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Archives and records management

Workplace support Services & topics Archives and records management

Flinders University is committed to the responsible management of records to ensure that information is accessible and is properly captured, maintained, stored and disposed of in accordance with legislative and other external requirements.

The Records Management Policy establishes the framework for the control and management of records throughout the University from their creation to their ultimate disposal or retention as University archives. Records comprise information in any format, including hard copy and electronic files, emails, data in computer systems, bound volumes, maps, plans, books, registers, forms, photographs, microfilm and microfiche.

Quick links

     Records Management Policy  Record keeping  TRIM (Records management system)  Retention/disposal of official records  University archives

Record keeping

University employees are responsible for ensuring that their information is managed appropriately.  The quick links on the right can assist staff with learning how to manage their records and information

  • Online record keeping & records management system training – records management at Flinders delivered in FLO
  • Information matters video – a video explaining why information is important
  • What’s in a name – to learn about why titling is important
  • Information management 101 – to enrol in face to face training
  • Contracts management – for information on managing contracts at Flinders
  • Information classification – to learn where you should store sensitive information
  • Research data management – for information about research data management at Flinders

Quick links

     Online record keeping & records management system training (FLO)  Information Matters Video  What’s in a name video  Information Management 101 (iEnrol)  Business Classification Scheme (BCS)  Contracts management  Information classification  Research data management
What is a record?

All information created, sent or received in the course of carrying out your work is a record. Records exist in many paper and electronic formats, for example e-mails, databases, PDF documents, paper letters, printed policies, and so on.

The formal definition is that a record is “information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business".

The reverse question clarifies the definition: Could I still do my job and carry on my business, and could the University still comply with its legal obligations, if I could not (re)produce this piece of information when required?

Why keep records?

There are two concepts associated with the necessity of recordkeeping: risk and value.

On the one hand, we look at the risks that the University runs when certain records are destroyed, lost, or inaccessible. If the University cannot produce its financial records when the ATO comes to audit, it will be fined. If construction companies work on Flinders premises and cannot be provided with the proper plans and maps, construction work will be delayed, resulting in extra costs to the University. In many cases, these risks stem from the requirement to comply with legal obligations.

On the other hand, we look at the added value that records hold for the University. Mostly, this comes in the form of ‘corporate memory’. When we know what decision was taken on a specific issue in the past, and why, we can expedite decision-making. When we know accurately what assets the University owns, we can manage and make use of them more efficiently. When we know the study issues a student has had in the past, we can support them more effectively. In many cases, knowing how and where your records are managed helps to improve your business processes and transactions.    

Where to keep records?

University records are kept within a number of different record-keeping systems.  The University's electronic record keeping system, TRIM (Content Manager) is the optimal choice for managing any of the University’s records that are not managed in a business system like TechOne, StudentTwo, FLO, InPlace and others. A well-managed hard copy filing system is appropriate if you do not have access to TRIM.  Many of the University’s records are kept on shared drives (the ‘S:Drives’). Although this is not considered the optimal way to keep records due to accessibility and disposal risks, in many cases it can be a sufficient method of keeping ‘low-risk’ records. Any record that carries a business risk with it because of its content, or is classified ‘Restricted’ or ‘Highly Confidential’ (refer to Information Classification and Handling Procedures), or contains business decisions, needs to be stored in a compliant recordkeeping system (TRIM, a certified business system, or hard copy file).

In order to aid staff members and business units in organising the University’s S: Drives, the Records & Archives unit has made available the University’s Business Classification Scheme (BCS) . This scheme gives an overview of all the University’s business processes that lead to the creation of business records and is based on the retention periods for each type of record. The BCS is used in the University’s central recordkeeping system, TRIM, for the same purpose, and by using the BCS to organise the S: Drives, staff can ensure that their records are organised in a uniform manner.    

 

Guidance

Quick guide on e-mail handling
  • If you receive or send an e-mail, determine if the e-mail is directly related to your work.
  • Determine in what way the e-mail is related to your work. Does the e-mail require you or your colleagues to undertake any work or action, or is it merely some information that is either not important or quickly superseded (like setting a date in a calendar). If the latter, you may not need to keep it.
  • Determine who needs to make sure the e-mail is being filed and stored:
    • If you are the first named recipient of an email originating from outside the University it is your responsibility to ensure that it is kept as a business record.
    • If you are the sender of an email relating to University business to an outside party, it is your responsibility to ensure that the document is kept as a business record.
    • If you are the first named recipient of an internal email that has ongoing value it is your responsibility to ensure that it is kept as a business record.
  • Know where the e-mail needs to be stored and managed. Any e-mail that carries a business risk with it because of its contents, or is classified ‘Restricted’ or ‘Highly Confidential’, or contains business decisions that are being made in the e-mail exchange, needs to be stored in a compliant recordkeeping system (HP Records Manager/Trim, or hard copy file). Refer to the information classification chart to determine your emails classification.
    The next best storage area, suitable for some low-risk business e-mails as it is backed up, is on the shared drive of the University network. Keeping an important e-mail only in your own Inbox is not good records management practice, as the e-mail may be deleted prematurely, and is not accessible to others who might also need the information for their work
  • If you have any questions, or need advice on where to store e-mails, contact the Central Records Office.
Document scanning

Although the largest part of the University’s records are currently digital, there are still records that arrive at the University in paper format, or that are required to be printed and signed, and are subsequently scanned/digitised.

