Public Access to Restricted Archived University Records Procedure
(CORPR 9.1)

Related Policy	Records Management Policy CORP 9.1
Procedure Scope	All Staff
Commencement Date	1 May 2009
Review Date	1 May 2010
Organisational Unit responsible for day-to-day operation of the procedure	Unit name: Records Management Unit Phone: 03 6226 1847 Fax: 03 6226 7250 Email: Cathy.Fyfe@utas.edu.au

PROCEDURE

1 Purpose

The purpose of this document is to specify the procedures to provide a standard approach for dealing with members of the public requests to access University restricted archival records. These include records that are held at the University of Tasmania or the Tasmanian Archive & Heritage Office.

2 Exceptions

Archived University records open to public access.

3 Definitions and Acronyms

Archives	Means those records that are appraised as having continuing value.
Business Unit	Referes to an administrative or academic area which may be a part of a Division, Department, Institute, Faculty or School.
Record	Is a document or an object that is, or has been, made or kept by reason of any information or matter that it contains or can be obtained from it or by reason of its connection with any even person, circumstance, or thing. A document includes any printed or written material and an object includes a sound recording, coded storage device, magnetic tape or disc, microfilm, photograph, film, map, plan or model or painting or other pictorial or graphic work.
State Records	Records of State government agencies/departments, State authorities, or local authorities. These public bodies are defined in Section 3 of the Archives Act 1983.

4 Links to Related forms, Records and Electronic Databases

Access to University Restricted Archival Records Confidentiality Undertaking form.

5 Detailed Steps, Procedures and Actions

Procedure (including key steps)	Responsibility
Statement of Intent
The Tasmanian Archive & Heritage Office cannot release University restricted archival records to the public without authorisation from the University of Tasmania. These procedures also relate to University restricted inactive records that are still retained within the University. The University's approach is to release information unless it has any strategic reason for not releasing that information. Permanent records will usually be transferred to the Archives Office after 25 years to be retained as State records. A percentage of these transferred records have had a restricted access applied to them. These include records that are less than 25 years old, personnel records and any other records specified in Section 15 of the Archives Act 1983. Once approval has been authorised, State records located with the Tasmanian Archive & Heritage Office are available for viewing at the History Room, or electronically if available. If retained by the University, they will be accessed through the responsible business unit.	All University Staff
Application for Authorisation
1. Public members requests for access to University restricted archival records must be received in writing specifying: a. what records are specifically required, b. and for what purpose.Requests are to be forwarded to the Manager, Records & Information.	Manager, Records & Information
2. The Manager, Records & Information is to forward enquiries to the Business Unit that initially created the records for clearance if required. (It may be necessary to recall records to seek clarification of content)	Manager, Records & Information Head of Business Unit
3. The reason for access will be defined and assessed if it is reasonable. Assessment of records to ascertain that they do not contain personal or sensitive information will be undertaken. Refer to the University Privacy Policy and other associated policies and procedures for guidance.	Head of Business Unit Manager, Records & Information
Decision Process
1. Approved a. Forward the client the Access to University Restricted Archival Records Confidentiality Undertaking form. b. Once this form is signed and returned, forward a letter of approval to the Tasmanian Archive & Heritage Office and a copy to the client if applicable. c. The client requires a copy of the approval and proof of identity to gain access to records from either the University or the Tasmanian Archive & Heritage Office.	Head of Business Unit Manager, Records & Information Tasmanian Archives & Heritage Office
2. Denied a. State reasons why access cannot be given b. Review of denial ruling c. Give the option to undertake a request under FOI.	Head of Business Unit Director Governance & Legal Manager, Records & Information

6 Key Words

Public Access
Restricted Archives
Restricted Access
Archives
Records
Archived

7 Supporting Procedures / Guidelines

State Guideline No 2 – Retention and Disposal of State Records
State Guideline No 4 – Agency Determination of Access Restrictions
Recordkeeping Advice No 11 – Short-term retrieval of State Records
University of Tasmania Records Management Guidelines
University of Tasmania Privacy Policy
Compliance Tool Box – Freedom of Information
Guidelines Governing the Access of Students to their Examination Scripts
Council Confidential Information Policy (CORP 2.1)
Council Members Access to Information Policy
HR Administrative Manual – Staff Access to Personal Files.

RESPONSIBILITIES

Implementation	Executive Director, Finance and Administration
Compliance	Manager, Records & Information Director, Governance & Legal Heads of Business Units
Development and/or Review	Executive Director, Finance and Administration
Interpretation and Advice	Manager, Records & Information

WHO NEEDS TO KNOW THIS PROCEDURE?

All University Staff

EFFECTIVENESS OF THIS PROCEDURE

Reduction in the number of FOI requests for access to University restricted archival records.

PROCEDURE HISTORY

Policy No.	1.8
Approved / Rescinded	Approved
Policy Maker (Title)	Executive Director, Finance and Administration
Policy Maker (Signature)	Mr Richard Easther
Date	19 May 2009

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Public Access to Restricted Archived University Records Procedure (CORPR 9.1)