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
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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
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General Introduction
VC Compliance Delegate
Kate McNarn, Director Governance and University Secretary
Compliance Coordinator
Alicia Zikan, Head Records Policy and Governance
Business Units Impacted
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
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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
Kate McNarn, Director Governance and University Secretary
Coordinating Officer
Alicia Zikan, Head Records Policy and Governance
Coordinating Unit
Records, Policy and Governance Unit
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
Associated Code
None
Associated Information
Management Tools
Rule
Records Management Rule
Policy
Code of Conduct
Procedure
None
Guideline
None
Other Websites
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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
Alicia Zikan, Head Records Policy and Governance
Coordinating Officer
Alicia Zikan, Head Records Policy and Governance
Coordinating Unit
Records, Policy and Governance Unit
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
Associated Code
None
Associated Information
Management Tools
Rule
Records Management Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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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
Alicia Zikan, Head Records Policy and Governance
Coordinating Officer
Alicia Zikan, Head Records Policy and Governance
Coordinating Unit
Records, Policy and Governance Unit
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
Associated Code
None
Associated Information
Management Tools
Rule
Records Management Rule
Policy
None
Procedure
Records Management Procedures
Guideline
None
Other Websites
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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
Alicia Zikan, Head Records Policy and Governance
Coordinating Officer
Alicia Zikan, Head Records Policy and Governance
Coordinating Unit
Records Team
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
Associated Code
None
Associated Information
None
Management Tools
Rule
Records Management Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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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
Richard Dobek, Executive Principal Student Experience
Coordinating Officer
Richard Dobek, Executive Principal Student Experience
Coordinating Unit
Heritage Centre
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
Associated Code
None
Associated Information
None
Management Tools
Rule
Records Management Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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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
Alicia Zikan, Head Records Policy and Governance
Coordinating Officer
Alicia Zikan, Head Records Policy and Governance
Coordinating Unit
Records, Policy and Governance Unit
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
Associated Code
None
Associated Information
None
Management Tools
Rule
Records Management Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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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
Alicia Zikan, Head Records Policy and Governance
Coordinating Officer
Alicia Zikan, Head Records Policy and Governance
Coordinating Unit
Records, Policy and Governance Unit
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
Associated Code
None
Associated Information
None
Management Tools
Rule
Records Management Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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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
Alicia Zikan, Head Records Policy and Governance
Coordinating Officer
Alicia Zikan, Head Records Policy and Governance
Coordinating Unit
Records Team
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
Associated Code
None
Associated Information
None
Management Tools
Rule
Records Management Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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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
Alicia Zikan, Head Records Policy and Governance
Coordinating Officer
Alicia Zikan, Head Records Policy and Governance
Coordinating Unit
Records, Policy and Governance Unit
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
Associated Code
None
Associated Information
None
Management Tools
Rule
Records Management Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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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
Richard Dobek, Executive Principal Student Experience
Coordinating Officer
Richard Dobek, Executive Principal Student Experience
Coordinating Unit
Heritage Centre
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
Associated Code
None
Associated Information
None
Management Tools
Rule
Records Management Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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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
Richard Dobek, Executive Principal Student Experience
Coordinating Officer
Richard Dobek, Executive Principal Student Experience
Coordinating Unit
Heritage Centre
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
Records Management Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
Compliance Overview