• Section 1 - Purpose and Context
• Section 2 - Definitions
• Section 3 - Policy Statement
• Part A - Publications
• Part B - Records and Archives Management
• Records Management
• Archives
• Part C - Key Accountabilities
• Vice-Chancellor
• Manager, Records and Archives Management Services
• Records and Archives Management Services unit (RAMS)
• Organisational Units
• All Staff
• Committees, Working Parties and Project Teams
• Part D - Document Management
• Document Management Rules for use in TRIM
• Other Document Management Rules
• Part E - Restructure
• Part F - Relocation
• Part G - Storage
• Part H - Destruction/Protection of Records
• Destruction of records
• Retention periods
• Part I - Vital Records
• Section 4 - Procedures
• Section 5 - Guidelines

Section 1 - Purpose and Context

(1) The purpose of this policy is to ensure the creation, maintenance and legal destruction of records and documents within the University of Western Sydney by establishing a framework and accountabilities for records management.

(2) The policy is the foundation stone for the progressive implementation of records management and the TRIM System throughout the University.

Section 2 - Definitions

(3) For the purpose of this policy:

1. Archives -are those records that have been identified as having continuing value and that are kept permanently as part of the University Archives Collection.
   1. These include records of significance to both the University and, in the wider context, the State that:
      1. provide evidence of the source of authority, foundation, governance and management of the University;
      2. provide evidence of the deliberations, decisions and actions of the University relating to key functions and programs and significant issues faced in governing the University;
      3. provide evidence of the legal status and fundamental rights and entitlements of individuals and groups essential for the ongoing functions of the University;
      4. substantially contribute to the knowledge and understanding of the social and community context of the University;
      5. provide substantial evidence of the impact of the activities of the University on the people of New South Wales;
      6. have been identified as being required as State archives in a records retention and disposal authority issued by the State Records Authority of New South Wales.
2. Legal Document- refers to all legal documents, such as memoranda of understanding, contracts, agreements, as identified in the Delegations (Administrative) Policy in "Schedule 3". This does not include staff employment contracts.
3. Organisational Unit- is a clearly defined operational unit within each Division, and School as defined in the University structure.
4. Publications- are any works, irrespective of format, issued for distribution or sale internally or to students or to the public. These can include, but are not limited to, the following:
   1. calendars and handbooks;
   2. annual reports;
   3. books;
   4. pamphlets, leaflets, brochures, etc;
   5. journals;
   6. newsletters;
   7. CDs, DVDs;
   8. video recordings;
   9. audio recordings; and
   10. films.
   11. Publications do not include:
       1. journals produced by external bodies;
       2. stationery; or
       3. business cards.
5. RAMS - is the Records and Archives Management Services Unit of the University of Western Sydney.
6. A record- is 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 - Part 1).
7. Records Management- is the discipline and organisational function of managing records to meet operational business needs, accountability requirements and community expectations (Australian Standard AS4390, 1996: Records Management).
8. Secondary storage- is a records storage area that is used to store records that need to be kept for longer than the period for which they are required within the actual organisational unit (i.e. semi-active records). Secondary storage is provided centrally through the Records and Archives Management Services unit.
9. Semi-active records- are those records that are required so infrequently in the conduct of current business that they can be transferred from offices to separate [secondary] storage areas. Also referred to as non-current records or semi-current records (Judith Ellis (ed.), Keeping Archives, p.472).
10. University Records- are any records made and kept, or received and kept, by any person in the course of the exercise of official functions in the University, or for any purpose of the University, or for the use of the University [Part 1, State Records Act , 1998 (NSW)]. This includes records in any format such as paper, electronic (such as email, spreadsheets, word processing documents, images etc), audio or video cassettes, film, photographs, publications and microfilm/fiche.
    1. Examples of University records can include, but are not limited to, the following:
       1. records of formal decisions taken by staff under delegation that are documented in memoranda, letters, fax or email messages, etc;
       2. inwards communications from external persons and bodies;
       3. copies of outwards communications to external persons and bodies;
       4. meeting papers of formally established University boards and committees (including agendas, agenda papers, minutes, reports and decision pages);
       5. meeting papers of ad hoc committees and working parties (including agendas, agenda papers, minutes, reports and decision pages);
       6. students' academic transcripts held electronically or in hard copy format;
       7. financial transactions held electronically or in hard copy format;
       8. personnel transactions (i.e. letters of appointment, reports on performance and other dealings between staff and the University);
       9. course and unit outlines issued to students and the public;
       10. approved course and unit proposals and course accreditation documentation;
       11. research grant applications and records of application outcomes.

