Records Management — Vice-Chancellor's Directive

1. Background and context

The University of Technology, Sydney is required to comply with the State Records Act 1998 (NSW) and the standards, policies and guidelines issued under it. Good recordkeeping supports the University's business needs, compliance requirements under legislative frameworks, and the interests of stakeholders.

The University demonstrates compliance with the State Records Act 1998 (NSW) and other legislative requirements through implementing and maintaining good recordkeeping practices across all areas and functions of the University, through the University's Records Management Program. Properly organised and managed records support and enhance the activities of the University, guide decision making, protect the interests of the University and the public, and provide a record of the University's activities for future reference.

2. Purpose and scope

The purpose of this Directive is to ensure that full and accurate records are created, captured and maintained for all UTS activities. This Directive applies to all University staff.

3. Definitions

Business Unit refers to an individual Department, Unit, Centre, Institute, School, Office, or Branch etc. of the University.

Record refers to any document or other source of information compiled, recorded or stored in written form or on film, or by electronic process, or in any other manner or by any other means (State Records Act 1998).

Official Record refers to records, whether physical or electronic, that are officially made or received by UTS in the conduct of its business or by officers in the course of their duties. Official records include, but are not limited to, letters, memos, faxes, emails, reports, forms, etc. which document activities, advice, and decision making processes. Official records can also include registers, books, maps, drawings, plans, photographs, film, computer records, and sound and video recordings. Also referred to as a State record under the State Records Act 1998.

Unofficial Record refers to records which are duplication of other official records, reference material, some draft documents (exc. legal and policy documents), or documents of short-term value that are not required in any way to explain the functions or activities of UTS.

4. Vice-Chancellor's statement

4.1. Records Management Program

UTS is required to establish a Records Management Program that complies with the requirements of the State Records Act 1998 (NSW) and associated standards, policies and guidelines. The UTS Records Management Program is the management framework, the people and the recordkeeping systems required to manage full and accurate records over time. It covers all records and recordkeeping systems and includes the identification and protection of records that may be required as State archives (see State Records Act 1998).

This Records Management Program must be implemented in all Business Units across UTS to support the requirements of this Directive. Business unit activities will be subject to monitoring and audit activities to ensure ongoing compliance and sustainability.

4.2. Responsibilities for Records Management

4.2.1. University Records, Governance Support Unit

University Records coordinates and maintains the University's Records Management Program. This includes:

• Developing and reviewing recordkeeping policies and associated procedures and standards
• Monitoring and auditing the performance of Business Units against procedures and standards
• Providing recordkeeping training and education programs
• Proving advice on recordkeeping practices and issues as part of a advisory services to Business Units across the University
• Coordinating the authorisation of record destruction activities in accordance with Retention and Disposal Authorities issued under the State Records Act 1998 (NSW)
• Managing the storage of and access to UTS Archives
• Planning disaster prevention, response and recovery operations relating to records.

4.2.2. Faculties and Units

Faculties and Units are responsible for ensuring that they have implemented the requirements of the Records Management Program across their Business Units, comply with UTS recordkeeping procedures, and ensure sustainability of their records management systems. Individual Business Units are responsible for managing their records from creation to local destruction or archiving activities.

The following Records Contact roles should be appropriately delegated:

• The Primary Records Contact is a senior officer delegated responsibility at a Faculty or Unit level. This staff member is the point of contact for University Records in relation to Faculty or Unit wide recordkeeping activities and issues.
• The Secondary Records Contact is a senior officer delegated responsibility at a Business Unit level for recordkeeping within that individual Business Unit. This staff member is the main contact for audit and assessment activities.
• Local Records Contacts are staff members delegated responsibility at a Business Unit level for day-to-day recordkeeping activities, such as file creation and registration. The Local Records Contacts are often also responsible for organising disposal activities and archival storage.

University Records must be informed when Record Contacts change. Training for new Records Contacts and refresher sessions can be organised with University Records.

Where a restructure occurs, University Records should be consulted in advance to plan and facilitate the transition of records between Business Units or to the UTS Archives as required.

4.2.3. Staff

All UTS staff must be aware of the Records Management Program and their responsibilities to it. Staff are responsible for ensuring that records supporting and documenting their business activities are created and captured in line with the provisions of this Directive and recordkeeping procedures.

