Agenda - Records Services · 2016-12-04 · Agenda Records Management Network 2:00 – 3:30 PM Friday 25 November 2016 Dulcie Hollyock Room, Ground floor Baillieu Library 2:00 –

Agenda Records Management Network

2:00 – 3:30 PM

Friday 25 November 2016

Dulcie Hollyock Room, Ground floor Baillieu Library

2:00 – 2:05 Welcome

Records Management Network

Kathryn Dan, Associate Director, Records & Compliance (5 mins)

2:05 – 2:20 Staff Conference Poster presentations (15mins)

Legal agreements: where art thou? - Jackie Brown

Digitisation plans and the management of university records

- Chris Stueven

From zero to hero: using the Records Assessment Kit - Kathryn Dan

2:20 – 2:35 Improved Recordkeeping Project Briefing (15 mins)

Project team members -Tom Burton & Michelle Cooper

2:35 – 2:50 Records and Compliance updates (15 mins)

- Higher Education Records Disposal Authority – Lucinda Davies

- Records management policy and processes – Lucinda Davies

- Digitisation plans update – Chris Stueven

- What you can find on the Records website - Fiona Mcrostie

2:50 – 3.05 Break (15 mins)

3.05 – 3:30 Q & A

WANTED

62.3%

34.4%

4.9% 4.9%

57.4%

72.1%

13.1%

2014 Records Services Report

Where do UoM legal agreements go?

What will happen if you cannot find the legal agreement?

Did you put your legal agreements into safe custody?

Forward to Legal Services

Forward to Melbourne Research

Forward original to Records Services Staff can keep a hardcopy or electronic copy for reference

Scan & process as part of a digitisation Plan developed with Records Services

Scan & Retain digital copy on local or network drive

Other

Legal Agreements : Where art thou?

Contact Records & Compliance [email protected] ph: 8344 3534

Independent Contractors Agreements Deeds of Consent Research Contracts Agency Agreements Author Agreements Supply of Services Memorandum of Understanding Contracts Lease Hire Agreements Acquisitions of Services Agreements Wills Artists Agreements Student Agreements including exchange

Certificate of Title Variation Agreements

Research Collaboration Agreements Software licences Building Works

Retain hard copy agreement in local department, school, faculty or office

Receive expert advice on the community and social expectations surrounding the conversion of information. This can include recordkeeping obligations and privacy issues.

We connect you with other experts in professional staff. Issues of technology, copyright, campus scanning, external contractors, privacy and the ongoing management of digital assets.

Advice on best practice techniques in scanning, OCR (Optical Character Recognition), process management and methods to ensure records are retrievable for future use.

Connect ExpertsCompliance Best Practice

Digitisation Plans and the management of University records

Identify Records

Common misconception: The University can only digitise and destroy hard-copy University records with a Digitisation Plan for

University records in place.

“A University record means recorded information, in any format (eg electronic, paper, image) created or received by staff of the University in the course of conducting their University duties.”

Convert Records Manage hard-copy Manage Converted

records.unimelb.edu.au

Records Management Policy (MPF1106)

The Records Assessment Kit

helps you assess current practice using a set of checklists

Create & Capture

Disposal (keep or delete)

Procedures & Systems

From Zero to Hero using the Records Assessment Kit

• All staff do online Information Management training

• Function and team inboxes used and emails kept with other records

• Refer to University Records Retention and Disposal Authority for advice on how long to keep records

• Review hard copy records

• Processes outline when and where records are saved and advice is given to new staff at induction

• Engage with Improved Recordkeeping initiative to start using University records system

Demonstrate • Time saved • Informed decisions • Obligations met

Summary scores Ad Hoc 0-2

Managed 3-4

Standardised 5-6

Predictable 7-8

Innovating 9-10

Create and Capture

Control

Access

Disposal

Storage

Procedures and Systems

Show your improvement results on a single page

Assessment results help you prioritise areas for improvement

according to local needs

There are mandatory standards for managing University records

University Records Retention and Disposal Authority Update New Records Management Policy and Processes

Lucy Davies

University Records RDA Update

• University Records Retention and Disposal Authority is based on two Public Record Office Victoria (PROV) Retention and Disposal Authorities (RDA)

• One of these RDAs was approved for use in 2002 – Higher and Further Education Institutions – due to expire in 2012

• In 2011, University Records Managers and Archivists across the Higher Education sector in Victoria began working on a new, updated RDA

• 5 years later, it is due for release – late 2016 or early 2017

• Records team currently working on updating the current University Records Retention and Disposal Authority to incorporate revised and new records disposal classes

