Procedures

Disposal of Records - Procedures

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1. Purpose and Objectives

Staff are required to retain and dispose of University records in accordance with Information Standard 31: Retention and Disposal of Public Records and retention and disposal authorities approved by the State Archivist. This procedure details how staff should research, document and seek approval before records are disposed.

2. Definitions, Terms, Acronyms

Retention and Disposal Schedule - Defines the status, minimum retention periods and consequent disposal actions authorised for specific classes of records. The University is subject to two mandatory retention and disposal schedules:

General Retention and Disposal Schedule for Administrative Records

University Sector Retention and Disposal Schedule

3. Procedures Scope/Coverage

This policy applies to staff undertaking all aspects of University business.

4. Procedures Statement

Staff are required to use the appropriate retention and disposal schedule for the functions documented in the records and comply with the disposal actions set out in current and authorized retention and disposal schedules.

Prior to disposal, University records must be appraised for possible continuing archival value. Records with historical significance to scholars, historians and the community must be retained permanently. Permission must be sought from the Head of the organisational unit before the destruction of records.

Any records subject to legal processes such as discovery and subpoena or required for internal or external review or investigation or relevant to an application made under the Right to Information Act 2009 must not be destroyed even if the retention period has passed.

Ephemeral documents as described in section 16 of the General Retention and Disposal Schedule for Administrative Records with no value to the University may be destroyed when administrative and/or reference use has ceased. This may be done without further reference to a retention and disposal schedule. Where the official version of a record is verified as being already maintained in the University’s recordkeeping system, a copy may be destroyed at any time without reference to the retention and disposal schedule.

Section 13 of the Public Records Act 2002 prohibits an employee from destroying University records except in accordance with these authorities.

5. Disposal Process

5.1 Identify the records and locate their retention periods

The retention periods are listed in the the approved Retention and Disposal Schedules:

General Retention and Disposal Schedule for Administrative Records
for general administrative records which are common across all agencies like equipment and stores, financial and property management.

University Sector Retention and Disposal Schedule
for records which are specific to a University like assignments, timetables and scholarships.

Please refer to the online copy as the schedules are regularly reviewed.

5.2 Complete the Request for Disposal Approval form

Send the completed Request for Disposal Approval form to the head of your organisational unit for approval. This includes:

  • School Manager
  • Faculty Administration Manager
  • Faculty Financial Manager
  • Director Central Division
  • Institute Deputy Director

The form can be kept in electronic format and sent for approval by email rather than printing the form for signature.

5.3 Email the approved form to RAMS

Email the approved form to records_request@uq.edu.au or mail the hard copy form to RAMS in an internal envelope for registration. RAMS is currently located in the Seddon, Building 82G, St Lucia campus.

5.4 Destroy the records

Destroy the records using a commercial confidential bin. ShredX is the University's approved service provider.

Custodians
Chief Information Officer
Mr Rob Moffatt

Guidelines

Assessment, Sentencing and Transfer of Records - Guidelines

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1. Purpose and Objectives

These guidelines expand on PPL 1.60.04a Records Management - Policy and include specific information regarding the assessment, sentencing and transfer of records when relocating.

2. Definitions, Terms, Acronyms

Record - Recorded information created or received that provides evidence of decisions or actions while undertaking business.

Retention and Disposal Schedule - Defines the status, minimum retention periods and consequent disposal actions authorised for specific classes of records. The University is subject to two mandatory retention and disposal schedules:

3. Guidelines Scope/Coverage

These guidelines apply to staff undertaking all aspects of University business, and include records in all formats including hardcopy and electronic records in business systems, databases, spreadsheets, websites and email systems.

These guidelines do not apply to organisations associated with the University that are not subject to the Public Records Act 2002, such as the UQ Union and University controlled entities.

4. Guidelines Statement

These guidelines will assist staff in their assessment of records and prevent the unauthorised destruction of records.

5. Assessment Prior to Relocating

Records in your area can be broken down into a number of broad categories.

