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The Central Records system is an important aid to information
flow and decision making. An essential feature of the system
is that correspondence is attached to relevant files before
it is distributed to the appropriate officers for action.
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1 |
Receipt and Sorting of Incoming Correspondence
All mail for Central Administration is opened in the Central
Records Office, other than mail marked "Personal" or "Private"
and particular exemptions approved by Heads of Division.
Mail marked "Personal" or "Private" is delivered unopened
to the addressee. If it contains information that should be
on file, the officer should return it to the Records Officer
who will register the document (where necessary) and return
it on the relevant file.
Correspondence from outside the Central Administration which
is received directly by any officer should be referred to
the Central Records Office for registration. Correspondence
from inside Central Administration will normally be received
direct from the originator, attached to the relevant file
- refer Section 10 "Correspondence within Central Administration".
No action should be taken on any correspondence until it has
been attached to the relevant file.
All incoming correspondence is stamped with the date of receipt,
and is then scrutinised by the Records Officer who allocates
a file number and notes on each letter the initials of the
officer to whom it should be referred.
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2 |
Registration
Details of all mail to be distributed on a central file are
entered in the correspondence register which records:
- date of receipt of letter;
- date of letter;
- name of sender;
- subject of letter;
- file number.
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3 |
File and Folio Numbers
File titles and numbers are allocated by the Central Records
Office. Each file has a unique title and number which is allocated
by the Records Officer in accordance with the standard Central
Records Office numbering system. Each document is numbered
in sequence as it appears on a file; this is the folio number
which is allocated by the Records Officer, Records Office
staff or by any Central Administration staff member who places
correspondence on a file.
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4 |
Issuing Files
Incoming correspondence is placed on a file and assigned
a folio number before it is issued to officers for action
or information. When issuing a file, the Records Office enters
the folio number, the officer's name and the date of issue
in the appropriate columns on the file cover. The date and
name are also recorded in the Records Office. Files are submitted
to officers through their secretaries, unless a communication
is so confidential that it is accompanied by a request that
it be handed direct to the officer concerned.
Before taking action on a file, the recipient should check
that the papers referred to him or her are correctly filed.
If an officer believes that documents have been filed incorrectly,
the file should be returned to the Records Office with a request
that the documents be placed on the correct file or, if appropriate,
that a new file be opened. If an officer considers that the
matter is most appropriately dealt with by another person,
he or she should mark the file to that person, refer it to
them and notify the Records Office that the file has been
transferred.
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5 |
Security
Officers to whom files are issued are responsible for them
and should keep them in a secure place.
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6 |
Transfer/Return of Files
To transfer a file to another person the officer should initial
the "A.C." (action completed) column opposite his or her name,
and write the name of the officer to whom it is being transferred
on the next line, together with the relevant folio number.
The file should then either be returned to the Records Office,
which will forward it on, or referred to the officer concerned.
In the latter case the Records Office should be notified about
the transfer by means of a Transfer Slip, or by telephone
(Ext 2440, 2021 or 3056). Transfer slips should be completed
in full and sent to the Records Office as soon as possible
after the transfer takes place. In the case of files known
to be in high demand, "am" or "pm" should be added to the
date. When all action is completed, a file should either be
returned to the Records Office or, transferred to another
officer.
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7 |
Bringing Forward
The officer to whom the papers are referred is responsible
for taking all appropriate action. If action cannot be taken
immediately, the file should be returned to the Records Office
with a request that it be brought forward again at a later
date. If a file is required by another user, it should be
sent to the Records Office first for the bring forward request
to be recorded. All files not currently in use should be returned
to the Records Office.
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8 |
Outward Correspondence
All letters being sent from the Central Administration should
include the date, the relevant file number(s), and the initials
of the author and person responsible for typing the letter.
When correspondence is initiated on a new subject, the Records
Officer should be asked to open a new file.
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9 |
Correspondence Within Central Administration
In the case of correspondence within Central Administration,
the original should be put on file and marked with the next
successive folio number. The folio number, the name of the
addressee and the date should be entered in the appropriate
columns on the file cover and the file forwarded to the addressee.
