University of Technology Sydney UTS: Rules, Policy and Legislation


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Academic Records Policy

Purpose

Scope

Principles

Policy statements

Policy ownership and support

Definitions

Approval information

PDF version

References


1. Purpose

1.1 The Academic Records Policy (the policy) provides definitions and required practices in relation to official academic records (as defined in the Schedule 1, Student Rules).

1.2 The policy outlines the purpose, content supply, format and management of official academic records.

2. Scope

2.1 This policy applies to all staff and students, and refers to all official academic records produced by the University.

2.2 The following exclusions apply:

  • This policy does not apply to awards from antecedent institutions.
  • Australian Higher Education Graduation Statements (AHEGS) are not provided for awards conferred prior to 18 August 2010.
  • Clinical/professional placements or experience statements are out of scope of this policy. These are held by relevant faculties in accordance with the State Records Act 1998 (NSW) and the Records Management Policy.

3. Principles

3.1 The accuracy and authenticity of official academic records is of primary reputational significance to the university, its students and graduates.

3.2 Falsification of any official academic records or false claims about conferral of awards damages the reputation of the institution and its graduates. Any persons who falsify these documents may be prosecuted under the Crimes Act 1900 (NSW).

3.3 UTS is committed to providing accurate and up-to-date qualification verification and as a service to graduates and to managing false claims, while also meeting privacy obligations to UTS graduates.

4. Policy statements

4.1 Official academic records are managed and produced under the authority of the Director, Student Administration Unit (SAU).

Provision of official academic records

4.2 Academic transcripts are provided to students at the conferral of an award and upon request in line with SAU guidelines and procedures (see academic record).

4.3 AHEGS are provided to students at the conferral of an award and upon request in line with SAU guidelines and procedures (see AHEGS and testamurs).

4.4 Original testamurs are distinct legal documents produced in original form only once for each course from which a student graduates.

4.5 Uncollected original testamurs and AHEGS are retained for 12 months, after which they are destroyed in accordance with the requirements of the State Records Act 1998 (NSW) and the Records Management Policy.

4.6 In addition to the provisions in this policy, SAU will provide additional opportunities for the issue, collection and general availability (digital or print) of official academic records to students. These will be published on the public website (see academic record).

4.7 Official academic records may be withheld in line with Rule 4.4.1(7) and Rule 16.3.1(7).

Format and content of official academic records

4.8 Both the general and student-specific content of official academic records are decided based on the requirements of the Department of Education and Training (see references), industry best practice and UTS rules, delegations and policies.

4.9 Testamurs are approve in line with Delegation 3.8.

4.10 The Director, SAU approves changes as appropriate to the academic transcript and AHEGS.

4.11 Official academic records may be available in print and digital format in line with this policy and SAU guidelines and procedures (see academic record).

4.12 SAU are responsible for keeping a register of formats and stationery used for official academic records. The register will document the dates when specific formats were used and when changeovers occurred.

4.13 Official academic records use the English (Roman) character set with standard English punctuation marks.

4.14 Additional provisions for courses taught in languages other than English are approved by the Director, SAU and made publically available.

Provision of academic records to third parties

4.15 To maintain the integrity of UTS qualifications and academic records, verification of qualifications or authenticity of documents will be facilitated in line with procedures and guidelines approved by the Director, SAU.

4.16 Copies of official academic records may be provided or disclosed to external organisations or third parties in line with the provisions of the Privacy Policy and Privacy Management Plan (PDF) and the procedures for managing academic records approved by the Director, SAU.

4.17 Students may request to control or limit access to their academic records in line with SAU procedures and guidelines (see My eQuals).

Maintenance of personal details

4.18 Students are required to keep their details up to date in line with Rule 2.3.9.

4.19 Requests to amend personal student information recorded on official academic records will be handled in line with the Privacy Policy and Privacy Management Plan (PDF) and procedures on amending inaccurate information and recording personal details.

5. Policy ownership and support

5.1 Policy owner: The Deputy Vice-Chancellor (Corporate Services) is responsible for the enforcement of and compliance with this policy, ensuring that its principles and statements are observed.

5.2 Policy contact: The Director, Student Administration Unit is the primary point of contact for advice on implementing and administering this policy.

6. Definitions

These definitions apply for this policy and all associated procedures. These are presented in addition to the definitions outlined in Schedule 1, Student Rules.

Antecedent institutions means former institutions which were amalgamated with or subsumed by UTS and where separate records are maintained, including:

  • New South Wales Institute of Technology (NSWIT) (1965 to 1987)
  • Sydney College of the Arts — School of Design (SCA) (prior to 1988)
  • Kuring-gai College of Advanced Education (KCAE) (1974 to 1989)
  • Balmain Teachers College (BTC) (1946 to 1970)
  • William Balmain College of Advanced Education (WBC) (1971 to 1973)
  • Sydney College of Advanced Education (SCAE): Institute of Technical and Adult Teacher Education (ITATE) (1980 to 1989)
  • Australian College of Acupuncture (APA) (prior to 1992).

Verification means the fulfilment of a request to confirm UTS qualifications and student records with a third party as to whether:

  • a person is a graduate of the university
  • a document which purports to be either a UTS testamur, a UTS academic record, a UTS Australian Higher Education Graduation Statement (AHEGS) or any other UTS document is an authentic UTS document, and
  • whether the contents of any of the above UTS documents are consistent with UTS official records.

Approval information

Policy contact Director, Student Administration Unit
Approval authority Vice-Chancellor
Review date Three years from approval
Version 1.0
File number UR18/558
Superseded documents Academic Records Vice-Chancellor’s Directive (UR15/1372)

Version history

Version Approved by Approval date Effective date Sections modified
1.0 Vice-Chancellor 29 March 2018 23 April 2018 New policy.

PDF version

Academic Records Policy (PDF)

References

Crimes Act 1900 (NSW)

Delegation 3.8

Department of Education and Training:

Privacy:

Records Management Policy

SAU guidelines and procedures:

State Records Act 1998 (NSW)

Student Rules: