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Records Management Policy - Digital Records

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Section 1 - Purpose

(1) This documents sets out Charles Sturt University's policy on establishing sound records management practices and a consistent approach with regard to the management of digital records as well as the destruction of original paper records which have been successfully digitised through scanning and captured into an approved Electronic Document Records Management System (EDRMS).

Scope

(2) This Policy applies to all members of Charles Sturt University (the University) community who receive and record digital records and/or digitise paper records for capture into an approved Electronic Document Records Management System (EDRMS).

References

(3) This Policy should be read in conjunction with the:

  1. State Records NSW General Disposal Authority 36 - Imaged Records;
  2. State Records NSW General Disposal Authority 33 - Source records that have been migrated;
  3. State records Standard on digital recordkeeping;
  4. Records Management Policy;
  5. Vital Records Policy;
  6. TRIM Security and Access Policy;
  7. Procedure for the Creation and Disposal of imaged Records;
  8. Digital Records Assessment Tool; and
  9. Digital Records Identification Tool.
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Section 2 - Glossary

(4) In this Policy:

  1. Records - a record is information created, received and maintained by Charles Sturt University and its employees in the transaction of official business or conduct of affairs, and kept as evidence of such activity.
  2. Digital Records - a digital record is digital information, captured at a specific point in time that is kept as evidence of business activity. Digital records means 'born' digital records such as emails, web pages, digital photographs, digital audio files, GIS files or database records, as well as scanned versions of paper records that have been digitised in business process.
  3. Metadata - is data describing data and data systems. In records management, recordkeeping metadata is data that describes the context, content and structure of records and their management through time. (AS ISO 15489 Part 1 Clause 3.12).
  4. State Records - records created by public offices in NSW (including universities) are State records under the State Records Act 1998 (NSW) , and subject to the provisions of both the State Records Act 1998 (NSW) and the State Records Amendment Act 2005 (NSW).
  5. State Archives - means a State record that State Records NSW has control of under the State Records Act 1998 (NSW).
  6. TRIM - is an approved Electronic Document Records Management System (EDRMS) used to capture and manage corporate records of Charles Sturt University.
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Section 3 - Policy

Part A - Responsibilities

Manager, University Records

(5) Developing, monitoring and reviewing the University-wide records management policy, procedures, standards and guidelines for the creation, management, storage and disposal of University Records.

(6) Dissemination of information in relation to these activities, in consultation with the University Secretary, the Executive Director, Division of Information Technology, the Manager, CSU Regional Archives and University Art Collection, and the Heads of University organisational units.

(7) Provision of advice to University employees regarding the creation and maintenance of University records and the systems in which they are maintained.

(8) Provision of records management training to University employees.

Records Delegates

(9) Records Delegates are nominated staff within units/Division who have more extensive recordkeeping responsibilities for their operational area.

(10) Records Delegates conduct regular documental validation checks on digitised records.

(11) Records Delegates manage and maintain the day to day records management processes and operations within their area, and

(12) Records Delegates support staff within their area on records management matters such as the registration and creation of files and records; the conduct of disposal process for files and records, etc.

All University Employees

(13) All employees of Charles Sturt University are responsible for ensuring that they create and maintain full and accurate records of official University business that they transact.

Part B - Capture Requirements

(14) Scanning of images/records must be done using Division of Information Technology (DIT) approved software and hardware as specified in the DIT Service Catalogue in order to capture technical metadata such as image resolutions, bit depths, compression and file formats. Without this associated metadata for digitised records, DIT will not be able to prove that the image is a true and exact copy of an original (after disposal of the physical record). Therefore, the original is required to be kept for three months before being disposed of.

Standard Format

(15) The standard format for University imaged records is PDF. PDF is a digital format that has become the standard for the exchange and storage of data. PDF files may be created natively in PDF form, converted from other electronic formats, or digitised from paper, microfilm or other hard copy formats. TIFF is a digital format that is widely supported, TIFF files are commonly used in desktop publishing, 3-D applications and medical imaging applications.

Part C - Protection of Records

(16) Under the State Records Act 1998 (NSW), University records are State records. Staff are obliged to handle records sensibly and with care and respect so as to avoid damage to the records and to prolong their life-span. Staff must not alienate, relinquish control over, damage, alter or destroy Charles Sturt University records.

Part D - Disposal and Destruction of Records

(17) Staff who wish to initiate the archiving and/or disposal of records are required to contact the Manager, University Records or the University's Regional Archives which is an official regional archives repository of the State Records Authority of New South Wales.

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Section 4 - Procedures

(18) Nil.

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Section 5 - Guidelines

(19) Nil.