Staff must also be aware of and comply with data protection principles, privacy, and confidentiality requirements specified in relevant legislation and the University's Code of Conduct.

Awareness sessions are run on a regular basis by University Records to provide an overview of recordkeeping requirements at the University and inform staff of their responsibilities.

4.3. File Creation and Management

4.3.1. Creating an Official File

Official files must be created to capture official records as close to the commencement of a business activity or issue as practicable. Official files must be titled using the UTS File Classification System and registered accurately within the Business Unit's Records Database.

Standard approved file covers are to be used for the storage of official records. Other non-standard formats may only be used following consultation with University Records.

4.3.2. Records Databases

Metadata captured within Records Databases must meet minimum standards issued under the State Records Act 1998 (NSW). Metadata requirements for official files are defined in the UTS Official File Metadata Scheme.

Record Databases must be secure, and appropriately managed and protected in line with the UTS Information Technology Security policy.

4.3.3. File Tracking

The location of official files must be documented, especially when records move outside the responsible Business Unit. When staff leave a Business Unit all files marked to them must be returned and location details updated.

4.4. Documents

Official documents must be placed onto an official file as soon as practicable to ensure a full and accurate record is captured and maintained. This includes, but is not limited to, emails and documents generated electronically, unless they are managed using an approved electronic system (see section 4.8).

Verbal decisions and advice must be documented and filed on an official file. Where a document does not exist, a file note should be generated to record the decision or action taken.

To preserve the integrity of the University's records, no additions or alterations of any kind are to be made to documents on a file. This includes purging, annotating, or adding or removing documents. If there is a need to record future developments or a change in circumstances, or otherwise reflect inaccurate information or deficiencies, a further document can be generated and attached as appropriate to the file or to a new part of a file and cross-referenced.

Documents classified as vital records are of particular importance to the University and must be filed in accordance with the University's Vital Records Program (see section 4.9.3).

4.5. Security and Access

4.5.1. Security Classification

All official files must be allocated an appropriate security classification in the Records Database and on the official file cover as follows:

• Unclassified: This security classification is a default security classification and indicates that a file can be accessed by all UTS staff.
• Confidential: This security classification indicates that a file contains information that should not be accessed by all staff. The names of relevant positions or Business Units who are authorised to access a file must be noted in the Records Database or in procedures governing that type of record.

  Access to confidential files may vary. Some confidential files may be accessible by specific groups across the University, while others may be more sensitive and may have more limited access.

4.5.2. Access to Records by UTS staff

Staff should only access records which they have a legitimate need to access. Staff can access a confidential file if they are an authorised user, or where an authorised user has granted permission for them to access the file. An authorised user refers to a staff member who has been delegated the right to access, or provide access to, a record. This is defined as part of the security classification of individual files or it may be allocated to whole groups of records.

Members of the Senior Executive, Legal Office and Risk and Assurance Unit, and Freedom of Information (FOI) and Privacy Officers are considered authorised users where access to specific records is required for the purpose of undertaking their functions.

4.5.3. Access to Records by external parties

Access to records is not to be provided to parties external to UTS unless authorised by a UTS directive, policy or procedure, or where required by law. Where provision of records to an external party is approved, only copies of documents are to be provided.

The only exception to this is where copies of documents are not legally acceptable. If the provision of official records is required, it must be authorised, with copies retained on-site where practicable. The return of original official records must be monitored and the records checked against copies to ensure they have not been altered.

Access to UTS Archives over 30 years old will be managed through access directions lodged with State Records NSW.

The provision of access to personal or health information is governed by the University's Privacy Management Plan and any approved UTS privacy policies.

4.5.4. Access to Records via Subpoena or Warrant

Access to records via subpoena or legal warrant is to be managed by the UTS Legal Office. If a subpoena or legal warrant addressed to UTS is received at a Faculty or Unit, it should immediately be referred to UTS Legal Services. The recipient should note and advise UTS Legal Services of the date of receipt. No information should be supplied in reply to the subpoena or legal warrant without the approval of UTS Legal Services.

4.5.5. Access to Records via Freedom of Information (FOI) or Privacy legislation

Access to records via a formal application under the Freedom of Information Act 1989 (NSW) is managed by the University's FOI Officer, or in the case of an internal review, under the authority of the delegated Internal Review Officer.

