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F/8.1 Records management policy |
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8.1.1 Policy statement 8.1.1 Policy statementQUT is committed to the creation and maintenance of adequate records of its functions and activities, regardless of the format in which records were generated. As a public authority, the provisions of the Queensland Public Records Act 2002 and of State Government Information Standards on public records and recordkeeping (Information Standard No 40 - Recordkeeping (IS40) and Information Standard No 41 - Managing Technology Dependent Records (IS41)) apply to QUT. QUT predominantly utilises electronic means for capturing and storing information to support many of its business processes and for transacting its business. As a result, QUT's policy is to utilise as far as possible technological solutions for management of records, in order to meet recordkeeping compliance obligations, enhance operational efficiency, manage risk, support accountability and maintain corporate memory. 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. This policy applies to records in all formats, including physical or hard copy records, electronic records such as email, and other technology dependent records. 8.1.2 DefinitionsA 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". Technology-dependent records are defined in IS41 as "records requiring a technological device or machine for creating, storing, accessing and using them". 8.1.3 Roles and responsibilities for recordsAll 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 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 Managers are responsible for ensuring that records supporting the business activities of the organisational unit are created, maintained and retained for appropriate periods. Managers must ensure:
Director, Governance Services The implementation of the relevant standards required to manage records is the responsibility of Governance Services in the Division of Administrative Services. This responsibility encompasses strategic and operational planning (in conjunction with the senior executive, relevant committees and University managers), management of permanent and long-term records held in the University archives repository and authorising disposal of records in accordance with approved disposal schedules and authorities. Within Governance Services, the Records Management Services unit provides advice on implementation of records management policies, procedures, protocols and plans. The Manager, Records Management Services, has general responsibility for the set-up and operation of the corporate records management system in compliance with relevant legislation and standards, including standards requiring that records captured and retained in the corporate records system are accessible over time, reliable, authentic, complete and adequately secured and maintained for appropriate retention periods. Registrar The Registrar is 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. Data custodians In the electronic arena, data custodians (see F/1.1 ) are responsible for the reliability and operation of systems that generate and store records. Data custodians are also responsible for ensuring:
8.1.4 Access to recordsQUT 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 (see QUT's information security policy at F/1.2 ). Under the security classification framework, relevant considerations for restriction of access include privacy protection and protection of commercially valuable or sensitive information. Records to which access must be restricted are those classified as limited access, protected or highly protected in accordance with QUT's information security policy (see F/1.2.5 ). Permanent archival records held in the University archives may be made available to QUT staff for necessary administrative purposes upon request to the Manager, Records Management Services. For access by persons other than QUT staff, consult the Freedom of Information policy ( F/10.1 ). Individuals wishing to consult records referring to them personally may do so in accordance with QUT's administrative access arrangements (see F/10.1.2 and the administrative procedures for information access on the Governance Services website).8.1.5 Retention and disposal of recordsThe University is bound by the provisions of the Public Records Act, which require that records are retained whilst 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 Queensland Universities' Retention and Disposal Schedule or the Queensland State Archives General Retention and Disposal Schedule for Administrative Records, available from the Governance 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 Services. Further details on the requirements for obtaining approval for disposal of QUT records are available from the Governance Services website. 8.1.6 University archivesThe Director, Governance Services, is responsible for the maintenance of the University archives. The University archives provide an ordered system for the management of permanent and long-term records of QUT and its predecessor institutions. Consequently, the majority of records held in the archives are corporate records documenting the University's structure and corporate decision-making, for example, records of Council and University committees, records of the University senior executive, staff files, and official publications such as annual reports. Access to these records is in accordance with the stated policy above (see section 8.1.4), 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 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 . Related DocumentsPublic Records Act 2002 Information Standard No 40 - Recordkeeping Information Standard No 41 - Managing Technology Dependent Records Modification History
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