Records Management Policy


Background


University records form the documented history of the organisation and its transactions. They inform decision making and provide evidence of various decisions and actions relating to the educational and research functions of the University, and to its corporate activities.

In addition, the University is required to meet its obligations under the Public Records Act 2005 and any associated mandatory standards issued under that Act.

Application


All staff members of the University, including staff members of any entities wholly or 50% or more owned by the University.

Purpose


The purpose of this policy is to ensure the University has a defined and consistent approach to making and maintaining full and accurate records of its transactions and official activities in accordance with good, prudent business practice and legislative requirements.

Policy


1. The University will create, maintain and dispose of its records consistent with its commitment to excellence in supporting its activities and in conformity with its legal requirements

2. All University records created by the University and as defined in this policy are the property of the University and not of the individual members of staff who created or received them

3. The University will ensure that a records management framework is in place

4. Records of the University must be maintained so that they are accessible, complete and authentic for as long as they are required to be kept

5. No university records may be disposed of except in accordance with the University’s GDA

6. All staff members must comply with the University’s approved recordkeeping framework

7. The University will provide training and support to enable compliance

Responsibilities

8. The Vice-Chancellor is legally obliged to ensure that the University makes and keeps full and accurate records of its activities, having regard for any relevant policy, standards and guidelines made by the Chief Archivist for making and keeping of public records

9. Line managers are responsible for ensuring that staff who report to them create and keep records as an integral part of their work and in a manner consistent with established policies, procedures and standards

10. Each Faculty, Large Scale Research Institute, or Service Division will:

  • manage its records in accordance with University requirements
  • designate a records co-ordinator to be the primary liaison with the Records Management Service.
  • ensure, in accordance with the records management framework, that:
    • records in their areas are stored appropriately
    • office filing schemes are maintained
    • records inventories are maintained.
    • disposal of non-archival value records is authorised in accordance with the GDA, and carried out in an appropriate manner
    • records of a confidential nature are protected from unauthorised disclosure
    • records of permanent value are identified and appropriately managed

10. The Records Management Programme Manager will:

  • provide policy advice and strategic guidance with regard to recordkeeping practices and systems
  • develop, publish and maintain record keeping procedures
  • maintain a record keeping intranet site and communicate with the University community on recordkeeping matters.
  • provide training and ongoing assistance
  • ensure awareness of legislative requirements
  • assist with development of record keeping systems
  • undertake audits of recordkeeping processes and systems in operation at the University as required

Legal Compliance

11. The Vice-Chancellor will delegate to nominated staff members the responsibility to ensure each staff member maintains the appropriate records of their day-to-day activities and that the University’s records are managed in a manner not inconsistent with the Public Records Act 2005

Definitions


The following definitions apply to this policy:

Disposal refers to the transfer of control of a record or the sale, alteration, destruction or discharge of a record

Public Records Act 2005 s4

GDA refers to the General Disposal Authority for University Records including such extensions to the mandatory minimum periods as may be approved by the University of Auckland

Public record refers to a record created by a public office when carrying out its activities. The University is defined under the Public Records Act 2005 as a public office. A public record does not include a special collection or records created by the academic staff or students of a tertiary institution, unless the records have become part of that institution. For records created by staff members or students which become part of the public record, see University records, below.

Record refers to information created, received and maintained as evidence and information in pursuance of legal obligations or in the transaction of business. (ISO15489). Records may be in any format – paper-based, electronic, spreadsheets, letters, agreements, photographs, plans etc. The content and context is important, not the medium

Records management framework refers to the policy, processes, disposal authority, resources and training put in place to ensure consistent and compliant records management for the benefit of the University.

Staff member refers to an individual employed by the University on a full or part-time basis.  This includes permanent, fixed-term or casual staff members 

University records refers to public records created by the University when carrying out its activities. “University” includes any entities in which the University has an ownership stake of 50% or more. Academic research materials, personal teaching materials and materials created by students are not public records, unless specifically designated as such. Research materials, personal teaching materials and materials created by students should, where appropriate, be managed in accordance with the University’s Research Policy Manual and Guidelines, and Intellectual Property Including Inventions and Patents Policy

University refers to the University of Auckland including all subsidiaries

Document management and control


Content manager: Records Management Programme Manager

Owned by: Registrar

Approved by: Vice-Chancellor

Date approved:  July 2014

Review date: July 2019