The following guidelines apply to all documents scanned to the University’s electronic document and records management system, TRIM, and to other business systems, including file share drives.    

Preparation of paper documents for scanning

When preparing documents for scanning, care should be taken in the removal of staples, clips and other bindings. Preparation may also involve some photocopying prior to scanning. This might be necessary to increase the contrast of a faded document, or when a document is creased or damaged.

Technical requirements

Most of the University’s network enabled scanner/photocopiers will have the technical capabilities needed for accurate scanning. Should there be a requirement to scan documents of non-standard sizes or colour intensity, or for assistance with any matter related to the specifications, please contact the Manager, University Records on 13056.

Scanning process

The object of digitisation is to render a true and accurate copy of the original source document. A visual inspection of all scanned images should be undertaken as part of the quality control procedures.

When scanning, note should be taken, and a record made if:

  • The source document was a photocopy (where applicable)
  • A stick-on note was attached (if text is obscured, separately scan the stick-on note)
  • ‘Opaque paint’ was used (and where)
  • The image was enhanced in any way, eg despecking, border cropping, sharpening.
  • Not all pages of a document were scanned (for example large reports).

Following the digitisation process, images should be checked for:

  • Image resolution – check that all text and detail on the image is legible, in particular fine or small size text, punctuation, and decimal points
  • Image orientation – check that the image is upright, not skewed or incorrectly centred
  • Image completeness – check that the image is not cropped or incomplete
  • Dimensional accuracy – check that the dimensional information is reproduced within acceptable tolerances
  • Colour fidelity – check that original colours are preserved in the image*

Any images which do not meet the required standard must be re-scanned.

Disposal of source documents

Any disposal of paper records after scanning should be recorded in a business unit procedure approved by the Manager, University Records.

Outgoing correspondence

If the scanned document is outgoing (i.e. an outgoing letter is printed, signed, scanned, entered in a recordkeeping system and then sent off to the addressee), no paper record needs to be retained, provided verification that the digitised images are authentic, complete and accessible, has been carried out.

Incoming correspondence

If the scanned document is incoming (i.e. an incoming letter or invoice is scanned and entered in a recordkeeping system), the original paper source record needs to be retained for the period prescribed in the relevant General Disposal Schedule unless a disposal procedure has been approved by the Manager, University Records, and recorded. Such a procedure will include regulations on verification that the digitised images are authentic, complete and accessible, and a minimum retention period to ensure that the image can be rescanned should errors be detected.

Naming conventions for digital documents

Why are document naming conventions important? Watch the ‘whats in a name’ instructional video, from the National Archives of Australia, to find out.  

  • Use simple, meaningful and clear descriptions for your folders and documents
  • Only use the following characters: 0-9, A-Z, _
  • Do not use the following characters: \ / : * ? " < > | ! % & ‘ - ; = . ( )
  • Do not use the name of the containing file/folder in the document name
  • Do make use of standardised naming for similar documents
  • As a general rule, use the following description style:
    • Date in YYYYMMDD (20150228), or full years for financial years (2010_2011),
    • Type of document (Minutes, e-mail, proposal, agreement etc),
    • Subject (Committee meeting, Grant, employment offer, maintenance, grade, etc),
    • (optional) Object (University Hall, Victoria Square Level 2 etc),
    • Author or person involved (Individuals should be referenced by first initial (without full stop) and surname),
    • Version and status if relevant (for example, if not in Trim,  DraftV0_5, FinalV1_0, RevisionV1_2; if in Trim, Draft VO.5, Final V1.0, Revision V1.2)
  • Avoid using jargon, acronyms and abbreviations as much as possible, except where there can be no doubt about the meaning (eg NSW, TEQSA, VC etc). When in doubt, write it out.
  • Do not use truncated words eg Mtg for meeting.
  • Do not use the e-mail subject or scanner-generated information only as the record title.

Additional naming conventions for digital documents not in Trim

  • If possible, use only 30 characters to name your document (This can be difficult, and should only be attempted for records that have to be kept for long periods of time, as it improves digital longevity)
  • Do not use spaces, do use underscores, or write the words together

Additional naming conventions for digital documents in Trim

  • Punctuation should not be used in titles except for hyphens (with a space before and after).
  • Do use the Notes field for any remarks about the record.

Retention/disposal of official records

The University is subject to Disposal Schedules GDS24, GDS30 and GDS21 issued by State Records under the State Records Act 1997 for the permanent retention or disposal of all University records.

