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. in Australia,Synod of NSW & ACT

Records Management Policy

Title

Creation Date

Version

Last Revised

A roved b

A roval date

Signed

Records Maria ement Polic

28/7/20,7

I. O

Unitin Resources Board

23 Au ust 2017

,/I'

C ai .rson,Un' in ces Boar

TABLE OF CONTENTS

I. PURPOSE

2. SCOPE

3. REGULATORY AND BEST PRACTICE REQUIREMENTS

4. DEFINITIONS

5. POLICY STATEMENT

6. POLICY PRINCIPLES

7. RECORDS MANAGEMENT MODEL

8. CREATION OF RECORDS

9. OWNERSHIP OF RECORDS

10. PROTECTION OF RECORDS

11. CONFIDENTIALITY AND PRIVACY

12. RECORDS DISPOSAL

13. RESPONSIBILITIES

General Secretary Synod NSW & ACT

Records Manager Synod NSW & ACT

Head of Information Technology and Systems - Uniting Resources

Managers and Team Leaders

All Employees

Contractors, Consultants or Other Service Providers

14. EVALUATION

15. RELATED DOCUMENTS

16. REVIEW DATE

17. AUTHORISING OFFICER

APPENDIX I: RELEVANT LEGISLATION

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13.4

13.5

13.6

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Records Management PolicyCopyright @ 2017 Uniting Church Last updated: 09/10/2017 Page 2 of 8

I. PURPOSE

The purpose of this policy is to ensure that full and accurate records of all activities of the UnitingChurch of Australia Synod of NSW and ACT (Synod) are created, managed and retained ordisposed of appropriateIy.

This policy sets out the principles and responsibilities to promote information accessibility andaccountability while ensuring the rights and interests of the organisation, its employees, clientsand the community are protected

2. SCOPE

This policy applies to records and content in all formats, including digital records, and allcomputer applications used to create or store information, records and content

This policy also applies to all technological, administrative and operational environments in whichthe operational work of the Synod is conducted, employees, third party providers of services andany collaborative activities undertaken with partner organisations

This policy is underpinned by a number of subsidiary documents which together constitutes therecords management governance and operational framework

3. REGULATORY AND BES

The Uniting Church is required to comply with a multitude of Commonwealth, State and Territorylegislation which can impact on its recordkeeping activities (see Appendix I: Relevant Legislationfor some examples). The recordkeeping requirements of these statutes, whether stated orinferred, together with the underpinning and guiding principles of the standards listed below havebeen considered in the preparation of this policy

. AslS0 75489 - Records management. As ISO 15489. I is a high level statement of recordsmanagement principles and policy and is supported by As ISO I 5489.2, a technical reportproviding more detail and guidance to assist with the implementation of best practicerecordkeeping

. ISO 76775 - Princ4?Ies and functional requirements of records in electronic ohioeenvironments provides internationally agreed principles and functional requirements forsoftware used to create and manage digital information in office environments. Thisstandard is divided into three parts: Part I - Overview and statement of princfy)/es sets out thefundamental principles for the management of records in a digital environment. Part 2 -Guide/Ihes and functibnal requirements for digital records management systems - sets outthe functional requirements for software systems that are designed principal Iy to managerecords. Part 3 - Guidelihes and functibnal requirements for records Ih business systems -sets out the functional requirements for the management of information held in businesssystems

. Standard on the physical storage of State records (NSVV? which sets out the minimumcompliance requirements for the storage of those State records which have a physicalformat

PRACTICE REQUIREMENTS

4. DEFINITIONS

Employee

Any person that performs work on behalf of the Synod in any capacity including (but riot limitedto) paid staff, contractors, consultants, graduates, volunteers, committee members and ministryagents

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Recordkeeping System

An automated system used to manage the creation, use, maintenance and disposal of digitallycreated records, documents and content for the purposes of providing evidence of operationalactivities. It maintains appropriate contextual information (metadata) and links between records,documents and content to support their value as evidence

Records

Information in any form including data in computer systems, documents created, received andmaintained as evidence by an organisation or person, in pursuance of legal obligations or in thetransaction of business (As ISO 15489 Part I Clause 3.15)

As a guide records can be either physical or digital. Physical media includes: paper, audio orvideo devices, film, photographs, publications, computer disk drives, compact disks and USB etcDigital records include word processing documents, spreadsheets, email, plans, drawings,images, information on websites, online transactions, databases, information in computersystems, text messages and information on social media sites etc

In practice this means any information or document made or received by any person in thecourse of their work for any purpose.