Section 3 - Policy Statement

(4) The University's records are its corporate memory, providing evidence of actions and decisions and representing a vital asset to support the University's daily functions and operations. They support policy formation and high level decision-making, protect the interests of the University and the rights of employees, clients and citizens, and help the University deliver its services in consistent and equitable ways. They help the University to make good use of precedents and of organisational experience. They support consistency, continuity, efficiency and productivity in program delivery, management and administration. Those that are to be kept as State archives form part of the cultural resources not only of the University, but also of the State.

(5) The University of Western Sydney is committed to meeting its responsibilities under the State Records Act 1998 and to implement best practice in its records management practices and systems. All practices and procedures concerning records management within the University of Western Sydney are to be in accordance with this policy.

(6) The policy applies to all academic and administrative units within the University and to all University records(see definition in Section 2, above), including email, generated or received by them. All University records are the physical property of the University, not the member of staff who created or received them (see the UWS Intellectual Property Policy for guidance on intellectual property). As such, they are also subject to the requirements of the State Records Act 1998 (NSW).

(7) This policy also covers organisations that are either fully or partially owned entities of the University. It does not cover such related organisations as: childcare centres; student associations, clubs and societies; and student unions.

(8) Note: although these related organisations do not fall within the scope of this policy or the jurisdiction of Records and Archives Management Services Unit (RAMS) an agreement may be entered into with Records and Archives Management Services Unit whereby certain services may be offered (such as records storage, destruction and archives management).

Part A - Publications

(9) A copy of each publication produced by or for the University must be deposited with the University Archivist as soon as practicable following publication.

Part B - Records and Archives Management

(10) The RAMS has overall responsibility for facilitating best practice records and archives management across the whole of the University.

Records Management

(11) The University will implement a devolved model of records management whereby organisational units will have responsibility for the management of their records with the advice and assistance of RAMS.

(12) The University will manage its records in a way that conforms to the requirements of the State Records Act, 1998 (NSW) and any policies, standards, codes of best practice and other requirements issued by the State Records Authority of New South Wales under the Act.

(13) RAMS records officers will assist organisational units in the appropriate creation, management and protection of their records. This will be through the provision of advice, assistance and training in records management matters.

(14) The destruction of records will be managed centrally through the RAMS unit.

(15) All University records as defined in Section 4.2, including email, are subject to the State Records Act, 1998 (NSW), the Government Information (Public Access) Act 2009 (GIPA), and the Privacy and Personal Information Protection Act, 1998 (NSW).

Archives

(16) The University will maintain an archives collection of University records of significance to the University and to the broader community.

(17) The University will keep those records that are required as State archives within the University Archives by entering into a Distributed Management Agreement with the State Records Authority of New South Wales.

(18) The University archives are managed centrally under the responsibility of the University Archivist who reports to the Manager, Records and Archives Management Services.

Part C - Key Accountabilities

(19) Each organisational unit within the University will nominate a position that will have responsibility for 'day-to-day' records management within that unit. This does not need to be a position dedicated to records management and may form part of the duty statement of the designated position. Larger organisational units may have more than one position with records management responsibilities.

Vice-Chancellor

(20) Under Section 10 of the State Records Act, 1998 (NSW) the Vice-Chancellor and President, as the "chief executive" of the University, has a duty to ensure that "the [University] complies with the requirements of [the] Act and the regulations and that the requirements of [the] Act and the regulations with respect to [University records] that the [University] is responsible for are complied with".

