Compliance Overview

Compliance Framework
Compliance Driver State Records Act 1998 (NSW)
Classification Level 1
University-wide concern. Impacts on reputation and funding.
Associated Legislation
Associated Standards
Associated Codes
Associated Information
Return to Top Administrative Information
Administrative Body State Records Authority of New South Wales
Administrative Name
Administrative Address Mailing Address
P.O. Box 516
Kingswood NSW
2747
Administrative Phone +61 2 9673 1788
Administrative Email govrec@records.nsw.gov.au
Administrative Website http://www.records.nsw.gov.au/recordkeeping/recordkeeping
Return to Top General Introduction
VC Compliance Delegate Brendan Peet, Chief Legal and Governance Officer
Compliance Coordinator Caroline Elder, Records Manager
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Marketing and Public Affairs
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Policy and Governance Unit
  • Records Management Office
  • Research Services
  • Rural Properties
  • School of Education
  • School of Environmental and Rural Science
  • School of Health
  • School of Humanities, Arts and Social Sciences
  • School of Law
  • School of Psychology and Behavioural Sciences
  • School of Rural Medicine
  • School of Science and Technology
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Overview The aim of the State Records Act is to ensure that the business of the NSW public sector is properly documented and that official records are managed efficiently and effectively to support service delivery, good governance and accountability. A State record is any record made and kept, or received and kept, by any person in the course of the exercise of official functions in a public office, or for any purpose of a public office, or for the use of a public office. As a public office the University must comply with the Act and legislative instruments issued under it by NSW State Records.



Compliance Obligations

Return to Top Assessing Business Systems
Description Clauses 22 to 25 of the Records Management Rule requires:

"(22) Where digital University Records are held, or will be held within a business system outside of the approved RMS, (such as Alesco, FinanceOne, Callista, etc) the business system must be approved as a recordkeeping system by the Chief Legal & Governance Officer.

(23) System owners are responsible for assessing their systems to ensure compliance with the NSW State Records Standard on Records Management. The assessment report must be forwarded via Records Management Office to the Chief Legal & Governance Officer for approval before the business system is considered to be an approved business system for recordkeeping purposes. All records relating to the implementation, operation, configuration and customisation of the business system must be registered within the approved RMS.

(24) For new systems, recordkeeping requirements must be considered and documented at the user requirements/tendering stage.

(25) Business systems must be re-assessed for recordkeeping compliance if they undergo major upgrades or changes in functionality. Where systems are to be replaced, recordkeeping requirements need to be considered during the planning stage to ensure compliance requirements continue to be met with the new system, and records are appropriately migrated."

In the link in associated information below you will find the direct link to the NSW State Records checklist for assessing business systems - this is the checklist that must be completed and forwarded to rmo@une.edu.au.
Impacts Negative impact on reputation (e.g. what happens today could affect the University’s reputation in 25 years) and an increase in legal risk (the University may not be able to prove (or disprove) what it did or did not do).
In addition, in certain circumstances, under both the Crimes Act 1914 (Cth) and the Crimes Act 2000 (NSW), it is an offence to intentionally destroy documents.
Responsible Manager Caroline Elder, Records Manager
Coordinating Officer Collette Gooch, Compliance System Manager
Coordinating Unit Records Management Office
Oversight Committee/Group None
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Marketing and Public Affairs
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Policy and Governance Unit
  • Records Management Office
  • Research Services
  • Rural Properties
  • School of Education
  • School of Environmental and Rural Science
  • School of Health
  • School of Humanities, Arts and Social Sciences
  • School of Law
  • School of Psychology and Behavioural Sciences
  • School of Rural Medicine
  • School of Science and Technology
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Obligation Framework
Associated Legislation None
Associated Standard
Associated Code None
Associated Information
Management Tools
Rule Records Management Rule
Policy Code of Conduct
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Disposal of records
Description The University must not dispose of State records, transfer their possession or ownership, take or send them out of New South Wales, or alter them, without the approval of State Records. (Section 21)
Impacts Negative impact on reputation (e.g. what happens today could affect the University’s reputation in 25 years) and an increase in legal risk (the University may not be able to prove (or disprove) what it did or did not do).
In addition, in certain circumstances, under both the Crimes Act 1914 (Cth) and the Crimes Act 2000 (NSW), it is an offence to intentionally destroy documents.
Responsible Manager Caroline Elder, Records Manager
Coordinating Officer Collette Gooch, Senior Records Officer - Systems & Training
Coordinating Unit Records Management Office
Oversight Committee/Group None
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Marketing and Public Affairs
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Policy and Governance Unit
  • Records Management Office
  • Research Services
  • Rural Properties
  • School of Education
  • School of Environmental and Rural Science
  • School of Health
  • School of Humanities, Arts and Social Sciences
  • School of Law
  • School of Psychology and Behavioural Sciences
  • School of Rural Medicine
  • School of Science and Technology
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Obligation Framework
Associated Legislation
Associated Standard
Associated Code None
Associated Information
Management Tools
Rule Records Management Rule
Policy Code of Conduct
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Equipment/technology dependent records
Description If a record is in such a form that information can only be produced or made available from it by means of the use of particular equipment or information technology (such as computer software), the University must take such action as may be necessary to ensure that the information remains able to be produced or made available. (Section 14(1))
Impacts Negative impact on reputation (e.g. what happens today could affect the University’s reputation in 25 years) and an increase in legal risk (the University may not be able to prove (or disprove) what it did or did not do).

