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(1) This policy applies to all (2) The University of Newcastle’s ( (3) Having the capacity to securely store records and information in a way that can be readily and efficiently managed, retrieved and re-used is essential to the effective operation of the (4) The (5) This policy identifies the (6) This policy applies to records and information in any format that is created, received or maintained by the (7) University records may include, but are not limited to, paper based records, emails, electronic documents, microfilm, tape, photos, camera footage, web pages, social media and structured data held in databases. (8) This policy does not apply to records and information that only have a limited or incidental relevance to performance of a (9) This policy does not apply to records and information created and retained at the University of Newcastle Singapore (UONS). UONS records are subject to Singaporean Laws. (10) In the context of this document: (11) The (12) The program, including policies, procedures, people and the systems required to manage records and information will be monitored and evaluated so that there is continuous improvements and assurance that the needs of the (13) (14) (15) (16) Prior to entering into arrangements to store and manage University Records with third party providers outside of NSW, University Records must be assessed to ensure they can be stored in accordance with the requirements outlined in NSW State Archives and Records GA35 - Transferring Records out of NSW. (17) Email folders, shared folders, personal drives, or external storage media shall not be used to permanently store University Records as these lack the necessary functionality to protect and manage University Records. University Records held in these systems must be incorporated into the University’s Record Management System. (18) Retention periods for records and information are set by the State Archives and Records Authority of NSW in the NSW State Archives and Records - Retention and Disposal Authorities. Disposal Authorities are legislated under the State Records Act 1998 (NSW). (19) Disposal Authorities determine how long records and information need to be kept before they can be disposed. The University uses a number of General and Functional Disposal Authorities to manage retention requirements. (20) Destruction of University Records prior to completion of minimum retention periods is prohibited under the State Records Act 1998(NSW). (21) The (22) Disposal of records must be authorised, secure, timely and documented to support compliance with the State Records Act 1998 and Privacy Legislation. (23) University Approved Information Systems used to capture and manage High Value Records and Vital Records must satisfy the NSW State Archives and Records Standard No 12: Standard on Records Management or be linked to the approved University Records Management System. (24) University Approved Information Systems must include minimum metadata requirements to support identification, usability, accessibility and context of records and information in accordance with NSW State Archives and the Standard No 12: Standard on Records Management. (25) System Owners must ensure that appropriate design and maintenance documentation is developed to assist with monitoring, auditing and ensuring records and information management systems operate as expected. (26) Information Owners shall ensure that the University Records they are responsible for are protected from unauthorised access, disclosure, modification, loss or damage. Particular attention must be given to restricting access, securing sensitive, personal and confidential records and information. (27) Staff are required to comply with the Information Security Policy, Privacy and Information Access Policy and Privacy Management Plan when accessing records and information. (28) Access to research data/primary material must follow the Research Data and Primary Materials Management Procedure. (29) University Approved Information Systems must have appropriate security mechanisms including access and user permissions to protect records and information wherever they are located. (30) Security classifications are based on sensitivity, (31) Security for physical storage of University Records must be in accordance with Standard 11: Standard on Physical Storage of State Records. (32) (33) University Records that are State Archives are required to be transferred to the NSW State Archives and Records Authority when they are at least 25 years old. (34) Digital State Archives must be migrated to the University’s Records Management System in a suitable long-term format so that they are preserved prior to being transferred to NSW State Archives and Records Authority. This will ensure compliance with the NSW State Archives and Records - Digital Records Preservation Policy. (35) Decommissioning of information systems must be planned and documented, and the plan must take into account retention and disposal requirements in line with the Disposal Authorities. (36) Records and information migration and conversion processes must be planned, documented and tested to ensure that any University Records that are migrated and or converted remain accurate, reliable, useable and that metadata remains associated with records. This will support the requirements under the NSW State Archives and Records - GA48 Source Records that have been migrated. (37) The (38) Records and information relating to data subjects within the European Union (EU) and relating to (39) Request to alter records and information should be done so in accordance with the Universities Privacy Management Plan. (40) All (41) The Vice-Chancellor is responsible for ensuring the overall management of University Records and information is in compliance with the requirements of the State Records Act 1998 (NSW). (42) (43) Records Governance Services is responsible for overseeing the management of University Records at the (44) The Chief Information Officer is responsible for maintaining the technology for the (45) (46) (47) (48) Contract Records and Information Management Policy
Section 1 - Audience
Section 2 - Executive Summary
Section 3 - Purpose
Section 4 - Policy Scope
Section 5 - Document Specific Definitions
Top of Page
Section 6 - Principles
University Records and Information Management Program
Creation and Management of University Records and Information
Retention and Disposal of University Records and Information
University Records and Information Management Systems
Access to University Records and Information
Security of University Records and Information
Out-sourcing University Records and Information
State Archives - Transfer of University Records and Information
Migration and Decommissioning of IT Systems
Risk and Business Continuity
General Data Protection Regulation – GDPR
Section 7 - Roles and Responsibilities
All staff
Vice-Chancellor
Senior Staff
Records Governance Services
Chief Information Officer
Managers and Supervisors
Information Owners
System Owners
Contract Staff