IFM-PR-008: Managing the Department's Records

• Electronic Transactions Act 2001 Sections 20 and 21 http://www.legislation.qld.gov.au/LEGISLTN/CURRENT/E/ElectronTrQA01.pdf
• Evidence Act 1977 Sections 95, 97, 104, 105, 106, 129 and 134A Part 7 http://www.legislation.qld.gov.au/LEGISLTN/CURRENT/E/EvidceA77.pdf
• Financial and Peformance Management Standard 2009 Part 2 s27, Div 2 s57 http://www.legislation.qld.gov.au/Acts_SLs/Acts_SL_F.htm
• Right to Information (RTI) Act 2009 Chapter 6 Part 1 http://www.legislation.qld.gov.au/LEGISLTN/CURRENT/R/RightInfoA09.pdf
• Public Records Act 2002 Division 2 and 3 http://www.legislation.qld.gov.au/LEGISLTN/CURRENT/P/PublicRecA02.pdf
• Public Service Act 2008 Division 3 Functions s98 Responsibilities http://www.legislation.qld.gov.au/LEGISLTN/CURRENT/P/PublicServA08.pdf

• Information Standard 40: Recordkeeping http://www.qgcio.qld.gov.au/qgcio/architectureandstandards/informationstandards/current/Pages/index.aspx
• Information Standard 18: Information Security http://www.qgcio.qld.gov.au/QGCIO/ARCHITECTUREANDSTANDARDS/INFORMATIONSTANDARDS/CURRENT/Pages/index.aspx
• Information Standard 31: Retention and Disposal of Public Records http://www.qgcio.qld.gov.au/QGCIO/ARCHITECTUREANDSTANDARDS/INFORMATIONSTANDARDS/CURRENT/Pages/index.aspx
• Information Standard 34: Metadata http://www.qgcio.qld.gov.au/QGCIO/ARCHITECTUREANDSTANDARDS/INFORMATIONSTANDARDS/CURRENT/Pages/index.aspx

• IFM-PR-003: Classification and Handling of Information Assets /strategic/eppr/information/ifmpr003/
• IFM-PR-005: Access to Records Held in Schools /strategic/eppr/information/ifmpr005/
• IFM-PR-006: Maintaining the Security of Department Information Systems /strategic/eppr/information/ifmpr006/
• IFM-PR-009: Applying Metadata to Web Pages and Departmental Records /strategic/eppr/information/ifmpr009/
• LGS-PR-008: Access to Departmental Information /strategic/eppr/information/lgspr008/

Statement of intent

IFM-PR-008: Managing the Department's Records refers to the creation, capture, management and disposal of departmental records throughout their lifecycle, in any form, regardless of medium or sensitivity. The Department of Education and Training (the Department) maintains reliable recordkeeping systems that ensure full and accurate records of Government business are adequately documented, preserved and made accessible. The Department and its employees comply with the Public Records Act 2002 and other legal and administrative requirements for the management, access to, and accountability of records.

Sound records management practice is a key mechanism for achieving greater openness of government and improving the quality of, and the public's access to, government information. Information integrity will be maintained and customer service capability increased by:

• Growing awareness of the distinction between records and ephemeral information and of managing that record irrespective of the technology being used, or medium produced.
• Providing a more responsive service to internal and external clients.
• Improving the consistency and accuracy of information.
• Increasing the availability of information including government information, cultural history and corporate memory for the current and future public of Queensland.
• Increasing compliance with legislative requirements, including evidence for litigation, and legislative, regulatory, audit and reporting obligations, which will contribute to a better image of the Department and of the Government to its clients.
• Providing documented evidence of business functions, activities, transactions and decisions.
• Complying with security, confidentiality and technical requirements.
• Facilitating efficient work practices by reducing duplication of work and facilitating better performance through the availability and timely retrieval of accessible and quality information.

A departmental record is any form of recorded information created or received by the Department, or employee, in the transaction of business or the conduct of affairs and kept as evidence of such activity, regardless of the technology or media used. A public record can be, for example, electronic, visual, auditory, and not just a traditional paper record. For example, email is an important communication mechanism for the Department and a fundamental tool for conducting business. Emails, like public records in other forms, are to be captured and appropriately managed to preserve evidence of government activity. Queensland State Archives provides further examples in What is a Public Record ?