In addition, in certain circumstances, under both the Crimes Act 1914 (Cth) and the Crimes Act 2000 (NSW), it is an offence to intentionally destroy documents.
Responsible Manager Caroline Elder, Records Manager
Coordinating Officer Caroline Elder, Records Manager
Coordinating Unit Records Management Office
Oversight Committee/Group None
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Marketing and Public Affairs
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Policy and Governance Unit
  • Records Management Office
  • Research Services
  • Rural Properties
  • School of Education
  • School of Environmental and Rural Science
  • School of Health
  • School of Humanities, Arts and Social Sciences
  • School of Law
  • School of Psychology and Behavioural Sciences
  • School of Rural Medicine
  • School of Science and Technology
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Obligation Framework
Associated Legislation
Associated Standard
Associated Code None
Associated Information
Management Tools
Rule Records Management Rule
Policy Code of Conduct
Protocol None
Procedure Records Management Procedures
Guideline None
Other Websites
 
Return to Top Full and accurate records
Description The University must make and keep full and accurate records of the activities University. (Section 12(1))
Impacts Negative impact on reputation (e.g. what happens today could affect the University’s reputation in 25 years) and an increase in legal risk (the University may not be able to prove (or disprove) what it did or did not do).
In addition, in certain circumstances, under both the Crimes Act 1914 (Cth) and the Crimes Act 2000 (NSW), it is an offence to intentionally destroy documents.
Responsible Manager Caroline Elder, Records Manager
Coordinating Officer Collette Gooch, Senior Records Officer - Systems & Training
Coordinating Unit Records Management Office
Oversight Committee/Group None
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Marketing and Public Affairs
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Policy and Governance Unit
  • Records Management Office
  • Research Services
  • Rural Properties
  • School of Education
  • School of Environmental and Rural Science
  • School of Health
  • School of Humanities, Arts and Social Sciences
  • School of Law
  • School of Psychology and Behavioural Sciences
  • School of Rural Medicine
  • School of Science and Technology
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Obligation Framework
Associated Legislation
Associated Standard
Associated Code None
Associated Information None
Management Tools
Rule Records Management Rule
Policy Code of Conduct
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Management of State records/archives
Description Records that are required to be kept as part of the state archives must be properly protected while they remain in the University's custody. A State archive is a State record that State Records (Office) has control over under the State Records Act 1998.
Impacts Negative impact on reputation.
Responsible Manager Blanca Pizzani, Associate University Librarian (Scholarly Resources)
Coordinating Officer William Oates, University Archivist
Coordinating Unit Heritage Centre
Oversight Committee/Group None
Business Units Impacted
  • Heritage Centre
  • University Library
Obligation Framework
Associated Legislation None
Associated Standard
Associated Code None
Associated Information None
Management Tools
Rule Records Management Rule
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Monitoring and reporting
Description The University must make arrangements with the State Records Authority for the monitoring by the Authority of the University's records management program and must report to the Authority, in accordance with arrangements made with the Authority, on the implementation of the University's records management program. (Section 12(4))
Impacts
Responsible Manager Caroline Elder, Records Manager
Coordinating Officer Collette Gooch, Senior Records Officer - Systems & Training
Coordinating Unit Records Management Office
Oversight Committee/Group None
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Marketing and Public Affairs
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Policy and Governance Unit
  • Records Management Office
  • Research Services
  • Rural Properties
  • School of Education
  • School of Environmental and Rural Science
  • School of Health
  • School of Humanities, Arts and Social Sciences
  • School of Law
  • School of Psychology and Behavioural Sciences
  • School of Rural Medicine
  • School of Science and Technology
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Obligation Framework
Associated Legislation
Associated Standard
Associated Code None
Associated Information None
Management Tools
Rule Records Management Rule
Policy Code of Conduct
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Protect records
Description The University must ensure the safe custody and proper preservation of the state records that it has control of. (Section 11(1))
Impacts
Responsible Manager Caroline Elder, Records Manager
Coordinating Officer Collette Gooch, Senior Records Officer - Systems & Training
Coordinating Unit Records Management Office
Oversight Committee/Group None
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Marketing and Public Affairs
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Policy and Governance Unit
  • Records Management Office
  • Research Services
  • Rural Properties
  • School of Education
  • School of Environmental and Rural Science
  • School of Health
  • School of Humanities, Arts and Social Sciences
  • School of Law
  • School of Psychology and Behavioural Sciences
  • School of Rural Medicine
  • School of Science and Technology
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Obligation Framework
Associated Legislation
Associated Standard
Associated Code None
Associated Information None
Management Tools
Rule Records Management Rule
Policy Code of Conduct
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Public access to State Records after 30 years
Description The University must ensure that the State records for which it is responsible and that are over thirty years old are the subject of an access direction. An access direction either opens or closes the records to public access. (Part 6)
Impacts
Responsible Manager Caroline Elder, Records Manager
Coordinating Officer Collette Gooch, Senior Records Officer - Systems & Training
Coordinating Unit Records Management Office
Oversight Committee/Group None
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Marketing and Public Affairs
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Policy and Governance Unit
  • Records Management Office
  • Research Services
  • Rural Properties
  • School of Education
  • School of Environmental and Rural Science
  • School of Health
  • School of Humanities, Arts and Social Sciences
  • School of Law
  • School of Psychology and Behavioural Sciences
  • School of Rural Medicine
  • School of Science and Technology
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Obligation Framework
Associated Legislation
Associated Standard
Associated Code None
Associated Information None
Management Tools
Rule Records Management Rule
Policy Code of Conduct
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Records management program
Description The University must establish and maintain a records management program for the University in conformity with the standards and codes of best practice from time to time approved under section 13. (Section 12(2))

