  • Administrative Records (Financial & Personnel) (GA28)
  • Original or Source Records that have been copied (GA45)
  • Video/visual Surveillance Records (GDA8)
  • General practice medical records in the custody and control of public offices (GA42)
  • Source Records that have been Migrated (GA33)
  • Transferring records out of NSW for storage with and maintenance by service providers based outside of the State (GA35)

State Records NSW Procedures:

  • Disposal Authorisation (2007)
  • Making Access Directions (2005)
  • Making Still in Use Determinations (1999)
  • Transferring Custody of Records as State Archives (2004)

State Records NSW Standards:

  • Standard on Records Management (Standard No. 12)

Physical Storage of State Records (2012)

State Records NSW Regulation 2010 (NSW)

AS ISO 15489 (2002) Records Management
AS ISO 23081.1 (2006) Records Management Processes – Metadata for Records (2010)

Related Legislation
Crimes Act 1900 (NSW)
NSW Government Digital Information Security Policy
Electronic Transactions Act 2000 (NSW)
Evidence Act, 1995 (Cwlth)
Finance and Public Audit Act, 1983 (NSW)
Health Records and Information Privacy Act 2002
Intellectual Property Management Framework for the NSW Public Sector, 2005 (NSW)
Government Information (Public Access) Act, 2009 (NSW)
Limitation Act, 1969 (NSW)
Macquarie University Act, 1989 (NSW)
Privacy and Personal Information Protection Act, 1998 (NSW)
Public Interest Disclosure Act 2013 (Cwlth)

7     KEY RELATED DOCUMENTS

Records and Information Classify and Capture Procedure
Records and Information Access and Security Procedure
Records and Information Retention and Disposal Procedure
Records and Information Schedule of Definitions
Appendix 1: Records Retention Guide
Appendix 2: Records Classification Guide
Records and Information Management Policy – Student Record
Staff Code of Conduct

    NOTES

8.1
Contact Officer
Ask.memory@mq.edu.au
8.2
Implementation officer
Director: Strategic Planning and Information and Chief Information Officer
8.3
Approval authority / Authorities

Chief Operating Officer and Deputy Vice-Chancellor

8.4
Date approved
9 October 2015
8.5
Date of commencement
9 October 2015
8.6
Date for review
October 2018
8.7
Documents superseded by this policy
University Records Policy approved September 2001
8.8
Amendment history

29 May 2017 - updated Approval Authority from Chief Operating Officer to Chief Operating Officer and Deputy Vice-Chancellor.

APPENDIX 1 - Records Retention Guide

Appendix 1 Records Retention Guide (PDF)

APPENDIX 2 - Records Classification Guide

Appendix 2 Records Classification Guide (PDF)

CLASSIFICATION PROCEDURE

CLASSIFICATION AND CAPTURE PROCEDURE: RECORDS AND INFORMATION MANAGEMENT

1     PURPOSE

To identify responsibilities and actions related to classification and capture of records and information in accordance with the Records and Information Management Policy

2     SCOPE

This procedure applies to all Macquarie University staff and all University Records

3     DEFINITIONS

Commonly defined terms are located in the University Glossary. Definitions specific to this Procedure are contained in the accompanying Policy.

4     RESPONSIBILITIES AND REQUIRED ACTIONS

RECORDS AND INFORMATION MANAGEMENT PROGRAM

The Director: Strategic Planning and Information is responsible for:

  • improving , implementing and monitoring the Records and Information Management Program
  • delivering the University’s Recordkeeping Awareness Program which provides staff with the knowledge and skills required to fulfil their recordkeeping obligations
  • receiving and acting on any notifications of alleged breaches of the Records and Information Management Policy.

Chief Information Officer is responsible for:

  • ensuring University information technology systems perform effectively and comply with statutory requirements for record keeping functionality

Business System Owners are responsible for:

  • ensuring the reliability and continued operation and functionality of business systems that generate and store records; and
  • ensuring business continuity plans for these systems are in place.

