Manual of Policies and Procedures

F/6.1 Records management policy

Contact Officer

Manager, Records Management Services

Approval Date

10/07/2013

Approval Authority

Vice-Chancellor

Date of Next Review

01/07/2016

6.1.1 Legislative obligation
6.1.2 Policy principles
6.1.3 Definitions
6.1.4 Roles and responsibilities for records
6.1.5 Access to records
6.1.6 Retention and disposal of records
6.1.7 University Electronic Recordkeeping System
6.1.8 University archives
Related Documents
Modification History

6.1.1 Legislative obligation

As a public authority, QUT is obliged to comply with the requirements of the Public Records Act 2002 and of Information Standard No 40 - Recordkeeping (IS40) and Information Standard No 31 - Retention and Disposal of Public Records (IS31) which provide for the proper making, management, keeping and preservation of public records in a useable form for the benefit of present and future generations.

All records created or received by University staff in pursuit of their QUT functions or responsibilities are public records, and must be managed in accordance with the requirements set out in this policy and related procedures, guidelines and standards.

Top

6.1.2 Policy principles

QUT is committed to the creation and maintenance of adequate records of its functions and activities This policy is based on the following principles

  • Staff must comply with the requirements of the Public Records Act when creating and managing corporate records
  • The University promotes open access to its records, including the QUT archives, except where those records have been classified as restricted access in accordance with QUT’s security classification framework (F/1.2)
  • QUT records will be retained and disposed of in accordance with the requirements of the disposal schedules approved by the Queensland State Archives
  • QUT records must be captured by either the corporate electronic recordkeeping system, HP Records Manager (HPRM) or another business system.

Top

6.1.3 Definitions

A record is defined in the Public Records Act as recorded information created or received by an entity in the transaction of business or the conduct of affairs that provides evidence of the business or affairs. Records may be in many formats, including physical or hard copy, electronic such as email, information stored in the University’s corporate systems and other technology dependent records.

Top

6.1.4 Roles and responsibilities for records

All staff

Recordkeeping is an essential part of every QUT staff member's job. All staff are responsible for creating records that adequately document the business transactions in which they take part. Staff are expected to capture and retain the records they create by utilising the records management or other business system made available by the University to support their functions and activities. Staff must follow any records management procedures prescribed by the Registrar under this policy.

Heads of organisational units

The head of each organisational unit is responsible for ensuring that records supporting business activities are created, maintained and retained for appropriate periods. Heads of organisational units must ensure

  • that staff are aware of and follow recordkeeping procedures
  • that information and processing systems that support the business activities of the organisational unit create appropriate records as an integral part of those activities
  • that approval for disposal of records is obtained in accordance with QUT's established disposal procedures within appropriate recordkeeping systems.


Data custodians

In the electronic arena, data custodians (F/1.1) are responsible for the reliability and operation of systems that generate and store records. Data custodians are also responsible for ensuring

  • that records are stored in a secure and inviolate manner
  • that access and use of records is supported by appropriate audit trails
  • that adequate consideration is given to business continuity planning so that records can be accessed for the necessary retention period.

Governance and Legal Services

The Director, Governance and Legal Services is responsible for implementing the relevant record management standards. This responsibility encompasses management of permanent and long-term records held in the University archives and authorising disposal of records in accordance with approved disposal schedules and authorities.

The Manager, Records Management Services, has general responsibility for the establishment and operation of the corporate records management system in compliance with relevant legislation and standards.

Registrar

The Registrar is the University's chief administrative officer and has overall responsibility for management of QUT's corporate records. The Registrar approves procedures and guidelines for complying with QUT's records compliance obligations.

Top

6.1.5 Access to records

QUT records are regarded as a corporate resource. Staff need to be informed on University matters to provide context to the functions and activities which they perform and may have access to University records in order to fulfil their duties. The University's general approach is one of openness, in that staff may access records about University activities, except where the records qualify for restricted access in accordance with QUT's security classification framework (F/1.2).

