Recordkeeping Policy

1. Purpose

Good recordkeeping supports a strong information management culture and is part of good corporate governance. This policy provides guidance to all university staff on recordkeeping principles that apply to the creation and management of Monash University records.

Good recordkeeping will assist the university to:

• Operate efficiently and effectively
• Meet legislative and compliance obligations
• Meet expectations of the community

2. Background and Policy Context

The Monash University Information Management Strategy establishes Monash Information Principles and describes priority areas for improvement in information management. Recordkeeping - managing the official record of the university's operations - is one of these areas. Strong recordkeeping will support managing faculty and divisional information more effectively.

This policy:

• is consistent with the university's Information Management Strategy and Information Principles
• relates to other information management policies about Privacy and Freedom of Information
• supports university policy initiatives in the areas of quality and risk management
• has been written with reference to best practice in the field of recordkeeping such as Australian and International Standard AS/ISO 15489 Records Management 2002 and Public Record Office Victoria's records management standards

3. Scope and Application

The Monash University Recordkeeping Policy applies to all staff of Monash and its entities, when undertaking official business. It:

• Describes the university's statutory obligations for the creation, receipt, collection, maintenance and use of university records for operational, evidentiary, accountability, research and historical purposes. It also governs how long records should legally be kept.
• Outlines responsibilities for the management of university records and archives.
• Defines responsibilities for creation of university recordkeeping policies, standards, guidelines, tools and systems.

4. What is a University Record?

A university record is 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 of Monash or its entities when undertaking official business and making decisions related tothe university's activities.

University records can be in any format - electronic documents, hard copy letters, e-mail, spreadsheets, legal contracts and agreements, building plans, photographs, etc.

What distinguishes records from other types of information is their connection to an action. They record and "reflect what was communicated or decided or what action was taken". (AS/ISO 15489 Records Management 2002, Part 1: General, 7.2.1).

University records are the property of Monash University and are generally subject to Freedom of Information, Privacy and other legal requirements to do with the keeping of records.

5. Recordkeeping Principles

Records are knowledge assets and key components of the university's corporate memory. Quality records provide evidence of and information about the university's governance, administration, teaching, research and commercial activities. The intellectual capital that resides in research data and teaching materials is often managed through records.

It is important, therefore, that university records be managed according to the following Recordkeeping Principles which are in accord with the Monash Information Principles:

1. The university is committed to creating, using and keeping full and accurate records of its governance, academic, administrative, community and commercial activities. (IM Corporate Importance and Information Sources)
2. The university will comply with relevant legislation that applies to records, especially legislation governing retention or destruction of records. University records must only be destroyed in accordance with disposal policies issued by the University Archivist. (IM Information Ethics and Retention and Disposal)
3. The university will implement best practice standards for recordkeeping that are "fit for purpose" in the Monash context. (IM Productivity and Efficiency)
4. The university acknowledges that, increasingly, efficient and effective recordkeeping is the responsibility of all staff as information and records are managed electronically at the desktop. (IM User Centredness and Productivity and Efficiency)
5. The university aims to make best practical use of available technology for recordkeeping. In the use of technology, Monash will ensure that the integrity of records is protected over time. (IM Trustworthy Information and Systems)
6. Whilst acknowledging the importance of appropriate technology, Monash University's recordkeeping programs will include strategies to address staff education needs in recordkeeping. (IM Staff and Student Development)
7. Monash's systems for recordkeeping (technology and work practices) will cover all essential recordkeeping functions:
   • Capture records
   • Store records over time
   • Protect the integrity and authenticity of records
   • Ensure appropriate security
   • Enable access and use of records
   (IM Corporate Importance)

6. Responsibility for Recordkeeping

Records are created and managed by staff across the university in divisions, faculties and centres. Increasingly, they are created and stored in electronic systems and managed by each staff member. Most staff have responsibility to implement recordkeeping principles.

