Historical Archives Collection Procedure

Procedure overview

1 Purpose

To establish the processes for managing the operations of the University's Historical Archives Collection (Historical Archives).

2 Scope

This procedure applies to University Members, Research Workers and Students.

3 Procedure Overview

This procedure outlines the responsibilities of University Members, Research Workers and Students, providing guidelines to assist in the implementation of the Historical Archives Collection Policy.

4 Procedures

4.1 Roles and responsibilities

The University and all its Employees, contractors and consultants are required to comply with the provisions of the relevant Regulatory Compliance Instruments and Policy. Unique responsibilities of these roles are listed in the following table:

Role

Responsible for

Manager (Corporate Records)

The University's compliance with the requirements of the Public Records Act 2002 and relevant policy, standards and guidelines.

Management oversight of the Historical Archives.

University Archivist

The operational management of the Historical Archives including the identification, collection, exhibition and preservation of historical records and Artefacts.

Facilitation of access to archival holdings.

Contribution to the management of the University's Records and Artefacts.

Corporate Records

Appropriate housing and management of historical University Records and Artefacts at the discretion of the Manager (Corporate Records).

Managers/Supervisors

(Organisational units)

Taking all reasonable care in the housing and management of historical University Records and Artefacts held in organisational units due to compelling business needs or space constraints within the Historical Archives.

Advising the Manager (Corporate Records) of the existence of historical University Records and Artefacts held in the organisational unit.

Employees, Students, Contractors and Consultants

Donation of University Records and Artefacts of Archival or Enduring value.

4.2 Assessment criteria

The Historical Archives will only accept donations that have Archival or Enduring value and relate directly to the development and growth of the University.

4.3 Donations

Details of donated items such as Donor name, description and history of items, if available, will be recorded in the University's records management system.

The University will maintain documentation to a standard that ensures it can consistently record the nature and scope of its Collections. Documentation underpins every aspect of Collection activity and is essential for the accountability of items, their accessibility, security and use. It also preserves valuable Information about donated items and provides background and meaning for management decisions.

Corporate Records will be responsible for processing and cataloguing donated items, as per local procedures, with the exclusion of selected donations and/or Collections, as determined by the Manager (Corporate Records), which will be managed by organisational units using existing systems.

Through the USQ Cultural Gifts Program, the University receives a broad range of donated items of cultural significance. These may be dispersed to relevant specialist Collections, such as the USQ Art Collection.

Items of potential interest to the Historical Archives will be accepted at the discretion of the Manager (Corporate Records) and in accordance with the Historical Archives Collection charter (refer to Section 5 Historical Archives Collection Policy).

Further information concerning donations of cultural gifts is available from the University's website (refer to Section 7 Procedure Information).

4.4 Deaccessioning and disposal

The Historical Archives reserves the right to Deaccession and dispose of items in its Collection and may Deaccession an item for the following reasons:

  • it does not fit the Collection Charter (refer to Section 5 of the Historical Archives Collection Policy)
  • it is damaged or decayed beyond repair
  • it is a lesser quality duplicate of another item held by the Historical Archives
  • it cannot be adequately stored, maintained or displayed by the Historical Archives
  • there is insufficient supporting information to enable the Historical Archives to identify the item to establish its relevance to the Collection.

The steps involved in disposing of a Deaccessioned item from the Historical Archives are listed in preferred order of priority:

  1. return to Donor or immediate family of Donor (subject to proof of identity)
  2. donate to another appropriate organisation or repository
  3. destroy (last resort).

Decisions and actions relating to Deaccessioning or disposal of items must be approved by the Manager (Corporate Records) and recorded in the University's records management system.

4.5 Loans

4.5.1 Loans to the Historical Archives

All loans to the Historical Archives will be restricted to internal sources only; i.e. from a University Employee or organisational unit. Such loans will normally be for themed exhibition purposes. The conditions of any loan will be specified in writing, and may include the proposed term, conservation, housing and security considerations.

Prior to entering into any loan agreement, Corporate Records must contact the University's Insurance team to ensure the item can be adequately covered whilst in the University's possession and that its value can be determined and does not exceed policy limits.

4.5.2 Loans to external organisations

Loans from the Historical Archives may be made available for exhibition purposes to external organisations but not to individuals. This type of loan will be at the discretion of the Manager (Corporate Records) and must meet essential criteria (assurances) including, but not limited to:

  • confirmation organisation is reputable
  • evidence of appropriate Insurance cover
  • appropriate environmental conditions for housing and exhibition
  • venue security
  • exhibition plan.

Due diligence checks conducted by Corporate Records prior to an authorised loan should include valuation and Insurance checks with Financial Services.

The conditions of any loan typically will be specified and agreed in writing, and will include the proposed term and responsibility for transportation, conservation, housing, security and Insurance.

Loan documentation must be prepared and processed in accordance with University Policy and Procedure.