Retention and Disposal Authority

A document authorised by the organisation which sets out appropriate retention periods forclasses of records

Synod

Operational areas of the Synod being: Secretariat, Uniting Resources, Uniting Financial Servicesand Uniting Mission and Education

5. POLICY STATEMENT

The records of the Synod are valuable assets that are necessary for the effective andaccountable conduct of its operations. These records support policy formation anddecision-making, protecting the interests and rights of the Synod, its employees andstakeholders. In the longer term these records represent the organisation's corporate memory,providing its principle source of continuity

The Synod is committed to developing and implementing best practice in their records andinformation management operations and systems. All activities concerning records andinformation management within the Synod will be in accordance with this policy and anysupporting documents

6. POLICY PRINCI LES

The Synod is committed to the following principles regarding records and informationmanagement

. the records management program complies with relevant legislation and standards;

. records and information are protected from unauthorised or unlawful access, destruction,loss, deletion or alteration ;

. records and information are routinely created and managed as part of normal work practiceand captured in locations and systems approved by the Synod;

. records and information management is a designed component of all Synod systems andservice environments where high risk or high value operations are conducted;

. records and information are identifiable, retrievable, accessible, and retained for as long asthey are required in accordance with legal, operational, historical and accountabilityrequirements; and

Records Management PolicyCopyright @ 2017 Uniting Church Last updated: 09/10/2017 Page 4 of 8

records and information are systematically and accountably destroyed when legallyappropriate to do so

7. RECORDS MANAGEMENT MODEL

The records management program will be conducted on a devolved basis with operationalrecords management tasks performed directly by work groups and teams on all operational sitesin accordance with centrally developed policy and standards. In this context work groups andteams are responsible for making full and accurate records of their activities, including theallocation of necessary resources

8. CREATION OF RECORDS

All employees are obliged to create records that adequately and properly document the activitiesof the Synod in which they take part, and to ensure that information and processing systems thatsupport those activities create appropriate records as part of that process

Employees should ensure that they create records of all activities made in the course of theirofficial operations. This includes the thorough documenting of meetings and consultations, andconversations by phone, interview or in person where significant issues are discussed

All documents and related information must be maintained in locations and systems approved bythe Synod

9. OWNERSHIP OF RECORDS

Ownership of all records and information (including copies) is vested in the Synod. Employeesmust not maintain records (or copies) personally or privately and must not maintain recordsoutside of authorised systems

Circumstances may exist where the transfer of custody of certain types of records to authorisedinstitutions is applicable. In such circumstances issues of ownership and access will bedocumented in agreements with the relevant institution/s

10. PROTECTION OF RECORDS

Employees are obliged to handle records sensibly and with care and respect to avoid damage torecords, and to prolong their lifespan

Employees must not alienate, relinquish control over, damage, alter or destroy the records of theSynod.

11. CONFIDENTIALITY AND PRIVACY

Synod employees have a legal responsibility to protect confidential and personal informationwhich they may come across in the course of their official duties. All information must be releasedby authorised officers in accordance with relevant policy and legislation

I2. RECORDS ISPOSAL

The Synod is obliged to develop and maintain a records and information retention and disposalprogram that ensures the preservation of accurate and reliable records and information (bothdigital and physical) for as long as required for operational, legal, social or cultural purposes

This will be achieved through the development and implementation of a records retention anddisposal authority, access to suitable facilities for the storage and preservation of physical records,and associated supporting processes.

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I3. RESPONSIBILITIES

I3.1 General Secretary Synod NSW & ACT

. ensures the Synod complies with any statutory recordkeeping requirements whether statedor inferred in any and all legislation the organisation is subject to as well as the standardsreferred to in this policy;

. ensures the records management program is adequately resourced; and

. represents records management interests within the Synod leadership

I3.2 Records Manager Synod NSW & ACT

. develops, implements and manages the records and information management program andstrategic framework including the development of strategic, operational and related plans;

develops and promotes records and information management policy, procedure, standardsand guidelines;

develops and implements a quality management regime to monitor records and informationmanagement compliance and performance across the Synod, including the provision ofperiodic reports and recommendations on improvement initiatives;

manages the operation of the designated recordkeeping system/s and support services inconjunction with the Information Technology and Systems group; and

provision of records and information management services and advice, including thecoordination of an education and training program

