Introduction To Recordkeeping
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1. Why keeping good records helps achieve the University's mission?
There are many reasons why keeping good records helps the University achieve its goals. As a publicly funded institution operating in a heavily regulated and highly competitive environment, the University as an institution is expected to be compliant and accountable to an increasing number of external agencies and bodies, and to the public community it serves. Achieving "institutional" accountability is a challenge, because the University is a highly decentralised organisation, in which many autonomous individuals and departments carry out the core functions of the institution.
This means that the University relies on its people to collect and maintain evidence of their activity - for instance, by documenting management decisions that people might make or participate in on behalf of the University, as well as the kinds of records you would ordinarily capture in the course of your academic, research or administrative roles - and capturing such records within the University's system to maintain our institutional memory.
The University as an institution cannot meet its accountability standards without the active assistance of all its personnel. And maintaining our institutional accountability is essential if the University environment we all enjoy is to be preserved.
Remember, this is not about individual accountability or doing extra work: it is about the University's institutional accountability, and doing what is required to uphold that. What is most important is that records be accurate, reliable and locatable: both for you, and for others in the future.
There are two kinds of record keepers.
The first has a system for managing their records - it may not be identical to anyone else's system, but it is organised and appropriate to their own style and needs. They make the capture of records into their University files a part of their everyday routine - either on their own or with the help of a support person - so that they hardly even notice they are doing it. Their records are captured consistently and with little effort. When something comes up that requires them to put their hands on evidence of a previous action, they can locate it with minimum inconvenience.
The second kind of record keeper believes it is "too hard" to think about records on a day-to-day basis. They pile documents up in their office, with no order or organisation to them. If they do ever organise their records, they do so on an ad hoc, mass-capture basis that takes a lot of time and effort, and leads to sloppy and inconsistent capture of their work. If an issue comes up that requires them to find old records, they go through a massive effort to locate and capture their records - and in many cases cannot find them, putting themselves and the University at risk.
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2. Responsibilities for recordkeeping
The creation and proper management of records is central to the success of the University's diverse array of activities. The University's contributions to research, education and society represent a significant contribution to the nation's history.
As a centre for knowledge, discovery and education, and as a publicly funded institution, it is critical for the University to maintain a reliable "institutional memory", which serves as evidence of its activity, and as a meaningful collation of its education and research outcomes - and of its contributions to academia and the wider community.
It is essential to the successful conduct of our complex business that we create and retain a complete and accurate record of what we do - intellectually, commercially, and administratively. It is easy to think that this means keeping records of our employment relationships, financial transactions or contracts; but the "institutional memory" or central records repository should also include academic and research records, and documents that explain the reasoning behind management style decisions across the University.
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3. What is a "record"
In everyday language, a "record" is an account of something, a collection of information, a compilation of facts; something that is written or otherwise set down in a way that preserves its content. A record is anything that provides tangible evidence of information or past events.
From the University's perspective, a "record" comprises recorded information in any form (regardless of format) that is:
- created or received by the University in the course of transacting its business or carrying out its activities, and
- retained as evidence of that activity or business.
The record might be an email, letter, lab book, diagram, photograph, set of lecture handouts, payment receipt - or anything else tangible (or reproducible) that shows what the University does, has done, or will be doing.
Under the Australian Standard on Records Management (ISO 15489) - a standard the University aspires to - the term "record" refers to "documents created, received and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business". For the University, both of these drivers (legal obligations and the transaction of business) matter: we have legal obligations under the , as well as the to retain and manage records in a particular way, and it is essential to the successful conduct of our complex business that we create and retain a complete and accurate record of what we do.
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4. The University's policy on recordkeeping
The University's Information ManagementÌýPolicy articulates the responsibilities of every University staff member, titleholder, adjunct and affiliate who create or receive records on behalf of the Uni