4.6 Storage

4.6.1 Physical environment

The Historical Archives is responsible for the physical security of historical records and Artefacts held in custody to ensure their authenticity, reliability, integrity and proper use.

All incoming records and Artefacts received by the Historical Archives should be inspected for signs of mould, pests, and other forms of contamination to protect the integrity of the preservations areas.

Corporate Records will collaborate with specialists to monitor and implement projects relating to format shifting assessment of media such as videos, cassettes and discs, as required, for future reference and use.

Where possible, these valuable items will be managed in a secure and climate controlled environment.

For other discrete historical Collections dispersed across the organisation the relevant organisational unit will endeavour to provide, in collaboration with the Manager (Corporate Records), appropriate housing and security for the Collection under its control. Organisational units will advise the Manager (Corporate Records) of the existence of historical records and Artefacts held by, or under their control.

4.6.2 Electronic environment

To the extent that available resources permit, Corporate Records will undertake selected digitisation projects to facilitate the capture and accessibility of significant historical electronic records, of various formats.

This approach will take into consideration the development of a digital archive to showcase the University's diverse and rich history using various media types such as, but not limited to, photographs, videos, audio and digitised documents.

Such projects will enable electronic access, minimising the need for handling of physical records and reducing the risk of potential damage to fragile items.

4.7 Access to Collections

The University encourages access to the Historical Archives by the wider community, including Research Workers, University Members, Students and the public. The Historical Archives will continue to engage with various community groups and historical and museum bodies through hosting visits to Corporate Records, as well as sponsoring regular 'Open House' tours for the University community.

Rotational themed exhibitions for public viewing will be regularly mounted in selected locations on all campuses. In addition, development opportunities such as a publicly accessible digital archive will be actively explored.

All requests for Information (internal and external), held in the Historical Archives, will be processed and approved in accordance with University Policy and Procedure (refer to Section 7).

Further information concerning access to the Historical Archives is available from the University's website (refer to Section 7 Procedure Information).

4.8 Exhibitions

Exhibitions mounted or supported by the Historical Archives enable sharing of the University's memories with the wider community through:

  • rotational themed exhibitions for public viewing in selected locations on all campuses
  • University events and exhibitions, co-ordinated by organisational units, such as anniversary celebrations and special occasions
  • exhibitions for special visits to Corporate Records (O4 Block), including internal 'Open House' tours, community groups and distinguished visitors
  • future online exhibitions such as virtual tours.

4.9 Insurance and valuation

All necessary Insurance cover deemed relevant and appropriate for the Historical Archives Collections will be undertaken by the university insurance team.

Valuation of the Collection for Insurance purposes will be arranged through Financial Services using the services of a qualified and approved valuer.

5 References

Nil.

6 Schedules

This procedure must be read in conjunction with its subordinate schedules as provided in the table below.

7 Procedure Information

Subordinate Schedules

Accountable Officer

Executive Director (Corporate Management Services)

Responsible Officer

Manager (Corporate Records)

Policy Type

University Procedure

Approved Date

6/11/2018

Effective Date

6/11/2018

Review Date

6/11/2021

Relevant Legislation

AS ISO 15489.1:2017

Evidence Act 1977

Higher Education Standards Framework 2015 - Domain 7

Information Privacy Act 2009

Public Records Act 2002

Records Governance Policy

Information Standard 18: Information Security

Information Standard 34: Metadata

Right to Information Act 2009

General Retention and Disposal Schedule (GRDS)

University Sector Retention and Disposal Schedule

Related Policies

Administrative Access Scheme Policy

Historical Archives Collection Policy

ICT Information Management and Security Policy

Insurance Policy

Privacy Policy

Records and Information Management Policy

Right to Information Policy

Related Procedures

Administrative Access Scheme Procedure

Information Asset and Security Classification Procedure

Insurance Procedure

Records and Information Management Procedure

Research Data Management Procedure

Right to Information Procedure

Related forms, publications and websites

Corporate Records

National Archives of Australia

Queensland State Archives

Records and Information Management Framework

USQ Cultural Gifts

USQ Historical Archives

Definitions

Terms defined in the Definitions Dictionary

Donor

An individual or other entity that makes a contribution of value to an Organisation to further the organisation objectives. A Donor includes prospective donors and an individual or entity that has previously made a contribution with the exclusion of government funding for core business purposes....moreAn individual or other entity that makes a contribution of value to an Organisation to further the organisation objectives. A Donor includes prospective donors and an individual or entity that has previously made a contribution with the exclusion of government funding for core business purposes.

Employee

A person employed by the University and whose conditions of employment are covered by the USQ Enterprise Agreement and includes persons employed on a continuing, fixed term or casual basis. Employees also include senior Employees whose conditions of employment are covered by a written agreement or contract with the University....moreA person employed by the University and whose conditions of employment are covered by the USQ Enterprise Agreement and includes persons employed on a continuing, fixed term or casual basis. Employees also include senior Employees whose conditions of employment are covered by a written agreement or contract with the University.