A records management program consists of a planned, coordinated set of policies, procedures and systems to manage the records of the University in compliance with legislative and business needs. The University's Records Management Rule is accessible via the link under 'Management Tools' below. Procedures on the use of the University's approved Records Management System (currently HP TRIM) are accessible via the HP TRIM container A13/3109.
Impacts Negative impact on reputation (e.g. what happens today could affect the University’s reputation in 25 years) and an increase in legal risk (the University may not be able to prove (or disprove) what it did or did not do).
In addition, in certain circumstances, under both the Crimes Act 1914 (Cth) and the Crimes Act 2000 (NSW), it is an offence to intentionally destroy documents.
Responsible Manager Caroline Elder, Records Manager
Coordinating Officer Collette Gooch, Senior Records Officer - Systems & Training
Coordinating Unit Records Management Office
Oversight Committee/Group None
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Marketing and Public Affairs
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Policy and Governance Unit
  • Records Management Office
  • Research Services
  • Rural Properties
  • School of Education
  • School of Environmental and Rural Science
  • School of Health
  • School of Humanities, Arts and Social Sciences
  • School of Law
  • School of Psychology and Behavioural Sciences
  • School of Rural Medicine
  • School of Science and Technology
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Obligation Framework
Associated Legislation
Associated Standard
Associated Code None
Associated Information None
Management Tools
Rule Records Management Rule
Policy Code of Conduct
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Regional Repository
Description As a Regional Repository of State archives the University, through its distributed management agreement, maintains custody of certain State records, whilst control of those records is passed to the State Records (Office).

A State archive is a State record that State Records (Office) has control over under the State Records Act 1998.
Impacts Negative impact on reputation.
Responsible Manager Blanca Pizzani, Associate University Librarian (Scholarly Resources)
Coordinating Officer William Oates, University Archivist
Coordinating Unit Heritage Centre
Oversight Committee/Group None
Business Units Impacted
  • Heritage Centre
  • University Library
Obligation Framework
Associated Legislation None
Associated Standard
Associated Code None
Associated Information None
Management Tools
Rule Records Management Rule
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top State Collecting Institution
Description Under the State Records Regulation 2015 the University is a prescribed 'State Collecting institution' in relation to private records in a research library or archives collection. A private record is defined as 'a record that would not be a State record had it not been taken into the collection of a State collecting institution', and under section 5 of the Act these records are exempted from application of the Act - therefore the State Records Act 1998 has no influence in determining the conditions of approval, access or disposal of private records in the University's collections.

If a State collecting institution ceases to exist, then State records that are a private record in the collection cease to be a State record.
Impacts
Responsible Manager Blanca Pizzani, Associate University Librarian (Scholarly Resources)
Coordinating Officer William Oates, University Archivist
Coordinating Unit Heritage Centre
Oversight Committee/Group None
Business Units Impacted
  • Heritage Centre
  • University Library
Obligation Framework
Associated Legislation
Associated Standard None
Associated Code None
Associated Information None
Management Tools
Rule Records Management Rule
Policy None
Protocol None
Procedure None
Guideline None
Other Websites