Manager, Records and Archives Management Services

(21) The Manager, Records and Archives Management Services reports to the Head of the University Board and Senate Secretariat, who is responsible to the Deputy Vice-Chancellor and University Provost. Formal responsibilities have been delegated to the Manager, Records and Archives Management Services and include those listed below.

1. The Manager RAMS will be the Corporate Records Manager for the University of Western Sydney.
2. The Manager RAMS will be responsible for establishing and maintaining a consistent and effective records management regime across the University.
3. The Manager RAMS, will be responsible for ensuring compliance with the State Records Act, 1998 (NSW) including any relevant standards, codes of practice and other requirements as may be issued by the State Records Authority of New South Wales under the Act.

Records and Archives Management Services unit (RAMS)

(22) The Records and Archives Management Services Unit is responsible for:

1. the development of a standardised records management system for implementation across the University;
2. keeping and maintaining the University archives;
3. authorised, secure and timely destruction of records;
4. providing records management advice and assistance to clients (staff) throughout the University;
5. assisting administrative units and academic units in establishing recordkeeping systems;
6. developing draft University policies and standards for records management;
7. monitoring compliance with policies and standards, including performance of records management services and operations;
8. assisting in the identification of vital records and ensuring their protection, and appropriate storage;
9. providing secondary storage for semi-active records;
10. making and administering arrangements, such as the annual Records Management Survey, for the monitoring of the University's records management program by State Records as required by s.12(3) of the State Records Act;
11. administration and maintenance of the TRIM records management system;
12. providing training and assistance in the use of the TRIM records management system; and
13. educating staff at all levels on recordkeeping best practice and responsibilities.

Organisational Units

(23) Each organisational unit is responsible for:

1. compliance with relevant University standards, guidelines and policies on records management;
2. ensuring that full and accurate records are made and kept of all activities carried out by the organisational unit;
3. managing the records of the unit;
4. creation and maintenance of physical and electronic files;
5. determining appropriate retention periods in consultation with RAMS;
6. determining appropriate access restrictions in consultation with RAMS;
7. identifying vital records; and
8. maintaining security for records stored in office areas (particularly sensitive records).

All Staff

(24) Each member of staff within the University is responsible for records creation and management and must:

1. make and keep full and accurate records of all University activities for which he or she is responsible;
2. create records that document all substantive or formal decisions taken by him or her in the service of the University;
3. create records that summarise important telephone conversations;
4. capture all relevant records into TRIM [see Part D, below];
5. handle records with care;
6. protect records from accidental damage;
7. protect sensitive records in their custody from unauthorised access; and
8. not destroy records without authorisation from his or her supervisor or from the Manager, Records and Archives Management Services.

Committees, Working Parties and Project Teams

(25) The secretaries and/or chairs of all committees, working parties and project teams must:

1. be responsible for the management of committee records;
2. comply with all relevant University standards, guidelines and policies on records management in regards to records of the committee, working party or project team;
3. create and keep full and accurate records of all committee, working party or project team meetings; and
4. register all meeting papers on TRIM (including all agendas, agenda papers, minutes, reports and decision pages) [see Part D, below].

Part D - Document Management

(26) In accordance with a phased program of installation and associated training, the University will use the TRIM records management system for the management of all records and individual documents (including electronic documents).

Document Management Rules for use in TRIM

(27) Staff are to observe the following rules in association with the management of documents within the TRIM records management system.

1. All staff are to use TRIM, once it is installed and appropriate training has been given, to document all substantive official business, unless a specific purpose recordkeeping system is used that has been authorised by RAMS. Staff are not to maintain individual or separate files or recordkeeping systems or unmanaged electronic records except as otherwise authorised by the University. [Note: working files can be created and registered in TRIM where necessary].
2. All formal documents generated within the University, including outwards correspondence, should bear a file reference number (as allocated by TRIM on creation of a file) on the top right hand corner of the first or cover page.
3. The location of every file should be accurate and up to date in TRIM at all times. Staff are responsible for recording location changes when passing a file to another staff member, either by recording it in TRIM or by notifying the appropriate Records Officer.

