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Classification and Capture Procedure

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Section 1 - Purpose

(1) The Purpose of this Procedure is to identify responsibilities and actions related to classification and capture of Records and information in accordance with the Records and Information Management Policy.

Scope

(2) This Procedure applies to all Macquarie University staff and all University Records.

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Section 2 - Policy

(3) Refer to the Records and Information Management Policy.

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Section 3 - Procedures

Responsibilities and Required Actions

Records and Information Management Program

(4) The Records and Archives Manager is responsible for:

  1. improving, implementing and monitoring the Records and Information Management Program;
  2. delivering the University’s Recordkeeping Awareness Program which provides staff with the knowledge and skills required to fulfil their record-keeping obligations; and
  3. receiving and acting on any notifications of alleged breaches of the Records and Information Management Policy.

(5) The Chief Information Officer is responsible for:

  1. ensuring University information technology systems perform effectively and comply with statutory requirements for record-keeping functionality.

(6) Business System Owners are responsible for:

  1. ensuring the reliability and continued operation and functionality of business systems that generate and store Records; and
  2. ensuring business continuity plans for these systems are in place.

Allocating and Documenting Local Recordkeeping Responsibilities

(7) The Executive Group is responsible for ensuring that within their portfolios:

  1. Records and information are kept in relation to their area’s functions and in accordance with the Records and Information Management Policy; and
  2. a Records Coordinator is nominated in each Faculty / Office who will liaise with Archives and Records in the development of local practices and to ensure that appropriate storage, access, use, distribution and disposal of the Records and information are in accordance with the Records and Information Management Policy.

(8) Managers and supervisors must ensure that:

  1. their staff are aware of the University’s Record and Information Management Program;
  2. their staff are trained in local recordkeeping processes and systems;
  3. appropriate statements about Records and information management responsibilities are included in all their staff position descriptions; and
  4. their staff make arrangements for the ongoing management of Records and information when leaving a position.

Create, Classify and Capture Records and Information

(9) The Records and Archives Manager will:

  1. advise on what Records and information are to be created, according to the needs and structure of the University and classify them in accordance with relevant legislation;
  2. document the University’s Records and Information Classification System and promote it to relevant stakeholders;
  3. liaise with Records Coordinators in all Faculties, Offices and other business units to appraise Records and information management requirements in accordance with the University’s Records and Information Classification System;
  4. centrally coordinate Vital Records and Archives;
  5. manage the corporate Records registry services;
  6. provide advice and guidance in identifying Records which may not be required as State Archives but may require permanent retention as a Record of Continuing Value; and
  7. advise on managing the digital lifecycle of Records and information assets into a digital Records system, Record and information control tools and metadata standards in accordance with the University’s Records and Information Classification System.

(10) Staff must:

  1. be aware of and act on the Record and information keeping obligations and responsibilities that relate to their duties, including:
    1. understanding the functions of their role and organisational area within the University and the Records and information required to support those functions;
    2. knowing the policy requirements about keeping Records and information in relation to their duties;
    3. understanding how Records and information needs to be shared between staff to support business efficiency;
    4. understanding the risks involved in activities and what Records and information may need to be kept for evidence purposes; and
    5. following local Records and information management processes.
  2. create and capture Records and information about their daily work. This will include Records for the following business activities:
    1. approval or authorisation;
    2. guidance, advice or direction;
    3. information relating to projects or activities; and
    4. formal business communications to and from external parties, students and other staff.
  3. ensure that University Records are full, complete, accurate, meaningful, and adequate for the purpose for which they are kept.
  4. capture University Records and information into the appropriate recordkeeping systems in line with the Records and Information Management Policy.

Monitor and Evaluate

(11) The Records and Archives Manager / Chief Information Officer / Business System Owners:

  1. monitor compliance with the Records and Information Management Program in relation to the State Records Act 1998;
  2. evaluate opportunities for improving the effectiveness, efficiency and quality of the Records and Information Management Program;
  3. report on the Program to the relevant authorities; and
  4. participate in audits by internal and external agencies.
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Section 4 - Guidelines

(12) Nil.

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Section 5 - Definitions

(13) Commonly defined terms are located in the University Glossary. Definitions specific to this Procedure are contained in the Records and Information Management Policy.