ALLOCATING AND DOCUMENTING LOCAL RECORDKEEPING RESPONSIBILITIES

The Executive Group is responsible for ensuring that within their portfolios:

  • records and information are kept in relation to their area’s functions and in accordance with the Records and Information Management Policy
  • a Records Coordinator is nominated in each Faculty / Office who will liaise with MQ Memory in the development of local practices and to ensure that appropriate storage, access, use, distribution and disposal of the records and information are in accordance with the Records and Information Management Policy

Managers and supervisors must ensure that:

  • their staff are aware of the University’s record and information management program
  • their staff are trained in local recordkeeping processes and systems
  • appropriate statements about records and information management responsibilities are included in all their staff position descriptions
  • their staff make arrangements for the ongoing management of records and information when leaving a position.

CREATE, CLASSIFY AND CAPTURE RECORDS AND INFORMATION

Manager Records and Archives will

  • advise on what records and information are to be created, according to the needs and structure of the University and classify them in accordance with relevant legislation
  • document the University’s Records & Information Classification System and promote it to relevant stakeholders   
  • liaise with Records Coordinators in all Faculties, Offices and other business units to appraise records and information management requirements in accordance with the University’s Records and Information Classification System
  • centrally coordinate Vital records and Archives
  • manage the corporate records registry services
  • provide advice and guidance in identifying records which may not be required as State Archives but may require permanent retention as a Record of Continuing Value

Manager Digital Information will

  • advise on managing the digital lifecycle of records and information assets into a digital records system, record and information control tools and metadata standards in accordance with the University’s Records and Information Classification System

Staff must:
be aware of and act on the record and information keeping obligations and responsibilities that relate to their duties, including:

  • understanding the functions of their role and organisational area within the University and the records and information required to support those functions
  • knowing the Policy requirements about keeping records and information in relation to their duties
  • understanding how records and information needs to be shared between staff to support business efficiency
  • understanding the risks involved in activities and what records and information may need to be kept for evidence purposes
  • following local records and information management processes

create and capture records and information about their daily work.  This will include records for the following business activities:

  • Approval or authorisation
  • Guidance, advice or direction
  • Information relating to projects or activities
  • Formal business communications to and from external parties, students and other staff.

ensure that University records are full, complete, accurate, meaningful, and adequate for the purpose for which they are kept.

capture University records and information into the appropriate recordkeeping systems in line with the Records and Information Management Policy.

MONITOR AND EVALUATE

Director: Strategic Planning and Information / Chief Information Officer / Business System Owners

  • Monitor compliance with the Records and Information Management Program in relation to ‘The Act’   
  • Evaluate opportunities for improving the effectiveness, efficiency and quality of the Records and Information Management Program
  • Report on the Program to the relevant authorities
  • Participate in audits by internal and external agencies

5     RELEVANT LEGISLATION

State Records Act 1998 (NSW)
General Retention and Disposal Authorities: –

  • University Records (GDA23)
  • Administrative Records (Financial & Personnel) (GA28)
  • Original or Source Records that have been copied (GA45)
  • Video/visual Surveillance Records (GDA8)
  • General practice medical records in the custody and control of public offices (GA42)
  • Source Records that have been Migrated (GA33)
  • Transferring records out of NSW for storage with and maintenance by service providers based outside of the State (GA35)

State Records NSW Procedures:

  • Disposal Authorisation (2007)
  • Making Access Directions (2005)
  • Making Still in Use Determinations (1999)
  • Transferring Custody of Records as State Archives (2004)

State Records NSW Standards:

  • Standard on Records Management (Standard No. 12)
  • Physical Storage of State Records (2012)

State Records NSW Regulation 2010 (NSW)

AS ISO 15489 (2002) Records Management
AS ISO 23081.1 (2006) Records Management Processes – Metadata for Records (2010)

Health Records and Information Privacy Act 2002
Government Information (Public Access) Act, 2009 (NSW)
Privacy and Personal Information Protection Act, 1998 (NSW)

6 KEY RELATED DOCUMENTS

Records and Information Management Policy
Records and Information Access and Security Procedure
Records and Information Retention and Disposal Procedure
Records and Information Schedule of Definitions
Appendix 1: Records Retention Guide
Appendix 2: Records Classification Guide
Records and Information Management Policy – Student Record
Staff Code of Conduct

7     NOTES

7.1
Contact Officer
Ask.memory@mq.edu.au
7.2
Implementation Officer
Director: Strategic Planning & Information and Chief Information Officer
7.3
Approval Authority / Authorities

Chief Operating Officer and Deputy Vice-Chancellor

7.4
Date Approved
9 October 2015
7.5
Date of Commencement
9 October 2015
7.6
Date for Review
October 2018
7.7
Documents Superseded by this Procedure
Nil
7.8
Amendment History

29 May 2017 - updated Approval Authority from Chief Operating Officer to Chief Operating Officer and Deputy Vice-Chancellor.