Records are retained for a period of time and are disposed of in accordance with the Records Retention and Disposal Schedules authorised by Queensland State Archives.

All permanent, temporary or casual departmental staff, contractors and consultants are responsible for ensuring records are managed from creation to disposal according to this policy. Non-compliance to this responsibility could expose the Department to legal risks resulting from an inability to satisfy legislative, evidentiary and audit requirements.

The Department maintains reliable and secure recordkeeping systems, including an electronic Document and Records Management System (eDRMS), which produce credible and authoritative records that are secure from unauthorised access, damage and misuse, and are able to be retrieved as required at a future date. These systems, as well as the procedures and practices, are periodically monitored, revised, evaluated and audited.

As well as the eDRMS, the Department generates electronic information in other business systems which automate business activities and transactions. The electronic information created in these systems may be the only evidence or record of the process, or the public record, and needs to be managed for the prescribed retention period as it may be required for legislative, audit or evidentiary compliance. This will require records management functionality and metadata to be included within the business systems.

In order to provide greater access to information, some departmental records may be scanned or photographed and stored in a digitised format. When these copies are made, the original record is to be kept for the prescribed retention period.

Responsibilities

• Oversee development and implementation of the Department's records management framework, the Strategic Recordkeeping Implementation Plan and departmental records management policies, procedures and practices.
• Approve IFM-PR-008: Managing the Department's Records, associated Records Retention and Disposal Schedules and any subsequent reviews, amendments or associated departmental guidelines developed to operationalise this policy.
• Grant access, where appropriate, to restricted records held at Queensland State Archives or by the Department in consultation with Executive Director, Strategy, Policy and Architecture.
  

• Ensure employees, including contractors, are aware of, and appropriately skilled to fulfil, their respective recordkeeping roles and responsibilities (including induction and ongoing records management training).
• Include recordkeeping requirements in all business processes.
• Ensure information assets under their control are secured from unauthorised access, amendment or disclosure in accordance with IFM-PR-006: Maintaining the Security of Department Information and Systems.
• Ensure security access controls are applied by classifying, labelling information and storing according to IFM-PR-003: Classification and Handling of Information Assets. Such classification will define authorised access to documents and assist in the administration of the public's right to departmental information.
• Ensure recordkeeping business systems are reliable and secure, and appropriate to generation, maintenance and retrieval of business records.
• Ensure original records are retained for as long as required for business, legislative, accountability and cultural needs according to the authorised retention periods for:
  • records held in schools in Retention and Disposal Schedule for Records Held in Schools 66k
  • school and administrative records held in corporate and district offices in Retention and Disposal Schedule for Corporate Records held in Central and District Office 68k
  • records held in TAFE Institutes in General Retention and Disposal Schedule for Technical and Further Education Institutes
  • administrative records not listed in the Department's Schedules in General Retention and Disposal Schedule for Administrative Records .

• Provide administrative access where appropriate to records held in schools according to IFM-PR-005: Access to Records held in Schools.

• Create full and accurate records to document transactions that occur in the course of the business. These records may be irrespective of technology being used, or medium produced, and include email .
• Capture and maintain all public records created and received in appropriate record management systems or other business systems that manage records. Records include documents produced in a range of media and include emails received and sent.
• To assist retrievability, use the Department of Education and Training Corporate Thesaurus - Introduction, Department of Education and Training Corporate Thesaurus - Terms and Department of Education and Training Business Classification Plan to capture and title records consistently.
• Secure information assets under their control from unauthorised access, amendment or disclosure in accordance with IFM-PR-006: Maintaining the Security of Department Information and Systems.
• Apply security access controls by classifying, labelling information and storing according to IFM-PR-003: Classification and Handling of Information Assets. Such classification will also define authorised access to documents and assist in the administration of the public's right to departmental information.
  

