University Recordkeepers Forum 2010
Report on activities from the University of New South Wales
Background information
(please provide the following information – the size of your University e.g. the number of students and staff, the
organisational structure of your records area, where you sit within your university’s organisational structure and your
client base)
UNSW was founded in 1949.
In 2009 it had:
46,302 students
2,416 academic staff
2,626 professional & technical staff
3 campuses
9 faculties
4 principal teaching hospitals
The University’s general operating budget in 2008 was $1.5 Billion
UNSW’s Records and Archives Office is within the University’s Legal and Compliance Group, headed by the
University Solicitor and General Counsel. The structure and relationships are shown below.
The Records and Archives Office provides a traditional central paper-based recordkeeping service for most,
but not all, units of the central administration (including most units of the Divisions of the Executive
Director University Services and of the Executive Director, Finance and Operations) and for the Grants
Management Office and Graduate Research School in the Division of the DVC (Research).
It manages the use of TRIM as an electronic recordkeeping system for the Legal and Compliance Group.
It manages the use of TRIM for the management of paper-based records by Human Resources and Student
Administration.
It provides recordkeeping advice and training to all the University including Faculties and Schools.
It provides approval for disposal for all University records.
It has custody of University records that are State archives, other state records retained as University
archives, private records relating to the University and the audio records created as part of an oral history
program. It provides access to these records to the University community and the general public.
If you use a records management software package, what do you use and what records are
captured and managed with it and who uses it?
UNSW uses TRIM version 6.2 as its records management software.
It is used by Records and Archives Office staff to manage paper records in a central records system covering
all administrative functions and grants management.
It is used by HR staff and Student Administration staff to manage paper personnel records and student
records respectively.
It is used by staff of the Legal and Compliance Group (legal counsel and support staff, Council and Board
secretariat staff, staff responsible for the policy process, staff responsible for FOI, Privacy, Copyright and
Compliance, and staff of the Records and Archives Office itself) for electronic recordkeeping.
It is expected that in 2011 use of TRIM for full electronic recordkeeping will be extended to all staff of the
Division of the DVC (Research) (ie the DVC’s office, the office of the PVC (Research), the Research Strategy
Office, the Graduate Research School, the Grants Management Office, the UNSW Analytical Centre, the
Excellence in Research for Australia Unit).
If you use a records management software package is it integrated with other systems?
TRIM is not currently integrated with other systems.
There is a general University strategy that eventually UNSW will have a single document store for University
electronic records and that TRIM will provide that single document store. Business system owners
understand that at some stage interfaces between their systems and TRIM will be required. There is no
timetable or current funding for this.
Do you have a records policy framework? If so, please provide details and/or a copy of the policy
etc
UNSW has a mandatory policy framework:
Legislation – Federal or State legislation with which the University must comply
Policy - established by the Council or, under delegated authority, by the Vice-Chancellor and setting out
principles and standards to guide the actions and decision-making of those engaged with the University. A
Policy may give authority to nominated individuals or positions to establish Procedures and Guidelines.
Procedures - approved in accordance with the University’s Register of Delegations and prescribing specific
processes and actions which are the subject of legislation, Policy, or Procedure
Guidelines - approved in accordance with the University’s Register of Delegations and containing detail and
context on particular matters which are the subject of legislation, Policy, or Procedure.
Local Documents –developed by any faculty, school or unit and recording decisions, processes or workflows
which apply only to that faculty, school or unit and which are not be inconsistent with any legislation,
Policy, Procedure or Guideline, or with delegations in the Register of Delegations
The UNSW Recordkeeping Policy echoes this. It reflects the State Records Act 1998 (NSW) and consists of a
Recordkeeping Policy, a suite of procedures together with guidelines and supporting documents.
A new Recordkeeping Policy is currently awaiting approval by the Vice-Chancellor. When approved, it and
the new procedures will be made available at http://www.recordkeeping.unsw.edu.au/Policy/policy.html
and http://www.recordkeeping.unsw.edu.au/Procedures/procedures.html.
Is any digitisation of hard copy records being undertaken? If so, what is being digitised and how
is the digitisation process managed?
There is no mass digitisation program undertaken by the Records and Archives Office.
Individual documents received by staff of units in the Legal and Compliance Group which use electronic
recordkeeping are scanned and captured as digitised records by staff of the receiving unit. (This is a very
small proportion of documents captured).
A small number of business units have relatively small scale digitisation programs. Student Administration
is currently digitising some application records. HR has digitised some personnel records. These programs
were seen by the units to meet perceived business needs and business system requirements. They do not,
however, constitute adequate recordkeeping and the original records are also retained.
Accounts Payable has, in consultation with the Records and Archives Office, examined the mass scanning of
invoices. This allows for compliant recordkeeping but no decision to go ahead has been reached.
Please nominate any difficult disposal questions that you would like to discuss.
Any other issues you would like to report on?