Access to records via a formal application under privacy legislation is managed by the University's Privacy Officer.

4.6. Storage

4.6.1. Storage systems

Official records must be stored within file storage systems and locations that meet standards issued under the State Records Act 1998 (NSW).

4.6.2. Storage locations

Records must be stored in a secure area with access limited to authorised users based on the security classification level applied. Records stored with individual staff must be practically accessible at all times to authorised users.

Current records should be stored in the Business Unit or with the Faculty or Unit that is responsible for the records. Non-current records and archives can be stored with either the Faculty or Unit that is responsible for the records, University Records, or a suitable secondary storage area approved by University Records.

4.6.3. Off-Site Storage of Records

No records are to be stored outside the University's premises without prior consultation with and approval by University Records.

4.7. Records Disposal

Records disposal refers to any method of removing records from the university's control, such as archiving or destruction.

4.7.1. Temporary Records Retention

Records must be retained for the minimum retention timeframe as specified in relevant disposal authorities issued under the State Records Act 1998 (NSW). Any additional retention requirements specified or implied in other legislation must also be satisfied.

Additional retention timeframes may apply to satisfy the University's administrative, legal or financial needs. Such decisions need to be justified and documented and must take into account storage issues as well as any related privacy issues.

4.7.2. Archives

Archives are records that have continuing value, but are no longer required for current use.

Decisions relating to the permanent retention of records as State archives will be based on an appraisal of the records in line with relevant retention and disposal authorities issued under the State Records Act 1998 (NSW). Other records may be assessed as having continuing value to UTS and will be retained as part of the UTS Archives in line with the UTS Archives Collection Guidelines (see appendix 1).

Decisions to retain additional records outside the scope of the above requirements must be approved by the Deputy Vice-Chancellor (External Relations) and Registrar.

4.7.3. Records Destruction

No official records are to be destroyed without the authorisation of the responsible Business Unit, University Records, and the Registrar (or the Registrar's nominated delegate). Completion of a Records Destruction Authorisation form is required before records can be destroyed. Records documenting destruction activities must be retained on an official file.

Where the responsible Business Unit or parent Faculty or Unit cannot be identified, or has ceased to exist, the relevant member of the Senior Executive will be considered the "responsible Business Unit" for the purposes of destruction authorisation. Where this cannot be determined, the role will default to the Registrar (or the Registrar's nominated delegate)

Destruction of all records, whether official or unofficial, must be undertaken in a secure manner.

4.8. Electronic Recordkeeping

Use of electronic systems by Business Units to capture and manage official records in an electronic format, must be approved by University Records to ensure compliance with recordkeeping requirements. In the absence of an approved electronic recordkeeping system, records must be printed and filed on an official file.

Recordkeeping requirements for systems should be considered and documented at the developmental stage.

4.8.1. Electronic mail (Email)

Emails are official records, in particular where they are used for official business of the University, where they document decisions, advice, where management direction is given, and where they document transactions between parties that provide evidence of an activity. Official emails are to be captured on the appropriate official file.

4.8.2 Databases

University Records should be notified of the existence of official databases, i.e. databases that capture official information not held in other records, by the database administrator.

Official databases must have a robust and tested backup regime, have monitored and controlled access, where possible have audit logging functionality, and be managed in line with the UTS Information Technology Security policy. Migration to new systems must be clearly managed and documented.

4.9. Quality and Risk Management

4.9.1. Quality Control

In line with the UTS Quality Management Framework, audits and self-assessment activities will be undertaken on recordkeeping systems within Business Units to review them against the University's Records Management Program and to plan for ongoing improvements and sustainability.

4.9.2. Disaster Prevention, Response, and Recovery

Risk prevention, response and recovery strategies for records and recordkeeping systems must be implemented across UTS through a Disaster Plan covering records and recordkeeping systems

4.9.3. Vital Records Program

Vital Records are records that are essential for the ongoing business of the University, without which the University could not continue to function effectively or protect its interests. These include, but are not limited to, contracts, deeds, memoranda of understanding, licences, evidence of ownership of physical and intellectual property, and other records documenting the legal authority or rights of the University.