There are those you use regularly, those you use infrequently (semi-active), those you use rarely or not at all (inactive) and, in many cases, those you didn’t even know you had.

Records

Action

Regularly used

Take the records with you to keep near your work area.

Used infrequently (semi-active)

Place in storage close by in your new area (where available) or transfer to a commercial storage provider.

Records must be appropriately boxed, listed and sentenced when transferring to storage. Group similar records together. This ensures that the records can be retrieved when required and that they are not kept longer than necessary.

Inactive with heritage or archival value

Contact the University Archivist archives@uq.edu.au

Inactive but NOT eligible for destruction

Transfer to a commercial storage provider.

Records must be appropriately boxed, listed and sentenced when transferring to storage. Group similar records together. This ensures that the records can be retrieved when required and that they are not kept longer than necessary.

 

Inactive AND eligible for destruction

Destroy securely and ensure destruction is documented. Use the ‘Records Disposal Approval Form’ to document records destruction and forward to RAMS.

5.1 Records actions checklist

Use the current retention schedules to determine how long you need to keep your records:

Check all filing cabinets and desks to ensure files are not abandoned or accidentally destroyed during relocation.

If boxing files use durable boxes which are available through P&F Stores.

050606

BOX FILING ARCHIVE C11- 400Lmm*320Wmm*260Dmm WHITE

050605

BOX FILING ARCHIVE C3- 370Lmm*170Wmm*250Dmm WHITE

Contact RAMS if you require assistance in assessing your files – records_request@uq.edu.au

6. Transfer to Commercial Storage

RAMS recommend Grace Records Management as a suitable commercial storage provider. They make regular collections/deliveries to the St Lucia campus and provide appropriate environmental controls for the long term storage of records.

To set up an account at Grace please email records@grace.com.au

Label each box clearly and keep a detailed, accurate record of what you have sent and what is in each box. This can be done with a spread sheet or even a Word document. It is also important to ensure that other staff know where this information is kept so that if you are unavailable the records are still accessible.

Information on the labels should include:

  • Unique box number (generated by you), and
  • Summary of content

e.g.

Queensland Centre Intellectual & Developmental Disability (QCIDD)

Box 001

Research Materials 2013

Professor J Smith

Grace Records Management will provide you with a roll of barcode labels that you will also need to attach to your boxes. This is how they track the boxes in their system.

Information recorded in your spread sheet should include the following:

  • Unique box number (generated by you)
  • Grace barcode label number
  • Owner of the records/researcher
  • Date sent to Grace
  • Summary of the contents
  • Date for review/destruction

Grace have an online inventory and ordering system which you can use to look up your boxes but you should also maintain a separate record. They will only have the information you provide them with as a means of tracking your boxes.

Grace also provide training on how to use their online inventory and ordering system, if required.

7. Disposal

Remember that records destruction must be:

Please refer to PPL 1.60.06b Disposal of Records.

Our State Retention and Disposal Schedule allows for the destruction of some records as soon as they are no longer needed for business or administrative purposes. There is no minimum retention period for these records and there is no need to document their destruction.

These are ephemeral documents which are items of short term temporary informational value. These include copies, media reports, unsolicited letters, diaries, transitory messages, drafts and superseded manuals.

8. Archives

The University has an extensive archives collection dating back more than 100 years. If you have any records which have particular historical interest or are identified as permanent please contact the University Archivist archives@uq.edu.au

Records in this category include committee minutes, photographs and annual reports.

Custodians
Chief Information Officer
Mr Rob Moffatt

Forms

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Request for Disposal of Records Approval - Form

Request for Disposal of Records Approval - Form

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Description: 

This form should be completed before records are destroyed.  In this form staff are required to provide a description, date range, retention code, disposal date and disposal action.  This form should be forwarded to the head of the organisational unit for approval which may be done via Email confirmation or signature.  This disposal approval record should then be sent to RAMS for registration.

Custodians
Chief Information Officer
Mr Rob Moffatt
Custodians
Chief Information Officer
Mr Rob Moffatt
Custodians
Chief Information Officer
Mr Rob Moffatt