Information

Any collection of data that is processed, analysed, interpreted, organised, classified or communicated in order to serve a useful purpose, present facts or represent knowledge in any medium or form. This includes presentation in electronic (digital), print, audio, video, image, graphical, cartographic, physical sample, textual or numerical form....moreAny collection of data that is processed, analysed, interpreted, organised, classified or communicated in order to serve a useful purpose, present facts or represent knowledge in any medium or form. This includes presentation in electronic (digital), print, audio, video, image, graphical, cartographic, physical sample, textual or numerical form.

Insurance

The equitable transfer of the Risk of a loss from one entity to another in exchange for payment. It is a form of Risk Management primarily used to hedge against the Risk of a contingent, uncertain loss. An Insurer, or Insurance carrier, is a company selling the Insurance. The insured, or policyholder, is the person or entity buying the Insurance policy for a premium. The insured receiv...moreThe equitable transfer of the Risk of a loss from one entity to another in exchange for payment. It is a form of Risk Management primarily used to hedge against the Risk of a contingent, uncertain loss. An Insurer, or Insurance carrier, is a company selling the Insurance. The insured, or policyholder, is the person or entity buying the Insurance policy for a premium. The insured receives a contract (called the Insurance policy), which details the conditions and circumstances under which the insured will be financially compensated.

Policy

A high level strategic directive that establishes a principle based approach on a subject. Policy is operationalised through Procedures that give instructions and set out processes to implement a Policy....moreA high level strategic directive that establishes a principle based approach on a subject. Policy is operationalised through Procedures that give instructions and set out processes to implement a Policy.

Procedure

An operational instruction that sets out the process to operationalise a Policy....moreAn operational instruction that sets out the process to operationalise a Policy.

Research Worker

Any person/s involved in Research Activities at, or on behalf of the University. This includes, but is not limited to Employees, Students, visiting scholars, research partners, research affiliates, holders of Honorary or Adjunct positions and research ethics committee members....moreAny person/s involved in Research Activities at, or on behalf of the University. This includes, but is not limited to Employees, Students, visiting scholars, research partners, research affiliates, holders of Honorary or Adjunct positions and research ethics committee members.

Student

A person who: has been Admitted or Enrolled in an Academic Program at the University, but has not yet graduated from the program; or has been Enrolled in a Course at the University but has not yet completed the Course....moreA person who: has been Admitted or Enrolled in an Academic Program at the University, but has not yet graduated from the program; or has been Enrolled in a Course at the University but has not yet completed the Course.

University

The term 'University' or 'USQ' means the University of Southern Queensland....moreThe term 'University' or 'USQ' means the University of Southern Queensland.

University Members

Employees of the University whose conditions of employment are covered by the USQ Enterprise Agreement whether full time or fractional, continuing, fixed-term or casual, including senior Employees whose conditions of employment are covered by a written agreement or contract with the University; Members of the University Council and University Committees; Visiting and adjunct academic...moreEmployees of the University whose conditions of employment are covered by the USQ Enterprise Agreement whether full time or fractional, continuing, fixed-term or casual, including senior Employees whose conditions of employment are covered by a written agreement or contract with the University; Members of the University Council and University Committees; Visiting and adjunct academics; Volunteers who contribute to University activities or who act on behalf of the University; Individuals who are granted access to University facilities or who are engaged in providing services to the University, such as contractors and consultants, where applicable.

University Record

Any recorded information created or received that provides evidence of the decisions and activities of the University while undertaking its business. This is irrespective of the technology or medium used to generate, capture, manage, preserve and access those records....moreAny recorded information created or received that provides evidence of the decisions and activities of the University while undertaking its business. This is irrespective of the technology or medium used to generate, capture, manage, preserve and access those records.

Definitions that relate to this procedure only

Accession

To take legal and physical custody of a group of records or other materials, regardless of format, and to formally document their receipt. To document the transfer of records or materials in a register, database, or other log of the archive's holdings.

Source: Queensland State Archives

Archival/Enduring

The ongoing usefulness or significance of records or artefacts, based on the evidential, administrative, financial, legal informational and historical values that justify their permanent retention. These records or artefacts have enduring value to the agency, and therefore need to be kept indefinitely.

Source: Queensland State Archives

Artefact

Objects, not being records, retained because of their informational value or because of their relationship with the records or archives.

Source: The Australian Society of Archivists

Collection

Documents or material of any kind that have accumulated as part of the normal activity of an organisation, business or individual and been kept as a unit in an archival repository.

Deaccession

The process of removing material from the care and custody of an archival repository, either because the material has been reappraised and found to be unsuitable for the archives' holdings, or because the legal owner has requested its return, or because it has been agreed to transfer it to another archives. Deaccessioning is a serious matter which requires careful consideration and documentation.

Keywords

Record No

17/1263PL

Complying with the law and observing Policy and Procedure is a condition of working and/or studying at the University.

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