The University provides a number of schemes to allow individuals to access information held by QUT, including statutory schemes required under the Right to Information Act 2009 and Information Privacy Act 2009. For further details on these schemes, refer to the University's Access to information policy (F/6.3)

Top

6.1.6 Retention and disposal of records

University records must be retained while required for business use or to support other legal, corporate or evidential requirements. Minimum periods for retention of all categories of University records are found in the University Sector Retention and Disposal Schedule and the Queensland State Archives General Retention and Disposal Schedule, available from the Governance and Legal Services website.
Staff must not destroy official records without the prior support of the head of their organisational unit and the approval of the Director, Governance and Legal Services. Further details on the requirements for obtaining approval for disposal of QUT records are available from the Governance and Legal Services website.

Early disposal of digitised records

Permanent records that are created or received in hardcopy format must be maintained in their original format for the entire retention period as set out in the Retention and Disposal Schedules.
Temporary records that meet the requirements set out in the Digitisation Disposal Policy for Queensland Public Authorities are eligible for early destruction after scanning into HP Records Manager (HPRM) or other corporate systems which meet recordkeeping requirements as set out in that policy.

Approval for the early destruction of digitised records must be sought from the Director, Governance and Legal Services (the Governance and Legal Services website for information on the approval process), Records that have been approved for early destruction are included in the Retention and Disposal Schedules.

Top

6.1.7 University Electronic Recordkeeping System

HP Records Manager (HPRM) has been implemented as the corporate electronic recordkeeping system to assist with the capture, retrieval, storage and disposal of University records.

University records, in particular those relating to students, staff, agreements and committees that exercise delegated authority that are not captured in another corporate system must be registered in HP Records Manager (HPRM).

Top

6.1.8 University archives

The University archives provide an ordered system for the management of permanent and long-term records of QUT and its predecessor institutions.

Access to these records is in accordance with section 8.1.5, though the Manager, Records Management Services, may refuse access or impose conditions on how access may occur where records are fragile or awaiting conservation treatment. Bona fide researchers may be also be granted access to the material upon application, though in these cases, access may be subject to the records being within the 'open access' periods imposed by the Public Records Act.

Donations of records and other archival material from persons or bodies outside of QUT will only be accepted in limited circumstances, as the University archives is not a collecting archive nor does the University's archives repository support the storage or display of artefacts or memorabilia. Donations will only be accepted where the records offered are directly relevant to the University's main functions and activities, and enhance the corporate memory or history of QUT or its predecessor institutions. Additionally, donations to the archives will only be accepted where it is clearly within the power of the donor to make the donation. Wherever possible, copyright and ownership of the material will pass to the University, and access conditions should not normally be imposed on the material. These matters will be formally documented in an agreement signed by the donor. Where an offered donation is not considered appropriate for the University archives, efforts should be made by relevant areas of the University, such as the Alumni and Development Office, to locate an appropriate repository for the material. For further information about acquisitions for the University's museums and other collections, refer to I/7.1.3.

Top

Related Documents

Public Records Act 2002

Information Standard No 40 - Recordkeeping

Information Standard No 31 - Retention and Disposal of Public Records

Digitisation Disposal Policy for Queensland Public Authorities

Top

Modification History

Date Sections Source Details
10.07.13 All Manager, Records Management Services Periodic review - minor revisions only

07.10.10

All

Vice-Chancellor

Periodic review - policy revised. Renumbered to F/6.1 (formerly F/8.1)

16.07.09

F/8.1.1

Governance Services

Editorial amendment to update Information Standard

17.05.07

F/8.1.6

Vice-Chancellor

Revised policy to reflect current corporate records strategy and practices (incorporates former policies F/8.2 and F/8.3)

12.07.05

F/8.1.6

Manager, Archives and Records Management Services

Updated in accordance with current disposal schedules

05.03.00 All Registrar Updated

Top