ACCESS PROCEDURE

ACCESS AND SECURITY PROCEDURE: RECORDS AND INFORMATION MANAGEMENT

1     PURPOSE

To outline the responsibilities and actions associated with access and security of records and information at Macquarie University.

2     SCOPE

This procedure applies to all Macquarie University staff and all University Records

3     DEFINITIONS

Commonly defined terms are located in the University Glossary. Definitions specific to this Procedure are contained in the accompanying Policy.

4     RESPONSIBILITIES AND REQUIRED ACTIONS

RECORDS AND INFORMATION ACCESS AND SECURITY CONTROL

Executive Deans/Heads of Offices/ Business System Owners must ensure that enterprise business information systems and local recordkeeping systems for which they are responsible have access-control protocols and procedures that ensure:

  • records and information are stored with an appropriate level of security  
  • records and information can only be accessed by staff for legitimate work purposes
  • record and archival integrity is maintained
  • staff who access University records and information are aware of their responsibilities for protecting privacy and confidentiality where relevant

RECORDS AND INFORMATION ACCESS FOR RESEARCH PURPOSES
This section applies to access to University records and information by external parties, and by University staff for research purposes not directly related to their work.

A person wishing to access University records and information for research purposes must submit an access request to ask.memory@mq.edu.au .  Access to records and information held in enterprise business systems will be redirected to the Director: Strategic Planning and Information.

Requests for records and information held by a budget division must be made in writing to the relevant Executive Dean / Dean / Head of Office, and must detail the specific records being requested.

Before approval of access, the relevant Executive Dean / Dean / Head of Office / Business System Owner holding the records and information must ensure that advice is sought from:

  • General Counsel if the requested records and information contain content that may be commercially sensitive for the University or for a third party business that it engages with, or legal advice or opinion
  • Privacy Officer (privacyofficer@mq.edu.au) in relation to any personal information contained in the records

Before approval of access to records and information held by Records and Archives, staff of that area must consult with the area from which the records and information originated if there is any doubt about releasing the records and information.

Where permission is given to access records for research purposes, the area controlling the records and information will provide access to them with appropriate security and protection of archival integrity. 

INDIVIDUALS’ ACCESS TO THEIR PERSONAL INFORMATION

An individual who wishes to view or amend their own personal information held in University business systems must submit a written request to the relevant Executive Dean / Dean / Head of Office holding the record or information (eg relevant Faculty for student files, Human Resources for employee files).

The head of the area holding the record or information, or their nominee, must contact the Privacy Officer for advice about the appropriate procedure.

FREEDOM OF INFORMATION REQUESTS

Individuals may apply for access to University records and information under the provisions of the Government Information (Public Access) Act 2009 (GIPA ACT).

All formal requests for access to University records and information under the provisions of the GIPA Act must be made in writing to the University’s Right to Information Officer

The Director Strategic Planning and Information is responsible for managing responses to Right to Information requests.

If a staff member receives a request to access records and information under the provisions of the GIPA Act, they must immediately forward the request to the Director Strategic Planning and Information.

5     RELEVANT LEGISLATION

Government Information (Public Access) Act 2009 (GIPA ACT)

State Records Act 1998 (NSW)
General Retention and Disposal Authorities: –

  • University Records (GDA23)
  • Administrative Records (Financial & Personnel) (GA28)
  • Original or Source Records that have been copied (GA45)
  • Video/visual Surveillance Records (GDA8)
  • General practice medical records in the custody and control of public offices (GA42)
  • Source Records that have been Migrated (GA33)
  • Transferring records out of NSW for storage with and maintenance by service providers based outside of the State (GA35)

State Records NSW Procedures:

  • Disposal Authorisation (2007)
  • Making Access Directions (2005)
  • Making Still in Use Determinations (1999)
  • Transferring Custody of Records as State Archives (2004)

State Records NSW Standards:

  • Standard on Records Management (Standard No. 12)
  • Physical Storage of State Records (2012)

State Records NSW Regulation 2010 (NSW)

AS ISO 15489 (2002) Records Management
AS ISO 23081.1 (2006) Records Management Processes – Metadata for Records (2010)