  • General Disposal Schedule No. 24 (GDS24) - operational records relating to South Australian Universities 
  • General Disposal Schedule No. 30 (GDS30) - for administrative records common to state government agencies
  • General Disposal Schedule No. 21 - for digitised records

Overview of retention of personal information

Personal information means information or an opinion about an identified individual, or an individual who is reasonably identifiable, whether the information or opinion is true or not, and whether the information or opinion is recorded in a material form or not.

As a general rule, any business records that can possibly contain personal information are either kept permanently or destroyed after the retention period for those records has elapsed, according to their content and classification under the relevant disposal schedule.

The below examples are functions and activities that have a direct link to personal information, but are not exhaustive.

Quick links

     General Disposal Schedule No 21  General Disposal Schedule No 24  General Disposal Schedule No 30  Training - Hmmmmm, How long do I need to keep that Information
Staff information
Management systems that allow the identification and management of staff and volunteers in summary form. Includes:
  • staff and volunteer registers
  • employment registers
  • registers of personal files
  • personal history cards
  • internal staff directories.
  • register of scholarships
  • consolidated register of recipients of awards and prizes
PERMANENT
Staff files for associate professors and above including Vice-Chancellor, Deputy Vice-Chancellor, Pro Vice-Chancellor, Chair, Reader, Executive Dean, Dean, Head of School and accorded titles.  Also for senior executives whose position involves high-level strategic leadership, for example President and Vice-President, and personnel in the following categories:
  • employees who have made a major contribution to the community or have achieved considerable standing or notoriety
  • employees whose appointment is of historical significance, eg first of its kind
  • employees who were dismissed and whose manner of dismissal was extraordinary
PERMANENT
Staff files of all other agency employees, including ongoing, temporary, contract and part-time employees, postgraduate scholarship holders, non-academic honorary status holders and accorded titles, trainees, apprentices and volunteers etc. TEMPORARY - Destroy 85 years after date of birth or 7 years after termination of employment, whichever is the later
Superannuation – Member files for superannuation schemes sponsored by the University. TEMPORARY - Destroy 85 years after date of birth
Agency records relating to health monitoring of individuals engaged in the use of hazardous chemicals, substances and/or equipment, or other workplace hazards. TEMPORARY - Destroy 60 years after action completed.
Records relating to counselling of staff or volunteers for purposes other than performance management. TEMPORARY - Destroy 2 years after last action.
Student information

NB - The retention periods for central student files also cover a number of relevant records pertaining to enrolment, admission, awards for higher degrees and student exchanges. Further clarification should be sought from the Manager, University Records

Official results for transcript production, eg student cards, academic record on central electronic system, etc. PERMANENT
Central student files in the following categories:
  • students who have made major contributions to the community or who have achieved some considerable standing or notoriety
  • students whose attendance at the University was of historical significance such as the first enrolment of its kind
  • students whose case sets a precedent for future decisions
  • students who were excluded from the University and whose manner of earning exclusion was extraordinary
  • students who were excluded from the University as a result of disciplinary action following an external legal or criminal investigation.
PERMANENT
Practicum assessment documentation used for professional accreditation purposes. TEMPORARY - Destroy 25 years from date of completion or termination
Central student files for postgraduate by research students. TEMPORARY - If student information is duplicated in central system, destroy 7 years after action completed. If not duplicated, destroy 20 years after date of completion, termination or last action, whichever is later.
Central student files for award and non-award programs, eg undergraduate files and post-graduate by coursework files not funded by scholarship. TEMPORARY - Destroy 7 years after date of completion, termination or last action, whichever is later.
Low level administrative records relating to application for admission, eg application for credit status, student requirements for adequate level of English prior to enrolment, University fees, recognition of prior learning, internal student applications, special adjustments or entry, postponement of enrolment. TEMPORARY - Destroy 5 years after last action
Low level administrative records relating to administrative arrangements for enrolments, eg provision of official academic records to students, cessation of a student’s enrolment, CHESSN, requirements for previous course completions prior to enrolment, health requirements prior to enrolment, confirmation of visa status prior to enrolment, where the student is simultaneously enrolled in another institution, discontinuation, leave of absence, non-award programs, student access to University online services, enrolment via study abroad or exchange programs, variations reporting. TEMPORARY - Destroy 5 years after last action
Security information
Building admittance registers and visitor logs, etc TEMPORARY - Retain until 2040, retention subject to a review at that date.
Video or other audio-visual surveillance tapes or records TEMPORARY - Erase recording media 6 months after recording or last viewing.  If media is incorporated into another record, for example an investigation or litigation file, dispose of as for related case records.

Need help or further information?

For help with information classification, set-up of new files, digital and hard copy filing and current hard copy file retrievals.

central.records@flinders.edu.au

08 8201 2021

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South Australia 5042

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Last Updated: 19 Oct 2021
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