Why do we need to keep records Got a question, contact the Records Governance Services records@newecastle.edu.au or (492) 15306 What is a record The State Records Act 1998 defines a record as: "Record means 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 record means any record made, 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, whether before or after the commencement of this act”. Official Records University records are one of its major assets and like any corporate asset we need to protect them and make the most of them – managed properly they underpin our effectiveness and time savings practices. Good record keeping makes it easier for all of us to do our job. Records are a tangible product of our work and to recreate them in the event of a total loss would cost millions of dollars. The loss of University's records, or even a part of them, could destroy the evidence of students' achievements, staff entitlements and jeopardise the University's rights and interests. An official record is the University's record of its business activities. Official records should be captured in the compliant records management system – TRIM (HPE Records Manager). Why do we need to keep records Records provide evidence of business activities of an individual staff member, faculty or unit, or of the University as a whole; Records provide a history of decisions, decision-making processes, advice and/or direction; Records support the corporate memory of an individual area, a faculty or unit, and/or the University as a whole.

How to determine if a record is official and needs to be kept Got a question, contact the Records Governance Services records@newecastle.edu.au or (492) 15306 How to determine if a record is official and needs to be kept Originality of the records Determine whether or not the information is duplicated elsewhere. If it is already captured as a record, then you don’t need to keep your copies. If your records provide evidence to support an official record, then they need to be managed as official records and stored in TRIM. Responsibilities Determine who is responsible for keeping the official record. Many areas may hold copies of this information, but is your area responsible for keeping the official record? Are you responsible, or is your supervisor responsible? If you are the originator of the records or your area is responsible for the functions the records support, create an official file and store these records in TRIM. Evidence Determine whether the records are evidence of transactions that the University, your area or you could be accountable for. If so, they must be stored in TRIM

How to determine if a record is official and needs to be kept Got a question, contact the Records Governance Services records@newecastle.edu.au or (492) 15306 How to determine if a record is official and needs to be kept If you are still uncertain as to whether your records are an official University record apply the following tests: Will the record document a change to policy, procedure or methodology? Is there a statutory requirement to make or keep particular records? Are there financial or legal implications which may come under scrutiny to ensure accountability, (by the Auditor-General or the Ombudsman? Do you require the record so as to be able to report to internal or external bodies? Is the record of interest or importance to others outside of your immediate working environment? Does the ‘transaction’ have to be approved by a more senior officer, committee or specialist unit? Has a decision been made which needs or may need supporting evidence or a record of the decision-making processes? Has a decision been made which will have an impact on another individual, office or the University as a whole and which sets a precedent? If the answer is yes, then you must store these records in TRIM.

Always use Confidential Bins to dispose confidential records Got a question, contact the Records Governance Services records@newecastle.edu.au or (492) 15306 Are you moving premises or leaving the University? What do you need to do if you have records and you are moving premises or leaving the University Keep or transfer to your manager Records required to support current business processes Decisions / advice provided to students Case management / misconduct records (less than 14 years old) Flex-sheets (less than 7 years old) Program / Course information not in corporate systems Student applications for assistance/adverse circumstances etc. • Assignments /assessment - reasons for change etc. (less than 7 years) Complaints or appeal records (less than 7 years old) Student Placement Reports (records are kept for 50 years) Meetings between supervisors and current postgraduate research students (less than 7 years old) Research administration or research data not elsewhere or in other systems Committee, User Group, Team meeting minutes that are not duplicates Performance, review and development records (less than 3 years old) Accreditation records (less than 10 years old) Scholarships and Prizes (less than 7 years old) Do not keep Records that do not support current business processes Duplicate records or copies of records stored elsewhere e.g. committee meeting Publications from other organisations Financial records that would be stored with Financial Services or finance systems Personnel/ staff records that would be stored in HR or HR systems Student records that are in Blackboard, NUSTAR or other student systems Unused exam papers Student Handouts Student attendance records pre-dating 2019 Printed emails that do not contain critical information or that contain general or widely available information Posters Always use Confidential Bins to dispose confidential records

Are you moving premises or leaving the University Are you moving premises or leaving the University? Assessing and Disposing records Got a question, contact the Records Governance Services records@newecastle.edu.au or (492) 15306 Then….. If records….. Transfer the records with the business unit or scan the records and save these in TRIM or give these to your manager. Transfer the records to secure on-site storage, or the University’s off-site storage provider (ZircoData) Request permission to destroy the records. For help on destruction practices see Destruction of records. Request records to be transferred to the University’s off-site storage provider (ZircoData) In active use Inactive but not eligible for destruction Inactive and eligible for destruction Required as State Archives Records required for legal, audit or public disclosure must not be destroyed