6 KEY RELATED DOCUMENTS

Right to Information at Macquarie

Records and Information Management Policy
Records and Information Classify and Capture Procedure
Records and Information Retention and Disposal Procedure
Records and Information Schedule of Definitions
Appendix 1: Records Retention Guide
Appendix 2: Records Classification Guide
Records and Information Management Policy – Student Record
Staff Code of Conduct

7     NOTES

7.1
Contact Officer
Ask.memory@mq.edu.au
7.2
Implementation Officer
Director Strategic Planning and Information / Chief Information Officer
7.3
Approval Authority / Authorities

Chief Operating Officer and Deputy Vice-Chancellor

7.4
Date Approved
9 October 2015
7.5
Date of Commencement
9 October 2015
7.6
Date for Review
October 2018
7.7
Documents Superseded by this Procedure
nil
7.8
Amendment History

29 May 2017 - updated Approval Authority from Chief Operating Officer to Chief Operating Officer and Deputy Vice-Chancellor.

RETENTION PROCEDURE

RETENTION AND DISPOSAL PROCEDURE: RECORDS AND INFORMATION MANAGEMENT

1     PURPOSE

To identify responsibilities and actions for retention and disposal of University records and information in accordance with the Records and information Management Policy

2     SCOPE

This procedure applies to all Macquarie University staff and all University Records

3     DEFINITIONS

Commonly defined terms are located in the University Glossary. Definitions specific to this Procedure are contained in the accompanying Policy.

4     RESPONSIBILITIES AND REQUIRED ACTIONS

Records Retention and Disposal Program

Manager Records and Archives / Manager Digital Information

  • maintain and make available the MU Record Retention Quick Reference Guide
  • advise on its application to Faculty, Office and other business units’ records
  • accept Faculty, Office and other business units’ records for transfer to Vital Records or Archives
  • advise on appropriate storage mechanisms for both hard copy and digital records

Faculties, Offices and other business units must

  • determine, in consultation with Manager Records and Archives, disposal class and retention requirements for all University records within the organisational area
  • implement regular records and information disposal programs, with reference to the MU Record Retention Quick Reference Guide for the University records and information for which they have responsibility
  • identify records and information no longer required for daily administrative use as soon as possible.  Some records can be destroyed immediately as part of normal administrative practice*
  • apply the necessary retention and disposal action
  • store semi-active records as necessary
  • identify and transfer permanent records as necessary to Macquarie Memory
  • only destroy records in line with the relevant Records Retention and Disposal Authority / MU Record Retention Quick Reference Guide and after consultation with Manager Records and Archives

If staff cannot identify the appropriate disposal class in the Quick Reference Guide or are unsure how to apply the Guide, consult Manager Records and Archives through ask.memory@mq.edu.au 

Normal Administrative Practice

Certain types of University records and information can be destroyed under ‘normal administrative practice’ (NAP). NAP covers the destruction of ephemeral material of a facilitate nature created, acquired or collected by University employees during the course of their duties (such as drafts and extra copies of documents which are stored as University records).  Staff should consult the Manager Records and Archives.

Intermediate storage

Faculties/Offices and other business units are responsible for making arrangements for storing temporary University records and information which are not needed for daily use.  Macquarie Memory can advise on off-site record storage options.

Permanent Records

Macquarie Memory are responsible for arranging the storage of permanent University Records.  Where the Faculty/Office or business unit identifies permanent records that are no longer in use, they must contact Macquarie Memory staff to arrange transfer to University Archives.

Destruction

University records must not be removed or destroyed except in accordance with the NAP or the Quick Reference Guide.

Staff must be aware of pending legal actions and legislative and other provision outside the Quick Reference Guide which may affect decisions about records destruction (refer to Policy)

Faculties/Offices and other business units must not destroy hard copy original which have been digitized or scanned, without first consulting Macquarie Memory to ensure that all State Records requirements for quality control and retention of hard copy source records are met.

Staff leaving their position

When a staff member leaves their position they must make arrangements for the ongoing custody of records for which they were responsible.  This includes ensuring records are left accessible to others, and carrying out records disposal so that records which are no longer required have been properly stored or destroyed.