,3.3 Head of Information Technology and Systems - Uniting Resources

provides support and infrastructure to ensure records kept in digital form are managed sothey are accessible, readable, inviolate, complete comprehensive, and authentic for as longas required ;

ensures information management planning, policies and projects take into account recordsmanagement requirements;

consults with the Records Manager prior to the procurement of computer systems (andsupporting technology) that are likely to contain high risk or high value records andinformation, or potentially impactloverlap on established recordkeeping practice;

manages the recordkeeping system and supporting technologies platform;

manages the operation of the recordkeeping system and support services in conjunction withthe Records Manager;

Iiaises with the Records Manager regarding counter disaster planning for digital records;

. ensures appropriate Iy detailed audit logs are created and where necessary linked to records;

. implements information security measures;

. performs routine and comprehensive system backups of data; and

. ensures the migration of digital records or digital control records/metadata is conductedcarefully and in line with relevant standards, guidelines and industry best practice (in liaisonwith the Records Manager)

I3.4 Managers and Team Leaders

support and promote best practice recordkeeping in accordance with records managementpolicies, procedures and guidelines;

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ensure that their team integrates records and information management into work processesresulting in the creation and capture of records that adequately reflect their operations;

provide feedback on the success of migration processes to help ensure records remainauthentic, complete, accessible and useable;

ensure their team are trained in how to create and manage records and that such recordsand related content are captured and managed in locations and systems approved by theSynod;

consult with the Records Manager as appropriate when introducing new activities andsystems to ensure recordkeeping outcomes are identified;

determine legislative requirements for records relating to their specific activities and ensurethe Records Manager as appropriate is made aware of any necessary changes; and

ensure any contracts with service providers including contractors, consultants or outsourcedservices include the records management requirements of the Synod, clarifying ownership ofintellectual property, privacy and confidentiality issues in accordance with this policy

I3.5 All Employees

be aware of and comply with records management policies, procedures and guidelines;

create records that adequately and properly document their activities, including documentingall decisions and actions made in the course of their work;

ensure all records and related content are captured and managed in locations and systemsapproved by the Synod; and

provide for the safe custody and use of physical records in their care

I3.6 Contractors, Consultants or Other Service Providers

manage records (or copies) they create on behalf of the Synod according to the terms of theircontract and the relevant records management polides, procedures and guidelines

I4. EVALUATION

The effectiveness and appropriateness of this policy will be evaluated in accordance with theSynod's records and information management performance monitoring and review program

I5. RELATED DOCUMENTS

. Digital Imaging of Records Procedure

I6. REVIEW DATE

Every three years or where relevant changes to legislative requirements, information standardsor operational practices require an earlier review

I7. AUTHORISING OFFICER

Signed

Name

Date:

Records Management PolicyCopyright @ 2017 Uniting Church Last updated: 09/10/2017 Page 7 of 8

APPENDIX I : RELEVANT LEGISLATION

. Anti-Discrimination Act 1997 (NSW);

. Anti-Money Laundering and Counter Terrorism Financing Act 2006;

. Australian Charities and Not-for-profits Commission Act 2012;

. Australian Information Commissioner Act 2010;

. Banking Act 1959;

. Charities Act 2013;

. Competition and Consumer Act 2010;

. Copyright Act 1968;

. Corporations Act 2001 ;

. Crimes Act 1914;

. Electronic Transactions Act (Cth and State Acts) ;

. Evidence Act 1995 (Cth and NSW);

. Fair Work Act 2009;

. Financial Management and Accountability Act 1997;

. Financial Transactions Reports Act 1988;

. Income Tax Assessment Act 1997;

. Industrial Relations Act 1996 (NSW);

. Library Act 1939 (NSW);

. Limitations Act 1969 (NSW);

. National Consumer Credit Protection Act 2009;

. Paid Parental Leave Act 2010

. Personal Property Securities Act 2009

. Privacy Act 1988

. Public Holidays Act 2010 (NSW)

. Superannuation Industry (Supervision) Act 1993

. Uniting Church in Australia Act 1977 (ACT)

. Uniting Church in Australia Act 1977 (NSW)

. Work Health and Safety Act 201 I (Cth and NSW)

. Workers Compensation Act 1987 (NSW)

Other instruments:

. Code of Ethics and Ministry Practice: Church Code of Ethics and Ministry Practice and CSUCode of Ethics;

. The Uniting Church in Australia Constitution and Regulations; and

. The Uniting Church in Australia Synod of NSW and the ACT By-Laws

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