If the file is not directed through the Records Office, its
transfer should be notified to the Records Office by means
of a Transfer Slip or by telephone (Ext 12440, 12021 or 13056).
If correspondence is to be sent to a number of officers in
the Central Administration and the matter is urgent, the file
copy should be marked "Multiple copies used". This notation
explains to recipients why the correspondence has been sent
off file.
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10 |
Copies of Correspondence
For external correspondence, and correspondence
to Faculties and other sections of the University (except
for Central Administration), a blue and pink copy is required.
If two or more subjects are addressed in an item of correspondence,
a corresponding number of blue copies is required for distribution
to the relevant files.
The blue copy of correspondence should be filed and folioed
before the file is returned to the Records Office. Where there
are "multiple" blue copies, one should be filed on the main
file and the others forwarded to the Records Office.
For correspondence within Central Administration,
only a pink copy is required.
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11 |
Pink Copies
The pink copies of all non-confidential, non-routine correspondence
are circulated daily by the Records Office for the information
of the Executive (Vice-Chancellor, Deputy Vice-Chancellor,
Deputy Vice-Chancellors, Director of Administration and Registrar),
staff supporting the Executive and Divisional Managers. Pink
copies must be sent to the Records Office as soon as correspondence
has been signed, so that any follow-up action can be taken
straight away. The Records Office maintains a chronological
file of all pink copies.
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12 |
Extracting of Minutes
The Secretaries of the following major committees should
prepare extracts from the minutes of meetings for inclusion
on central files:
- Council
- Academic Senate
- Resources Committee
The extracts should be forwarded to the Records Office, together
with a copy of the minutes.
Secretaries to other University committees should prepare
minute extracts in relation to significant policy or procedural
matters only when it is clear that these matters will not
appear subsequently in the minutes of any of the major committees
listed above.
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13 |
Restricted Access Files
Access to particular files may be restricted to specified
officers. The Records Office should be asked to provide restricted
access when new files are created.
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14 |
Access to Files
14.1 Central Administration Staff
Staff from Central Administration have access to central
files in the course of duty. Central Administration comprises
the following Offices and Divisions:
- Office of the Vice-Chancellor,
- Equal Opportunity Unit,
- Office of the Director of Administration and Registrar,
- Academic and Student Services Division,
- Buildings and Property Division,
- Financial Services Division,
- Human Resources Division and
- Information Services Division.
Faculty General Managers have the same access rights as Central
Administration staff.
14.2 Non-Central Administration Staff
A staff member from any section of the University outside
the Central Administration who wishes to consult a file should
apply in person to the Records Officer, providing reasons
in support of the request.
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15 |
Guidelines for the Use of Electronic Mail in Central Administration |
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15.1 Introduction
Electronic mail is forming an increasing component of our
corporate memory, and like records in other formats, is subject
to legislation such as the Archives Act, Freedom of Information
Act and the Privacy Act, and to legal processes such as discovery
and subpoena. Electronic mail will therefore need to be integrated
into our paper-based records system by Central Records Staff
entering relevant details on the Record Management System
and placing a hard copy on file.
The following guidelines are issued to foster a uniform approach
to email processing.
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15.2 Saving/Deletion of Messages
When electronic mail originates within Central Administration,
the originator should determine whether the message and any
responses should be placed on central file. As a general principle,
a hard copy of all email messages concerned with ongoing University
businesss should be filed either on a staff file, a student
file or a central file and, where appropriate, on a combination
of these. Messages of an ephemeral nature, which are for information
only, eg notification of changes in the time/venue of a meeting,
may generally be deleted. When an email message originates
from outside central administration, the addressee should
determine the value of the message and if appropriate send
a copy to the Central Records Office.
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15.3 Registration of Email
To enable registration and filing of all incoming correspondence
for central files, a "cc" should be sent to the Central Records
Office, either electronically (email address: Central.Records)
or by hard copy.
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15.4 "Pinks"
Pink copies of email should be produced in the same way as
pink copies are made of outward correspondence. |
