Service Level Charter. University Archives & Recordkeeping Records Services

Transcription

1 Records Services Service Level Charter 1 P a g e

2 University Archives and Recordkeeping leads the management of the University of Adelaide's information assets through excellence in service delivery, innovation and championing best practice, as well as widely promoting and providing access to its recorded heritage. University Archives and Recordkeeping is comprised of Records Services and the University Archives. Responsible for the central management of the University's official records and provides support to all areas of the University in fulfilling their responsibilities from records creation to disposal. The Team creates electronic and hardcopy files in TRIM for use by faculties, schools and business units across the University. This Service Charter outlines activities undertaken by Records Services in order to fulfil this responsibility, as well as responsibilities of other areas and staff to ensure the University complies with its legislated recordkeeping requirements. Records Services encourages greater use of TRIM and electronic recordkeeping with reduced reliance on hardcopy records to support business efficiency and meet the University s strategic objectives to decrease paper use, minimise risk and meet the compliance requirements of the State Records Act of SA (1997). 2 P a g e

3 1. HELPDESK phone: ext enquiries and calls logged in helpdesk database 1.2 TRIM Licences and TRIM Training 1.3 Desktop support 1.4 Recordkeeping advice 1.5 TRIM advice & escalation of issues 1.6 Assistance with errors & deletions 1.7 Assistance with file requests & transfers 1.8 TRIM security advice 1.9 Requests for TRIM teams & security groups 1.10 New file requests 1.11 Legal document requests - scan hardcopy and provide electronically as required 1.12 Referral of requests for historical information to University Archives Mon Wed, Fri 8.45am 5.00pm Thu 10.00am 3.00pm AREA RESPONSIBILITIES Request for deletions must be requested by Request for new security groups or amendments to groups must be completed via online forms Request for TRIM Licence and training must be completed via online form 2. Face-to-Face RECORDS S OFFICE Barr Smith Library Level Records advice 2.2 File collections 2.3 File returns Mon Wed, Fri 8.45am 5.00pm Thu 10.00am 3.00pm AREA RESPONSIBILITIES Files must be returned with no loose papers File numbers must be provided with documents for registration 3 P a g e

4 3. CLIENT LIAISON & TRIM ADMINISTRATION 3.1 TRIM administration 3.2 Communication to TRIM clients upgrades, advice, tips, best practice 3.3 Records Information Sessions for staff 3.4 Solutions for recordkeeping issues 3.5 TRIM Training Follow up after TRIM Training attendance 3.6 Desktop support 3.7 Onsite support to areas or individuals 3.8 Education for staff on recordkeeping responsibilities 3.9 Liaison and referral to University Archives 3.10 Provision of tools/processes for transfer of records to storage 3.11 Ensure compliance with State Records Act (1997) 3.12 Records Management Program Self-Assessment 3.13 Deployment of TRIM to clients 3.14 Activation of TRIM licences 3.15 TRIM locations updated including Staff Movements 3.16 Security Groups, Teams and Positions created, maintained and reviewed 3.17 Management of TRIM issues for resolution including escalation to Technology Services on behalf of TRIM clients AREA RESPONSIBILITIES Direct new staff to Recordkeeping Awareness course as part of induction as per Local Area Induction Templates Areas must conduct Records Management Self-Assessment Tool Reference Records Manual for all staff - Records Management Handbook,Roles & Responsibilities, Recordkeeping and What is TRIM? Human Resources to notify Records Services of staff movements Areas to complete TRIM online forms for amendments to Security Groups (including staff transfers) Notify Records Services of any changes to Team membership Notify Records Services of any system errors in TRIM 4 P a g e

5 4 FILE CREATION 4.1 Online form for single New File requests 4.2 New File spreadsheet available on web for bulk file requests 4.3 Yearly files should be requested for ongoing subjects 4.4 Security applied to files 4.5 Relate previous year and related files 4.6 File titles must be as specific as possible Single requests completed within 24 hrs for hardcopy files Bulk file requests will be processed according to demand as negotiated Provide specific key words for free text titles Spell out acronyms in full in file requests eg. Adelaide Research and Innovation Pty Ltd - ARI Advise RECORDS S of related file numbers when requesting new files for new year or related subject 5 FILING 5.1 Areas requiring a printed copy of an on file can request the file so area staff can attach the hardcopy document which must be annotated with the TRIM document number D2012/xxxxxx Printed copies of electronic documents (e.g. s, word docs) must be registered electronically by creator or area office staff. Area to request hardcopy file from RECORDS S and file their own printed copy if required Only original hardcopy documents will be accepted by RECORDS S for filing and must be hole-punched and have the file number clearly identified on the top page in the top right corner Business Owners with files in their custody must undertake all filing to those files Areas to request new files and attach all documentation from arch lever binders or legacy records onto new RECORDS S file for lodgement in RECORDS S 6 REQUEST FOR FILES LOCATED IN RECORDS S 6.1 Areas can request files directly through TRIM or via records.services@adelaide.edu.au 6.2 Files can be collected from RECORDS S or will be delivered via internal mail 7 SECONDARY STORAGE FILE RETRIEVAL 7.1 Files retrieved from offsite storage 7.2 Files sent via internal mail to staff Daily Delivered following business day 5 P a g e

6 8 LEGAL DOCUMENT LODGEMENT 8.1 Document scanned 8.2 Registration in TRIM and lodgement into secure storage facility Original agreements to be lodged in hardcopy format with signed copy of legal document lodgement form. RECORDS S file number must be included on lodgement form to relate to agreement 9 INACTIVE/FINALISED RECORDS 9.1 Review & closure of hardcopy & electronic files 9.2 Liaison with Business Owners as required Advise Records Services when files are no longer active and can be closed and stored offsite 10. FILE AUDIT 10.1 Review of current locations of hardcopy TRIM files in custody of Business Owners As requested Facilitate access to locally held records during audit 11. RECORDS CURRENTLY NOT CAPTURED IN TRIM INCLUDING ARCHIVES RECORDS IN STORAGE Provision of review and advice Review of records listing provided by Area with disposal actions advised including authorisation for destruction 11.3 Files created for current records to be retained in area 11.4 Files created for non-current inactive records for transfer to secondary storage 11.5 Arrangement for historical, non-current records to be transferred to University Archives 11.6 Referral and supervision of casual staff to undertake records processing projects at Area s expense As requested Areas to provide listing of non-current records Areas to provide funding for records processing projects 6 P a g e

7 12. NON-CURRENT RECORDS STORAGE 12.1 Any records appraised for permanent retention must be transferred to the University Archives 12.2 All records dated up to 1960 must be appraised by the University Archives for retention requirements 12.3 All inactive non-current records registered in TRIM can be transferred to offsite storage until due for disposal Advise Records Services when records are no longer required and can be stored offsite 13. RECORDS DISPOSAL 13.1 Review of files due for destruction to ensure compliant disposal 13.2 Business Owners will be contacted to provide approval prior to file destruction Must consult Records Services prior to the disposal of ALL University records. Provide prompt authorisation for destruction. 14. REFERENCE & RESEARCH ENQUIRIES 14.1 Provision of historical background information and advice 7 P a g e