5     RELEVANT LEGISLATION

State Records Act 1998 (NSW)
General Retention and Disposal Authorities: –

  • University Records (GDA23)
  • Administrative Records (Financial & Personnel) (GA28)
  • Original or Source Records that have been copied (GA45)
  • Video/visual Surveillance Records (GDA8)
  • General practice medical records in the custody and control of public offices (GA42)
  • Source Records that have been Migrated (GA33)
  • Transferring records out of NSW for storage with and maintenance by service providers based outside of the State (GA35)

State Records NSW Procedures:

  • Disposal Authorisation (2007)
  • Making Access Directions (2005)
  • Making Still in Use Determinations (1999)
  • Transferring Custody of Records as State Archives (2004)

State Records NSW Standards:

  • Standard on Records Management (Standard No. 12)
  • Physical Storage of State Records (2012)

State Records NSW Regulation 2010 (NSW)

AS ISO 15489 (2002) Records Management
AS ISO 23081.1 (2006) Records Management Processes – Metadata for Records (2010)

6 KEY RELATED DOCUMENTS

Records and Information Management Policy
Records and Information Classify and Capture Procedure
Records and Information Access and Security Procedure
Records and Information Schedule of Definitions
Appendix 1: Records Retention Guide
Appendix 2: Records Classification Guide
Records and Information Management Policy – Student Record
Staff Code of Conduct

7     NOTES

7.1
Contact Officer
ask.memory@mq.edu.au
7.2
Implementation Officer
Director: Strategic Planning and Information and Chief Information Officer
7.3
Approval Authority / Authorities

Chief Operating Officer and Deputy Vice-Chancellor

7.4
Date Approved
9 October 2015
7.5
Date of Commencement
9 October 2015
7.6
Date for Review
October 2018
7.7
Documents Superseded by this Procedure
Nil
7.8
Amendment History

29 May 2017 - updated Approval Authority from Chief Operating Officer to Chief Operating Officer and Deputy Vice-Chancellor.

DEFINITIONS SCHEDULE

SCHEDULE OF DEFINITIONS: RECORDS AND INFORMATION MANAGEMENT

1     PURPOSE

To provide ready access to definitions of terms used in records management and to supplement those terms provided in the Records Management Policy.

2     SCHEDULE

Access Direction:  a direction made by a public office to open or close a series, group or class of records in the open access period to public access.

  • An open to public access (OPA) direction allows access to anyone.
  • A closed to public access (CPA) direction closes the records for a specified period. A CPA direction does not affect other entitlements of access.

Access directions are made according to guidelines issued by the Attorney General.  Public Offices can also grant early access to records that are less than 30 years old.  (See State Records Act 1998 NSW Part 6).

Accountability: the principle that individuals, organisations, and the community are responsible for their actions and may be required to explain them to others.

Active Records: those records required for the day-to-day functioning of an agency or person. Also referred to as current records. Ellis (ed), Keeping Archives, p. 461.

Records in frequent use, regardless of their date of creation, required for current business relating to the administration or function of the organisation.  Such records are usually maintained in office space and equipment close to hand.

Appraisal:  the process of evaluating business activities to determine which records need to be captured and how long the records need to be kept, to meet business needs, the requirements of organisational accountability and community expectations. AS 4390 Part 1 Clause 4.3

Arrangement: the intellectual and physical process of putting archives and records into order in accordance with accepted archival principles, particularly those of provenance and original order. If, after detailed examination, the original order is identified as a totally haphazard accumulation making the records irretrievable (but not an odd, unorderly or difficult arrangement), the archivist may (after documenting the original order) impose an arrangement that presents the records objectively and facilitates their use.  Ellis (ed), Keeping Archives, p. 464.  See 'Description'.

Closed part:  that part of a file that has been separated from the active file because the file has become too large for easy handling. When a closed part is created, a ‘closed part’ sheet is attached to the file as the last folio so that no further documents are added to the file.

Consignment:  a group of records that belong to the same series, need to be kept for the same length of time, have the same storage requirements and are transferred at the same time.

Control: Control systems and processes associated with records management include:

  • registration - which provides evidence of the existence of records in a recordkeeping system;
  • classification - which allows for appropriate grouping, naming, security protection, user permissions and retrieval;
  • indexing - which allocates attributes or codes to particular records to assist in their retrieval; and
  • tracking - which provides evidence of where a record is located, what action is outstanding on a record, who has seen a record, when such access took place and the recordkeeping transactions that have been undertaken on the record.
    AS 4390 Part4 Clause 1

Conversion: the process of changing records from one medium to another or from one format to another. The process of transferring records from one medium to the next is sometimes also referred to as 'refreshing'. See 'Migration'.

