9 things you had wished you had known about compliance… today’s program 1.welcome – stephen...
TRANSCRIPT
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9 Things you had wished you had known about compliance…
Today’s Program
1. Welcome – Stephen Young, Information Services Strategy Office and University Copyright Officer
2. Records retention and disposal (emphasis examination script books) – Catherine Nicholls and Lucinda Davies
3. Internal Audit – Louise Fastuca
4. Crimes Act – Lesley Williams
5. Copyright (emphasis on course packs) – Helen Thomson
6. Conclusion – Catherine Nicholls
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9 Things you had wished you had known about compliance…
Records retention and disposal
(emphasis examination script books)
Catherine Nicholls and Lucinda Davies
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Records Retention and Disposal Update
Catherine Nicholls & Lucinda Davies Records Services
Introduction to Disposal
What is disposal?
Disposal is a ‘jargon’ word we recordkeepers like to use…essentially it’s the practice of determining what records can be
kept (and for how long) and what records can be turfed (and when can they be turfed).
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Records Retention and Disposal Update
Catherine Nicholls & Lucinda Davies Records Services
What does “Disposal” mean for you?
Our disposal schedules are available here
http://www.unimelb.edu.au/records/rmp/disposal.html
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Examination Script Books, Marking Guides and Disposal
Changes have been made to two University Disposal Schedules as a result of an external investigation.
• A situation occurred where an examination script book and supporting material had been destroyed prematurely
• There were consequences and we have since altered our schedules to provide more clarity
Lucinda Davies
Records Retention and Disposal Update
Records Services
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2 Things to remember…..
Lucinda Davies
Records Retention and Disposal Update
Records Services
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Lucinda Davies
Records Retention and Disposal Update
Records Services
DISPOSAL CLASS DISPOSAL ACTION
ENTRY SUBJECT/ACTIVITY RETENTION/
DESTRUCTION
CUSTODY/ TRANSFER
PRIME SOURCE
38.7 Supporting material that documents how assessments recorded on examination script books lead to a student’s final grade in a subject.
Includes: •Protocols for ensuring consistency of grading approaches in the case of multiple examiners (including the use of marking guides and double-marking regimes)•Protocols for ensuring compliance with requirements concerning Fail results in accordance with Statute 12.3.8 and Regulation 12.3.9.R1•Marking guides used in the assessment process•Records of original assessment outcomes and any scaling and adjustment processes used to translate raw assessment outcomes into final subject marks.
Destroy 6 months after results published, or where the examination result is subject to an appeal, complaint, grievance or investigation; then destroy 6 months after finalisation of appeal, complaint, grievance or investigation.
Retain in department or school until destroyed
Academic Departments and Schools
Records Disposal Schedule No. 18 – Academic Departments and Schools
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Lucinda Davies
Records Retention and Disposal Update
Records Services
ENTRY CLASS/ACTIVITY DISPOSAL ACTION CUSTODY/TRANSFER
16.1 Exam Script Books
- Subject to Appeal, Complaint, Grievance or Investigation
Destroy 6 months after results published
Destroy 6 months after finalisation of appeal, complaint, grievance or investigation
Academic Departments
Academic Departments
Records Disposal Schedule No. 17 – Student Records
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Correct way to destroy records
Lucinda Davies
Records Retention and Disposal Update
Records Services
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9 Things you had wished you had known about compliance…
Internal Audit
Louise Fastuca
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Topics for today
–Travel & FBT Requirements–Corporate cards–Research Contracts–Financial Management–Outside Work/Conflicts of interest–Fraud
Louise Fastuca
Compliance & Internal Audit
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Travel & FBT requirements•Itinerary & Diary•Compliance with ATO•EHS Risk Assessment
• http://www.unimelb.edu.au/finops/resources/travel/index.html, for specifics on travel diary requirements
•http://www.unimelb.edu.au/audit/ - contact us for example travel diaries.
Louise Fastuca
Compliance & Internal Audit – how does it fit?
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Corporate Card•Authorisation•Appropriate use•Adequate supporting documentation
•http://www.unimelb.edu.au/FinPPM/12.html
Louise Fastuca
Compliance & Internal Audit
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Research Contracts•Terms & Conditions•Milestones•Budgets•Compliance with Contract Law
•http://www.research.unimelb.edu.au/, Melbourne Research Office
•http://www.unimelb.edu.au/Statutes/r171r8.html , Code of Conduct for Research
Louise Fastuca
Compliance & Internal Audit
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Financial Management•Monitoring & Reporting•Invoicing, long outstanding debts leading to write-offs•Impact on financial viability
•http://www.unimelb.edu.au/ExecServ/Statutes/pdf/r171r6.pdf, University Statute re: Management and Good Governance
Louise Fastuca
Compliance & Internal Audit
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Outside Work•Conflicts of interest•Hindrance to correct decision making•Reputation of individual•Calls into question bias and favouritism
http://www.unimelb.edu.au/ppp/docs/13.html , Outside Work policy
Louise Fastuca
Compliance & Internal Audit
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Fraud•Internal Audit web site;
–http://www.unimelb.edu.au/audit/advice/, provides fraud brochure
•IA can assist•Self Assessment – be proactive•http://www.unimelb.edu.au/audit/advice/Fraud Risk Template v5.xls , provides a self assessment document.
Louise Fastuca
Compliance & Internal Audit
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Thank you!
Contact details: http://www.unimelb.edu.au/audit
Louise Fastuca
Compliance & Internal Audit
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9 Things you had wished you had known about compliance…
Crimes Act
Lesley Williams
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Lesley F. Williams
Crimes Act
Records Services
• Disclaimer
• The legislation (what is it?)
• How did this legislation come about? Arthur Anderson / Enron Rolah McCabe v BAT (British American Tobacco)
• How does the Act apply to the University of Melbourne?
• Further information and link to:Public Records Office of Victoria, Advice No. 18. Crimes (Document Destruction) Act 2006: Implications for government recordkeeping http://www.prov.vic.gov.au/publications/publns/PROVRMAdvice18.pdf
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9 Things you had wished you had known about compliance…
Copyright (emphasis on course packs) Helen Thomson
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Copyright Act allows us to reproduce material for educational purposes
• Textual material such as books, journal articles, sheet music, plays etc.
• Images – photographs, graphs, diagrams etc.
Conditions & limits do apply: • Limit amount copied
Books, sheet music, plays etc – 10% or 1 chapter whichever is greatest Journal Articles – 1 article from a journal issue, 2 or more from the same issue if for the same subject Images – whole image if not separately available.
• Ensure copying is for educational purposes• Attribute all sources with a full citation - respect author/creator’s moral rights• Compile with marking requirements
Helen Thomson
Creating Course Packs
Copyright Office
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http://readings-online.unimelb.edu.au/
Readings Online
Copyright Office
Academic makes a requestCheck if available online- if yes link
Check if conflictingresource already online
Source Digitize Put online
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© Copyright The University of Melbourne 2007