• Manage all document and records management activities, including record management advice, document and file management, marketing and a recordkeeping training program.
• Develop, implement, maintain and provide advice on, current Record Retention and Disposal Schedule/s for corporate records held in Central and Regional Offices 68k and for school records 66k that is practicable for paper-based and electronic environments.
• Develop, implement, maintain and provide advice on the Corporate Thesaurus and Business Classification Plan for the Department.
• Manage the administration and operation of the corporate electronic Document and Records Management system (eDRMS) in line with IFM-PR-008 and government policy.
• Manage the operational requirements of the Department's business mail and records secondary storage agreements.
• Provide advice to assist the Department to meet its recordkeeping responsibilities for records created by business systems including security mechanism to protect records from unauthorised access to information in electronic form. This includes raising awareness of Guidelines and Functional Requirements for Records in Business Systems to application developers including contractors.
• Advise on appropriate archiving or transfer of records from redundant business systems when being decommissioned so that the records are available in an accessible format for the prescribed period.
• Provide advice to the Assistant Director-General, Strategic Information and Technologies, on the granting of access, where appropriate, to restricted records held at Queensland State Archives or by the Department.
• Monitor and report regularly to the Executive Director, Strategy, Policy and Architecture, on the Department's records management program compliance and performance.
• Develop, manage, monitor, and review, in partnership with information technology officers, technical aspects to the Department's:
  • disaster preparedness and recovery plan, strategies, and procedures
  • records and system migration strategies
  • back-up procedures and processes for records, recordkeeping system/s, and business or information systems that create and maintain records.

Executive Director, Strategy, Policy and Architecture:

• Manage strategic requirements of the Department's eDRMS software, scanning software, business mail and records secondary storage agreements.
• Ensure the Department's records management program is reviewed regularly to identify areas of non-compliance and/or potential issues to be addressed.
• Advise on records management program to the Department's ICT governance committees, as required.
  
  

• Develop, maintain, review, distribute and promote processes, schedules, guidelines, and tools for managing the Department's records in accordance with IFM-PR-008.
• Under a record-keeping training program, provide training and support to business areas to implement effective record management practices.
• Arrange secure storage (on and off site) and archiving of Department records to meet legislative and accountability requirements and business needs. This includes providing access on request.
• Transfer and dispose of records according to approved Departmental and Queensland State Archives records retention and disposal schedules.
• Identify and manage vital corporate records with regard to relevant storage parameters and accessibility standards.
• Administer, and support use of, the Department's electronic Document and Records Management System.
• Liaise with records and archives authorities, including Queensland State Archives, on behalf of the Department, as required.
• Facilitate data migration of records from business systems that do not have recordkeeping capability.
  

• Develop and implement a regular audit program to:
  • ensure recordkeeping systems, policies, procedures and practices comply with existing legislative and regulatory requirements
  • improve the quality and reliability of the department's records and recordkeeping
  • identify areas of performance deficiency and recommend corrective actions for business improvement.

Forms

• Not Applicable

"Restricted records" (sometimes referred to as "closed") are records held by Queensland State Archives or by the Department for which permission to access may be denied under Division 3 of the Public Records Act 2002. Such records may still be under the restricted access period or contain personal and private information about persons that may still be living, for example. Permission to access closed records is required from the agency responsible for administering the access.

For definitions of other records management terminology, refer to Queensland State Archives Glossary of Archival and Recordkeeping Terms .

Other relevant documents

• Department of Education and Training Corporate Thesaurus- Introduction/strategic/eppr/information/ifmpr008/thesref.html
• Department of Education and Training Corporate Thesaurus- Terms/strategic/eppr/information/ifmpr008/thesref.html
• Department of Education and Training Business Classification Plan/strategic/eppr/information/ifmpr008/thesref.html
• Guidelines and Functional Requirements for Records in Business Systems http://www.archives.qld.gov.au/recordsinbusinesssystems.asp
• Retention and Disposal Schedule for Schools 66k/strategic/eppr/information/ifmpr008/schools.pdf
• Retention and Disposal Schedule for Corporate Records held in Central and District Office 68k/strategic/eppr/information/ifmpr008/centraloffice.pdf
• General Retention and Disposal Schedule for Technical and Futrher Education Institutes http://www.archives.qld.gov.au/downloads/TAFEDisposalAuthority.pdf
• General Retention and Disposal Schedule for Administrative Records http://www.archives.qld.gov.au/downloads/GeneralDisposalSchedule.pdf

Contacts

For further information on managing the Department's records, please contact:

For support with TRIM or further information on the corporate thesaurus or retention or disposal schedules, contact Service Centre: The parameter is incorrect.

• CM-10: Records Management- Schools and Non-School Offices - Version: N/A
• IFM-PR-008: Records Management in Schools and Non-School Offices - Version: 2.0