Corporate Governance: the processes by which organisations are directed, controlled and held to account. It encompasses authority, accountability, stewardship, leadership, direction and control exercised in the organisation. AS 8000 Clause 1.5.1.

Counter Disaster Plan:  a plan for measures to be taken for disaster prevention, disaster response and recovery and vital records protection.

Custody:  the physical location of the records or archives. Custody does not always include legal ownership, or the right to control access to records. Ellis (ed), Keeping Archives, p. 466.

Deaccessioning:  the process of removing material from the care and custody of an archives, either because the material has been reappraised and found to be unsuitable for the archives' holdings, or because the legal owner has requested its return, or because it has been agreed to transfer it to another archives.  Deaccessioning is a serious matter which requires careful consideration and documentation.  Ellis (ed), Keeping Archives, p. 466.

Description: the process of recording information about the nature and content of records in archival custody. The description identifies such features as provenance, arrangement, format and contents, and presents them in standardised form.  Ellis (ed), Keeping Archives, p. 467.  See 'Arrangement.'

Digital records:  records communicated and maintained by means of electronic equipment.  (AS 4390 Part1 Clause 4.13): 
Records capable of being processed in a computer system and/or stored at any instant in a medium which requires electronic or computer equipment to retrieve them.  Ellis (ed), Keeping Archives, p. 469.

Disposal: a range of processes associated with implementing appraisal decisions. These include the retention, deletion or destruction of records in or from recordkeeping systems. They may also include the migration or transmission of records between recordkeeping systems, and the transfer of custody or ownership of records.  AS 4390 Part1 Clause 4.9.

Disposal Authority:  see 'Retention and disposal authority'.

Disposal classes:  classes of records performing or recording similar activities and therefore having the same retention period and disposal action. AS 4390 Part 1 Clause 4.11.

Disposal trigger: the event from which the disposal date is calculated, for example 'last action' or 'expiry of contract'.

Document: recorded information or object which can be treated as a unit. AS ISO 15489 Part 1 Clause 3.10.

Document means any record of information, and includes:

  • anything on which there is writing, or
  • anything on which there are marks, figures, symbols or perforations having a meaning for the person qualified to interpret them, or
  • anything from which sounds, images or writings can be reproduced with or without the aid of anything else, or
  • a map, plan, drawing or photograph.
  • Evidence Act 1995 (NSW)
    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.

Electronic Document:  a collection of electronic data which may be produced by the creation of original data (typically a text document, small database, spreadsheet, graphic created within the office environment) or by the combination of existing data (which may include data extracted from data files and databases). It should be managed as a unique entity by means of a standard set of descriptors.
Information Exchange Steering Committee, Management of Electronic Documents in the Australian Public Sector, p. 12.

Ephemeral Records:  documents that have only short-term value to Macquarie University with little or no ongoing administrative, fiscal, legal, evidential or historical value.

Evidence:  information that tends to prove a fact. Not limited to the legal sense of the term. Australian Standard AS 4390-1996, Part1. Clause 4.14

File: (n.) an organised unit of documents, accumulated during current use and kept together because they deal with the same subject, activity or transaction and which may or may not be fastened together with or without a cover.
(v.) The action of placing documents in a predetermined location according to an overall scheme of control.
Ellis (ed), Keeping Archives, p.470

A file is a collection of documents, which show organisational activities through an identifiable sequence of transactions. Individual documents on the file have relationships with each other, for example a letter and a reply, and a reply to that etc, which are preserved by being kept on file in the right order and are part of the evidence in the records. A file can be physical or electronic.

File part: A continuation of the same activity or transactions, placed on a new file because the previous file (closed part) contained too many documents to be easily handled.  A file part generally has the same title followed by a part number (eg part 2), but a different file number to the closed part.

Information Asset: a body of information, defined and managed as a single unit so it can be understood, shared, protected and exploited effectively. Information assets have recognisable and manageable value, risk, content and lifecycles. (National Archives UK Factsheet Information Asset).

