Records Management Policy
7 May 2008
Date Last Amendment:
Nature of Amendment:
amendments arising from implementation of an electronic document and record management system (TRIM) and new State Records disposal schedules
Date Last Reviewed:
Vice-President (Strategy and Planning)
This Policy is consistent with the provisions of the South
Australian State Records Act 1997 and other legislation containing
requirements for the management of official records and with
the requirements for management of research data and primary
materials set out in the Australian Code for the Responsible
Conduct of Research.
The State Government of South Australia’s Information
Privacy Principles, which regulate the way in which personal
information is managed, and the Best Practice Provisions of
AS 4390 - Australian Standard for Records Management were
also referred to in developing the Policy.
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.
This Policy establishes a framework for the control and management
of records throughout the University from their creation to
their ultimate disposal or retention as University archives.
For the purposes of this Policy, 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.
3.1 Capture – an action which results in the registration
of a record into a recordkeeping system.
3.2 Disposal Schedule – a systematic listing of records
showing those records which have permanent value and those which
can be destroyed after the period specified.
3.3 Non-current records – records which are no longer
required for current business but are required to be retained
for the minimum period prescribed by disposal schedules.
3.4 Vital Records – those records that are essential for
the ongoing business of the University, and without which the
University could not continue to function effectively.
4.1 The University will ensure that appropriate records of
the business of the University are kept.
4.2 The University’s records are important and valuable
assets of the University and must only be used for University
4.3 Records must be maintained and stored in a way which ensures
they are accessible.
4.4 Records must be disposed of in accordance with the requirements
of this Policy.
4.5 Individual staff are responsible for managing records
which they create or maintain in the course of their work
in accordance with this Policy and any related procedures.
The following University Officers have specific responsibilities
for records management:
• The Head (Policy and Secretariat) is
responsible to the Vice-President (Strategy and Planning)
for managing university records, including making determinations
about Vital Records.
• The Manager, University Records
- is responsible to the Head (Policy and Secretariat) for:
o the development of records management policy;
o provision of recordkeeping advice and assistance to University
staff in accordance with records management standards for
best practice issued under the State Records Act 1997;
o the management of non-current records and provision of
storage facilities for the preservation and control of records
having long term temporary value;
o the design of records management training programs and
provision of records management training to address the
roles and responsibilities of University staff under this
o System administration of the University's electronic document and record management application;
o the management of the Vital Records Register.
• Cost Centre Heads - are responsible
for ensuring that the management of records held in the Cost
Centre is undertaken in accordance with this Policy.
• Deans of Schools and Heads of Administrative
Divisions - are responsible for ensuring that the
management of records specifically held in the School or Division
is undertaken in accordance with this Policy.
• Supervisors – are responsible
for ensuring staff under their supervision adequately create,
capture, maintain and store records as evidence of University
business to meet the needs of the University under this Policy.
• System Administrators - are responsible
for the integrity, security and continuing operation of systems
that generate records.
Management of Records
6.1 Creation and Capture
All staff are required to keep appropriate and accurate records
which document decisions and actions for which the University
may be held accountable and to incorporate those records into
University recordkeeping systems in accordance with this Policy
and any related procedures.
All records, both current and non-current, must be stored
in such a way that they can be accessed and retrieved upon
When determining appropriate storage for non-current records,
due consideration must be given to the protection afforded
by the storage area, sensitivity of the records, retention
period (as determined by Disposal Schedules) and access rate.
In accordance with the State Records Act 1997, all non-current
records deemed to have permanent value under the Disposal
Schedules will be transferred to State Records to ensure their
preservation as State Archives.
6.3 Accessibility and Security
The sensitivity and value of records should be assessed at
the time of creation or receipt, preferably by those staff
who create or receive the records, so that appropriate arrangements
are made for their accessibility and security.
Records must be securely maintained to prevent unauthorised
access, alteration or removal. Officers to whom hard-copy files are issued are responsible for their security. An unauthorized person who
intentionally damages, alters, disposes or removes an official
record commits an offence under the State Records Act 1997.
University records which have no ongoing value and are no
longer required for current business purposes must be retained
for the minimum period prescribed by the relevant Disposal
When official records are destroyed, documentation referencing
the Disposal Schedule entries which authorised the destruction
must be kept.
6.5 Vital Records
A Register of Vital Records will be maintained by the University
and managed in accordance with this Policy to assist in documenting
and protecting the University’s Vital Records.
The Vice-President (Strategy and Planning) will determine
which records are to be treated as Vital Records.
6.6 Research Data and Primary Materials
The University will adopt principles and procedures for management
of research data and primary materials which are consistent
with the requirements of the Australian Code for the Responsible
Conduct of Research.
Under the State Records Act 1997, the University’s records
and recordkeeping systems are subject to audit by the Office
of State Records.
Staff must provide reasonable cooperation and assistance
to State Records auditors in the conduct of these audits and
to the Manager, Records and Archives in connection with these
audits and in the conduct of record surveys.
Related Procedures and Information
The University may establish procedures and guidelines to facilitate
the management of records in accordance with this Policy.
# General Disposal Schedule No. 24 (GDS24) - for operational records relating to South Australian Universities http://www.archives.sa.gov.au/files/management_GDS24.pdf
General Disposal Schedule No. 15 (GDS15) - for administrative
records common to State Government Agencies http://www.archives.sa.gov.au/files/management_GDS15_schedule.pdfGeneral Disposal Schedule No. 21 - for Digitised Records http://www.archives.sa.gov.au/files/management_GDS21_whole.pdf