Policies and Guidelines

Records Management Policy

The University of Queensland is a public authority and is subject to the provisions of the Public Records Act 2002.  This policy establishes a framework for best practice recordkeeping and incorporates the requirements of the legislative environment mandated by Queensland State Archives as well as principles and practices mandated in the Queensland Information Standards.

All staff have a legal responsibility to ensure that records which are evidence of decisions or actions are managed effectively, retained for the required period of time, and disposed of properly.

Watch Video – Recordkeeping Responsibilities

What is a record?

Information created or received that provides evidence of decisions or actions of UQ while undertaking its business.  It is the content which makes a record, not the format.

Importance of Recordkeeping

  • Provide evidence of business actions and decisions
  • Contribute to the corporate memory
  • Sharing information and knowledge to support decision making
  • Preserve significant information
  • Legal obligations

Managing Records

Identifying where records belong, who is responsible for them, who might need them and how they might need to be accessed over time are all important considerations when determining the best way to manage them.  Certain types of records are managed in specialised ways using the University’s approved EDRMS (Electronic Document and Records Management System) called TRIM or Content Manager (CM).

Student Records

Student files are electronic and include records of their admission, enrolment, progression and graduation.  The contents of a student file complement the information maintained in SI-net.  Authorized staff can access these files via RM or through a link to Student e-File in SI-net.

List of documents eligible for registration on a Student File
(Link to PPL)

You can register records to a student file by:

  • Email or CC recordsmanagement@uq.edu.au ensuring that you provide the unique student number and a meaningful title in the subject header.  Emails and attachments will be automatically registered using the information provided in the subject header.
     

  • Forwarding completed paperwork to the RAMS Office for scanning and registration.
     

  • Register yourself if you have TRIM/CM software.

Staff Records

All staff employed under the terms and conditions of an industrial award have a personnel file relating to their employment. Staff files are paper-based and have lengthy retention periods.  Current staff files are maintained in Staff Registry which is located at Level 5 JD Story.  Files may be requested by HR staff through staffregistry@uq.edu.au

List of documents eligible for registration on a Staff File
(Link to PPL)

HR staff can register records to a staff file by:

  • Sending paperwork to Staff Registry through weekly collection or through secure bags.

Paperwork not approved for inclusion on the official staff file should be managed locally.

Committee Records


Agenda and minutes of major committees are permanent records and must be carefully managed.  Please contact RAMS to arrange for the registration/transfer of these records.

Legal Records

Legal matters from both the Legal Office and the Research Legal Office are created in Practice Evolve and the paperwork is tracked in CM.

Administration

A small number of areas like the Senior Executive Group, Student Misconduct and Research Integrity use CM to register records.

Research Grant Funding

These funding applications are managed by a combination of Research Master and CM and are viewed through Research e-File.

Managing Records without TRIM/CM

Using an EDRMS like CM is only one way to effectively manage your records. You don’t necessarily need to implement one dedicated recordkeeping solution like an eDRMS. Recordkeeping solutions may be any fit-for-purpose applications that have recordkeeping functionality.  A common sense and risk-based approach should be taken to make sure records are captured. This means being able to identify high-risk or high-value records.  These are essential for the ongoing business of the University, without which it could not continue to function effectively or protect its interests.

Look at the stability, accessibility and useability of the application these records are in – this will help you decide if/when you should take records out of the application and save them in a more stable and more compliant environment, like CM.  If you believe you have high-risk or significantly valuable records which aren’t already captured into a University system please contact RAMS for assistance in capturing these.

Examples of high-risk or valuable records

Agreements and Memoranda of Understanding, OHS incidents, misconduct issues, committee agenda and minutes, strategic plans and reports, core financial and personnel data,  bequests, academic grades, disaster management and business continuity plans, University rules, patents, ownership of physical and intellectual property, insurance and licenses.

Records and Information Management Strategic Plan (2015-2020)

Promote a culture of shared responsibility by providing the software and training necessary for staff to manage their own records. 
RAMS will be involved in the establishment of processes and auditing for quality assurance rather than providing a registration service for others. 

 

Promote staged rollout of endorsed recordkeeping system HP Records Manager (RM). 

 

Recordkeeping strategies should endeavour to allow staff to do their business without imposing additional onerous duties.  This may be achieved through automatic classification software to analyse and register important documents currently housed in Outlook and network drives and ensuring that registration is made as simple as possible for the end user.

 

Ensure awareness of the resources available for document management and provide training to enable staff to efficiently capture relevant records.

 

Encourage a uniform approach to the structure and naming of folders based on a common Business Classification Scheme (BCS). 
Improve search capability with document naming conventions.

 

Consolidate content of other document management systems to RM.

 

Improve the security of documents including controlled file shares, classifying documents and avoiding external devices.

 

Records born digital should stay digital where possible rather than be printed out and retained.

 

Shift away from a reliance on wet signatures to allow electronic approvals and register documents electronically without the need to print and scan.
Reduce volume of hard copy paper forms through online forms & workflows ideally captured within existing business systems.

 

Expand early disposal of digitized records for items with temporary retentions.

 

Manage information according to the criticality and risk associated with the information.  Vital records, those of significant value or high-risk records should be managed within an EDRMS or approved business system whereas other records may be managed in other systems including shared drives, Email folders and hard copy files.