Information Management:   enables organisations to control and administer information assets throughout their lifecycle - that is, to capture, distribute, use, maintain and dispose of data and information in a secure, efficient and accountable manner.  Department of Finance and Services, Information Management: A common approach, p.7.

Information systems:  organised collections of hardware, software, supplies, policies, procedures and people, which store, process and provide access to information. AS 4390 Part 1 Clause 4.17.

Intellectual Control:  the control established over the informational content of records and archives resulting from ascertaining and documenting their provenance, and from the processes of arrangement and description.  Ellis (ed), Keeping Archives, p. 472.

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.  AS ISO 15489 Part 1 Clause 3.12

Migration:  the process of moving records from one system to another, while maintaining the records’ authenticity, integrity, reliability and useability.  See Conversion

Normal Administrative Practice:  disposal of ephemeral or facilitative records without the formal authorisation of State Records.  See State Records Act (NSW) s. 22 and State Records Regulation 2010.

Open Access Period:  the State Records Act 1998 entitles the public to access records over 30 years of age (the open access period). Public offices are required to make access directions for all records in the open access period.

Original order:  the order in which records and archives were kept when in active use, i.e. the order of accumulation as they were created, maintained and used. The principle of original order requires that the original order be preserved or reconstructed unless, after detailed examination, the original order is identified as a totally haphazard accumulation making the records irretrievable (but not an odd, unorderly or difficult arrangement).  Ellis (ed), Keeping Archives, p. 475.

Protection: the processes and operations involved in ensuring the technical and intellectual survival of authentic records through time.

Recordkeeping:  the making and maintaining complete, accurate and reliable evidence of business transactions in the form of recorded information.  AS 4390 Part 1 Clause 4.19

Recordkeeping includes the following:
(a) the creation of records in the course of business activity and the means to ensure the creation of adequate records;
(b) the design, establishment and operation of recordkeeping systems; and
(c) the management of records used in business (traditionally regarded as the domain of records management) and as archives (traditionally regarded as the domain of archives administration).
AS 4390 Part 3 Foreword

Recordkeeping Requirements:  requirements arising from regulatory sources, business needs and community expectations that identify the types of records that should be created and the management framework needed in order to have, and accountably manage, all the business information that is necessary for an organisation.

Records continuum: The whole extent of a record's existence. Refers to a consistent and coherent regime of management processes from the time of the creation of records (and before creation, in the design of recordkeeping systems), through to the preservation and use of records as archives.
AS 4390 Part 1 Clause 4.22

Retention and Disposal Authority:  documents authorised by State Records NSW that set out appropriate retention periods for classes of records. There are two main types:

  • Functional retention and disposal authorities authorise the retention and disposal of records unique to a specific organisation.
  • General retention and disposal authorities authorise the retention and disposal of records common to more than one organisation.

Such records may include:

  • general administrative records
  • common records that relate to unique functions, and
  • records relating to the unique functions of like organisations such as local councils, universities, and public health services.

Retention Period: The period of time, usually based on an estimate of the frequency of current and future use, and taking into account statutory and regulatory provisions, that records need to be retained before their final disposal. Sometimes also used to indicate the length of time records are to be retained in offices before being transferred to secondary storage.
Ellis (ed), Keeping Archives, p. 479

Secondary Storage: a low-cost, warehouse-style repository or storage area where inactive or semi-active records are housed and referenced pending their ultimate destruction or transfer to archives.

Sentencing: the process of identifying and classifying records according to a defined Retention and Disposal Authority and applying the disposal action specified in it.

State Archive: a State record that the State Records Authority of NSW has control of under the State Records Act.

State Records: the NSW State Government’s archives and records management authority.  It manages the NSW State archives collection and sets the rules and provides guidance on the management of official records.

3     NOTES

3.1
Contact Officer

Ask.memory@mq.edu.au

3.2
Implementation Officer

Director:  Strategic Planning and Information and Chief Information Officer

3.3
Approval Authority / Authorities

Chief Operating Officer and Deputy Vice-Chancellor

3.4
Date Approved

9 October 2015

3.5
Date of Commencement

9 October 2015

3.6
Date for Review

October 2018

3.7
Documents Superseded by this Schedule

Nil

3.8
Amendment History

29 May 2017 - updated Approval Authority from Chief Operating Officer to Chief Operating Officer and Deputy Vice-Chancellor.

3.9
Policy Authorisation

Records and Information Management Policy

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