Other Document Management Rules

(28) Staff should minimise the number of files they keep at their desks and the length of time they keep them.

Part E - Restructure

(29) Where a restructure occurs and an organisational unit no longer exists, it is the responsibility of the Manager of the unit to ensure proper management and transfer of records prior to the closure of the unit.

(30) Where a function of a defunct organisational unit is transferred to another unit, any records relevant to that function should be transferred to the unit with responsibility for the function.

Part F - Relocation

(31) Where an organisational unit is physically relocated it is the responsibility of the unit to ensure records are properly managed and not left behind.

(32) [Note: Leaving records behind when relocating may constitute a contravention of Part 3 of the State Records Act and the responsible staff member can incur a financial penalty under the Act].

Part G - Storage

(33) Storage of semi-active records is managed centrally by RAMS. When records are no longer required regularly and can be stored off-site, the organisational unit should transfer the records to RAMS in accordance with procedures for records transfer.

(34) Transfer of records that have been identified as having archival value should be coordinated with the University Archivist, subject to relevant transfer procedures.

Part H - Destruction/Protection of Records

(35) Under Part 3 of the State Records Act, 1998, a member of staff must not abandon, dispose of, transfer possession or ownership, damage, alter or neglect University records in such a way that causes or is likely to cause damage to them without appropriate authorisation from the State Records Authority.

(36) In most cases such authorisation is given in the form of "general disposal authorities" which identify the minimum amount of time records must be kept (i.e. retention periods) and whether they are required to be kept permanently or may be destroyed. RAMS will provide more guidance on this in training and in the records management manual.

(37) [Note: Under Part 3 of the State Records Act, a person found to be contravening these provisions of the Act may be subject to a personalpenalty of $5,500. Where a member of staff has been directed by their supervisor to illegally dispose of records in contravention of the Act, then the supervisor rather then the member of staff may be subject to the penalty.]

Destruction of records

(38) Destruction of records that have been registered in TRIM must be carried out through RAMS.

(39) Prior to destruction the head of the organisational unit responsible for the records (or a senior delegate) must sign an undertaking that the records are no longer required to support the business of the unit and that they are aware of no other legal, business or reference requirements for the retention of the records.

(40) Records must not be destroyed if they are the subject, or it is anticipated that they may be the subject, of a GIPA request, subpoena, or other formal request for access or relate to any ongoing action such as an appeal. This is regardless of whether the minimum retention period has expired.

Retention periods

(41) All University records must be retained by the University for the minimum retention periods identified in the records retention and disposal authorities that have been approved by State Records for use by the University. RAMS will provide advice and assistance to organisational units in identifying appropriate minimum retention periods.

(42) Each organisational unit is responsible for evaluating whether the minimum retention periods identified in the approved records retention and disposal authorities are adequate for business needs. Note: minimum retention periods can be increased but not decreased.

(43) Any increase in minimum retention periods identified in records retention and disposal authorities must be agreed between the organisational unit and RAMS.

Part I - Vital Records

(44) Vital records are those records that are essential for the ongoing business of the University, and without which the University could not continue to function effectively. The identification and protection of such records is a primary object of records management and disaster management planning (Ellis (ed), Keeping Archives, p.480). Vital records contain information essential to recreate the University's legal and financial position and preserve its rights and those of its employees, clients and stakeholders.

(45) Each organisational unit is responsible for identifying and managing vital records in consultation with RAMS. This will assist units in resuming normal business immediately in the event of a disaster.

(46) All legal documents, as identified in the Delegations (Administrative) Policy in "Schedule 3" (which does not include staff employment contracts), must, as soon as practicable after signing, be dealt with in the following manner.

1. The document to be photocopied and the copy placed on the relevant file by the organisational unit responsible.
2. The original sent to the Records and Archives Management Services Unit where:
   1. the document is to be scanned
   2. the image is to be placed in TRIM; and
   3. the original document to be placed in secure central storage.

Section 4 - Procedures

(47) Nil.

Section 5 - Guidelines

(48) Please refer to the Associated Information page.