Quality management
The UTS Records Management Program incorporates the University quality framework of Plan, Do, Review and Improve (PDRI). All areas of the University are subject to formal audits. Initial audits will establish action plans and specifications for implementation. Once records management systems are implemented within areas, an ongoing continuous assessment cycle will be established through a program of self-assessment and formal audits.
Assessment criteria include:
- staff awareness
- responsibilities
- file creation and management
- records database template maintenance
- documentation
- security, access and confidentiality
- archiving and destruction
- risk management and disaster prevention.
Self-assessment is designed to gauge how well areas are managing their records against the above criteria, identify areas for improvement, and to allow University Records to develop strategies that will help areas improve their records management practices.
Additional recordkeeping requirements will be implemented across the University over time as part of ongoing improvements to the Records Management Program. These requirements will be included in the assessment criteria and development of action plans for areas.
Undertaking self-assessment in your area
Individual areas will be requested to undertake a self-assessment on an annual or biannual basis through the completion of the Self-Assessment Reporting Tool (184K PDF). The instructions for completing self-assessment are printed on the front page of the reporting tool. A Guide to Completing Self-Assessment (168K PDF) has also been developed to supplement the reporting tool. Areas are encouraged to use the Guide where questions are difficult to answer or do not seem applicable.
Once completed, the Self-Assessment Reporting Tool should be signed and returned to University Records.
The self-assessment program facilitates continuous improvement. Where areas for improvement are identified in an area, University Records will liaise with the area to develop actions and provide advice until the improvements have been achieved. University Records will assist areas wherever possible to ensure they can maintain a consistent level of compliance.
Follow-up audits
University Records will undertake selective follow-up audits each year. Areas will be selected based on the length of time since their last audit, where the risk associated with a recordkeeping failure is considered higher, where a recordkeeping failure has been identified, or where there are outstanding actions from previous audits.
Follow-up audits cover the same requirements as self-assessment but facilitate further discussion on:
- processes that are working well and can be modelled for use in other areas
- progress of any outstanding actions being undertaken
- further improvements that may need to be implemented.
Ongoing continuous assessment cycle
For more information, contact your Records Advisor.