Original Vital Records must be lodged in person with University Records with a completed lodgement form. A copy of the record must be filed onto the Business Unit's official file dealing with that activity or issue, along with all supporting documentation.

Access to Vital Records will be provided under the requirements of section 4.5.2 above, and copies will be provided in the first instance. Access to an original Vital Record will be provided only where the need for the original is proven. In such cases, retrieval costs will be borne by the requesting Business Unit.

4.10. Ownership, Custody and Control of Records and Archives

4.10.1. Ownership

All records created by staff, or received by staff, in the course of the University's operations and activities, are owned by UTS.

4.10.2 Custody and Control of Archives

Control of records assessed as being State archives under the retention and disposal authorities issued under the State Records Act 1998 (NSW) will eventually transfer to State Records NSW. The custody of State archives will remain with UTS in line with any distributed management agreement with State Records NSW.

UTS will retain both custody and control of any other records assessed as having continuing value.

4.11. Standard Operating Procedures

Recordkeeping requirements should be embedded within other University procedures and plans by the officer responsible for those procedures and plans. Advice and assistance can be provided by University Records.

5. Authorities and accountabilities

The Vice-Chancellor is responsible for ensuring that UTS complies with legislative recordkeeping requirements, in particular the State Records Act 1998 (NSW). The ultimate responsibility for records management rests with the Vice-Chancellor.

The Deputy Vice-Chancellor (External Relations) and Registrar has organisational responsibility for the Records Management Program at UTS. This role ensures that recordkeeping systems support organisational and public accountability.

Breaches of this Directive will be dealt with in accordance with the relevant Enterprise Agreement, the Rules of the University relating to staff discipline, and the Code of Conduct.

6. Specification of related UTS and other relevant documentation

State Records Act 1998 (NSW)

Information Technology Security (Policy)

Management and Protection Personal Student Information (Policy)

Privacy Management Plan

Intellectual Property (Policy and Directives)

UTS Records Management Procedures

Privacy at UTS

FOI at UTS

Information Technology Security Standards and Guidelines (PDF)

7. Approval and revisions tables

7.1 Approval

Revision/modification history

Appendix 1: UTS Archives Collection Guidelines

The following records form part of the UTS Archives:

• Records classified as State archives under current general disposal authorities issued by State Records under the State Records Act 1998
• Records that are assessed to have historical or research value, including:
  • Records documenting strategic planning and organisational structure of major functional areas
  • Records documenting the social history of the institutions, staff and students.
• Official publications bearing the UTS logo and emblem
• Plaques, certificates, etc., symbolizing recognition of UTS
• Selected items of memorabilia closely associated with UTS and its predecessors.

Records retained by UTS Archives cover UTS and its predecessor institutions, including:

• NSW Institute of Technology (NSWIT)
• Kuring-gai College of Advanced Education (KCAE)
• Balmain Teachers' College (BTC) and William Balmain College (WBC)
• Sydney College of Advanced Education (SCAE), Institute of Technical and Adult Education (ITATE),
• Sydney College of the Arts (SCA), School of Design
• Acupuncture College of Australia (ACA).

UTS Archives is maintained by University Records which is responsible for:

• managing the UTS Archives' collection, including UTS and State archives
• appraising and capturing records of continuing value in accordance with these collection guidelines
• ongoing preservation and conservation of the collection, and
• providing authorised access to the collection.

Donating Archives to the Collection

UTS Archives does not generally collect records for retention as archives outside the above guidelines. However, UTS may, from time to time, be requested to take receipt of and manage donated collections, such as: papers of prominent academics, administrators, individuals, or agencies closely associated with UTS or its predecessor institutions.

Requests to donate records to UTS must be addressed to the Registrar, detailing: the nature of the records; the volume; the condition; to what extent the records have been managed; and an assessment of future access expectations. The requestor must have the legal capacity to make the donation.

Each request will be assessed on a case-by-case basis, taking into account the details provided in the application, and the University's space and resource limitations. If a donation is approved, a deposit agreement must be negotiated and entered into by UTS and the donating party. Deposited items then become the property of UTS, to be managed in accordance with the terms and conditions of the deposit agreement. If a deposit agreement cannot be reached between UTS and the donating party, the records will not be accepted.