Presenter

Presentation Notes

As the University is a public office under the Public Records Act 1973, we are under a legal obligation to follow the standards, policy and records retention and disposal authorities issued by the PROV. So our University Records Retention and Disposal Authority is primarily based on two Public Record Office Victoria (PROV) Retention and Disposal Authorities (RDA) One of these RDAs was approved for use in 2002 – Higher and Further Education Institutions – due to expire in 2012 In 2011, University Records Managers and Archivists across the Higher Education sector in Victoria began working on a new, updated RDA (as the original RDA expired during the time we were working on the new one, the old one has been extended until the new one is approved for use) 5 years later, it is due for release – late 2016 or early 2017 Records team currently working on updating the current University Records Retention and Disposal Authority to incorporate revised and new records disposal classes – so we should have a new University Records RDA – version 2.0 ready in the new year.

University Records RDA - changes

• Significant changes: • More detail as to the records covered by each disposal class –

greater clarity and useability (e.g. academic misconduct, working with children checks as part of applications etc)

• Better disposal coverage across University functions • E.g. Coverage for Body Donor Program & Veterinary

Hospital records, benchmarking activities, sport & recreation, student equity and access, commercialisation

• Split between summary student records for Universities and TAFEs – permanent retention for Universities, now long term temporary for TAFEs (50 years)

• Same split between course and curriculum development materials – permanent retention for Universities, now long term temporary for TAFEs (50 years)

• Ethics approvals now permanent retention – previously this varied depending on animal or human ethics

Presenter

Presentation Notes

Significant changes: More detail as to the records covered by each disposal class – with greater clarity and useability (e.g. academic misconduct, working with children checks as part of applications etc) Better disposal coverage across University functions E.g. Coverage for Body Donor Program & Veterinary Hospital records, benchmarking activities, sport & recreation, student equity and access, commercialisation – these weren’t addressed in 02/01, the old RDA There is now a split between summary student records for Universities and TAFEs – permanent retention for Universities, now long term temporary for TAFEs The same split between course and curriculum development materials – permanent retention for Universities, now long term temporary for TAFEs This split has been a contentious one for the higher education sector as in the previous RDA there was no split between University and TAFE records and all summary student records and all curriculum development materials – regardless of whether they were University courses or TAFE courses were kept permanently. There is a community expectation that if you have attended the University of Melbourne (or one of our predecessor institutions which offered TAFE level courses) that we will always be able to provide you with an academic transcript of your final results as we will be keeping those records forever. To that end, in our RDA we will continue to advise that all summary student records will be retained permanently, as we have that discretion. The RDA provides the minimum retention period only and if institutions choose to keep certain records longer for business requirements they can, provided they take into account the legal and privacy risks in doing so. Ethics approvals now permanent retention – previously this varied depending on animal or human ethics – animal ethics were 7 years and human ethics 20 years. If you’d like a copy of the draft Records of Higher and Further Education Functions, please let me know. We will also advise you when our revised University RDA is released and we expect to run workshops/information sessions when that occurs.

New Records Management Policy and Processes

• New Records Management Policy released in July 2016 http://policy.unimelb.edu.au/MPF1106

• Old Records Management Policy, Records Management

Procedure, Records Retention and Disposal Procedure and Access Procedure have been rescinded

• Working to replace these procedures with processes

• Current processes available in Promapp are: – Records Appraisal Process – Records Destruction Process – Storing temporary retention records – Transferring permanent hard copy records to Records and

Compliance – Web Archiving Request

Presenter

Presentation Notes

New Records Management Policy released in July 2016 - http://policy.unimelb.edu.au/MPF1106 Old Records Management Policy, Records Management Procedure, Records Retention and Disposal Procedure and Access Procedure have been rescinded Working to replace these procedures with processes Current processes available in Promapp are: Records Appraisal Process Records Destruction Process Storing temporary retention records Transferring permanent hard copy records to Records and Compliance Web Archiving Request

http://policy.unimelb.edu.au/MPF1106

© Copyright The University of Melbourne 2011

Digitisation Plans – 2016 Update

University Services

Student Service Delivery

Academic Divisions

Centre for Epidemiology and Biostatistics, Ten to Men Project

Research Grants, Health & Medical

Legal Services

Records Services

Scholarly Information

Health & Safety

Privacy and Compliance Education Themis Support Desk

Campus Services (in development)

Finance and Employee Services (in development)

Documents

Agenda - Records Services · 2016-12-04 · Agenda Records Management Network 2:00 – 3:30 PM Friday 25 November 2016 Dulcie Hollyock Room, Ground floor Baillieu Library 2:00 –