Vice-Chancellor: As the "officer in charge of a public office", the Vice-Chancellor is responsible for the university having a records management program and keeping full and accurate records of its activities, in accordance with the Victorian Public Records Act, 1973.

Deputy Vice-Chancellors, Vice-Presidents and Pro Vice-Chancellors: University-wide policy implementation.

Deans, Divisional Directors, Faculty Managers, Heads of Schools and Centres: Responsible for implementation across faculties, schools, centres and divisions.

Records and Archives Services Branch: Responsible for providing policies, standards and advice on recordkeeping to the Monash community and for monitoring compliance.

University Archivist and Director, Audit and Risk Management: Approval of destruction of university records.

Student and Staff Services Division: Discrete units of Student and Staff Services Division are responsible for the management of student and staff records.

Information Technology Services Division: Provides and maintains technology that supports Monash creating, using and keeping records

Centre for Higher Education Quality: Supports quality assurance and improvement in recordkeeping

Monash University staff: All staff must comply with this policy and related advice in creating, using and keeping records of university activities.

7. Resources from the Records and Archives Services Branch

Records and Archvies Services is developing advice and resources to help the university improve management of its records.

Elements of the records management program under development are:

• Policies, standards and guidelines on best practice recordkeeping.
• Tools with university-wide application, eg LOCATE classification scheme and thesaurus for consistent titling and retrieval of information.
• Development / provision of recordkeeping systems.
• Preparation of legally compliant rules for retention or destruction of university records.
• Recordkeeping consultancy advice to meet university needs.
• Preservation of corporate memory through the University Archives.
• Identification of vital records for business continuity.
• Reference services to enable use of university records by university community and others where applicable.
• Training in recordkeeping concepts and tools.
• Quality assurance of university recordkeeping.

Advice currently available on the Records and Archives website covers:

• Electronic records (including e-mail)
• Classification and titling of files
• Retention or destruction of records
• Records Management Office operations

8. Legislation, Policies and Guidelines affecting Recordkeeping at Monash University

Monash University must comply with a range of Commonwealth and Victorian laws that govern how records should be managed. Laws often define when and how records should be created, how they should be handled and how long they need to be kept. Recordkeeping issues covered by legislation include evidence, privacy, occupational health and safety, trade practices, audit and freedom of information. University records may also be subject to subpoena or court orders.

The Audit and Risk Management Branch maintains a complete list of legislation applying to Monash University. The Electronic Mail Recordkeeping Protocol also lists relevant legislation.

Many university policies describe how particular information should be handled. The main ones and the issues they cover are:

• Audit Charter records access
• Discrimination and Sexual Harassment Grievance Procedures records creation, access, security, privacy, storage, legal retention
• Electronic Mail Recordkeeping Protocol records creation, management, use, storage, legal retention
• Financial records records creation, management, use, storage, legal retention
• Freedom of Information records access, amendment
• Information Technology Use Policy records use, security
• Information Technology Web Guidelines and Policies records access, use
• Intellectual Property Issues for the Internet and Multimedia copyright and intellectual property
• Monash Messaging Service Policy records creation, use
• Monash University Privacy Policy records creation, access, security, privacy
• Records and Archives Services Records Disposal Authority legal retention or destruction, records storage
• LOCATE: Language Classification Tool records creation, titling and classification
• Staff Handbook Section 9.8 Staff files records access, security, use
• Student records-confidentiality records access, security, privacy

9. Policy Authorisation

Vice-Chancellor's Group

10. Policy Administration

Deputy Vice-Chancellor and Vice-President (Resources)

University Archivist and Manager, Records and Archives Services

11. Review of Policy

The Manager, Records and Archives Services Branch will review this policy every three years in conjunction with the Information Management Steering Committee.

12. Contacts

Version 1.1 March 2005

Related links

• Audit and Risk Management
• Executive Services
• Copyright at Monash
• Information Technology policies
• Privacy at Monash
• Web Style Guide
• Public Record Office Victoria standards