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University Record Types and Retention Requirements Procedure

Records Management Services

Version 1.0

CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule

University Record Types and Retention Requirements ProcedureRecords Management Services

Purpose................................................................................................................................................................................................................................................ 2

Scope.................................................................................................................................................................................................................................................... 2

Legislative Context............................................................................................................................................................................................................................... 2

Definitions............................................................................................................................................................................................................................................ 3

Destruction Authorisation.................................................................................................................................................................................................................... 5

Physical Destruction............................................................................................................................................................................................................................. 6

Transferring Records into University Archives......................................................................................................................................................................................6

Duplicate Records................................................................................................................................................................................................................................. 6

Unidentified Records............................................................................................................................................................................................................................ 7

Additional Resources and Assistance................................................................................................................................................................................................... 7

Reading this Document........................................................................................................................................................................................................................ 8

Record Classifications and Requirements............................................................................................................................................................................................. 9

CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule Page 1 of 333


Purpose

The purpose of this document is to:

Identify record types based on functional activities of Federation University;

Identify the required retention period for records types to satisfy legal, financial and other requirements;

Ensure that records deemed as permanent by the Public Record Office Victoria (PROV) are appropriately identified and preserved;

Ensure that records are lodged into the Federation University Archives in a timely manner; and

Ensure that records are promptly disposed of in accordance with legislative requirements and University procedures when retention periods have been satisfied.

Scope

This document has been developed for use within all areas of Federation University. It is intended to cover all administrative and student related records created, managed and/or maintained in any department, faculty or school, regardless of format.

The record classes in this document are aligned to the Subject Index of the University’s electronic document and records management system (EDRMS), known as ECM.

Legislative Context

PROS 02/01 General Retention and Disposal Authority for the Records for Higher and Further Education Institutions

PROS 07/01 General Retention and Disposal Authority for the Records of Common Administrative Functions

PROS 10/10 Strategic Management Standard and associated documents

PROS 10/13 Disposal Standard and associated documents

Public Records Act 1973



Definitions

Approved Public Record Office Storage Supplier (APROSS)

A commercial storage facility which has been appointed by the Keeper of Public Records under s.12 of the Public Records Act 1973 following an inspection regarding its suitability for the storage of public records.

Federation University records held in an APROSS are deemed to be under the custody of the University.

Document Structured units of information recorded in any format and on any medium and managed as discrete units or objects.

Some documents are records because they have participated in a business transaction, or were created to document such a transaction. Conversely, some documents are not records because they do not function as evidence of a business transaction.

Disposal Standard This Standard provides a set of mandatory principles for Victorian government agencies regarding the disposal of public records.

Keeper of the Public Records (the ‘Keeper’)

The Keeper is the Director of Public Record Office Victoria. The Keeper of Public Records (‘the Keeper’) is responsible for the establishment of Standards for the efficient management of public records and assisting government agencies and bodies to apply those Standards to records under their control.

Normal Administrative Practice (NAP)

The destruction of some public records is permitted under normal administrative practice (NAP).

NAP covers the destruction of ephemeral material of a facilitative or duplicate nature created, acquired or collected by public sector employees during the course of their duties.

Permanent Record (State Archive) Records in this category have been appraised by the Keeper of Public Records as required to be kept as part of Victoria’s State Archives.

These records cannot be destroyed and must eventually be transferred to the State Archives.

Permanent Record (University) Records in this category have been appraised by the Keeper of Public Records as being required to be kept for a specific period of time for legislative or other requirements, before they can be destroyed.

The University deems that these records hold significant value to the organisation, and therefore will be retained as a permanent University archive.



These records cannot be destroyed.

PROV Standards Under section 12 of the Public Records Act 1973, the Keeper of Public Records (‘the Keeper’) is responsible for the establishment of Standards for the efficient management of public records and for assisting Victorian government agencies (including Universities) to apply those Standards to records under their control.

Recordkeeping Standards issued by PROV reflect best practice methodology. This includes international Standards issued by the International Organisation for Standardisation (ISO) and Australian Standards (AS) issued by Standards Australia in addition to PROV research into current and future trends.

The Federation University Vice Chancellor, under section 13b of the Public Records Act 1973 is responsible for carrying out, with the advice and assistance of the Keeper, a program of efficient management of public records that is in accordance with all Standards issued by the Keeper.

Public Record Office Victoria (PROV)

Public Record Office Victoria (PROV) was established under section 3 of the Public Records Act 1973 ‘for the better preservation, management and utilisation of the public records of the state’.

Public Record (a) any record made or received by a public officer in the course of his duties; and

(b) any record made or received by a court or person acting judicially in Victoria—

but does not include—

(c) a record which is beneficially owned by a person or body other than the Crown or a public office or a person or body referred to in s. 2B [of the Public Records Act 1973]; or

(d) a prescribed record held for the purpose of preservation by a public office to which it was transferred before the commencement of the Arts Institutions (Amendment) Act 1994 by a person or body other than the Crown or a public office; or

(e) a record, other than a prescribed record, held for the purpose of preservation by a public office to which it was transferred, whether before or after the commencement of the Arts Institutions (Amendment) Act 1994, by a person or body other than the Crown or a public office.

Retention & Disposal Authorities (RDAs)

Standards issued by the Keeper under section 12 of the Act that define the minimum retention periods and consequent disposal action authorised for classes of records which are described in it.

RDAs provide continuing authorisation for the disposal of these classes of records.



Retention Period Period of time that records must be retained by the Federation University.

Temporary A public record which has been appraised by the Keeper of Public Records (‘the Keeper’) as being required to be kept for a specific period of time for legislative or other requirements, before it can be destroyed.

Destruction must be in accordance with standards issued under Section 12 of the Public Records Act 1973.

Temporary records are specified in Retention & Disposal Authorities issued by the Keeper.

These records may only be destroyed upon reaching their retention period in accordance with University policies and procedures. Approval must be granted prior to destruction.

Temporary (Long-term) A public record which has been appraised by the Keeper of Public Records (‘the Keeper’) as being required to be kept for a specific period of time (10 years or more) for legislative or other requirements, before it can be destroyed.

Destruction must be in accordance with standards issued under Section 12 of the Public Records Act 1973.

These records may only be destroyed upon reaching their retention period in accordance with University policies and procedures. Approval must be granted prior to destruction.

Destruction Authorisation

In accordance with the Public Records Act 1973 and PROS 10/10 Strategic Management Standard, destruction of Federation University records may be authorised by the following positions only:

Vice-Chancellor, Federation University Director of Academic Services, Federation University (by authorised delegation), or their nominated delegate.

Physical Destruction

Prior to destruction of any records (other than those destroyed under NAP – see below section on Duplicate Records), departments/schools must complete a Records Destruction Authorisation form outlining the details of the records. Approval must be granted before any records are destroyed.



Once approval has been granted, departments/schools are to place records in a locked confidential document bin. Alternatively, for large amounts the Records Management Unit can arrange disposal.

Transferring Records into University Archives

The Federation University Archives are managed by Records Management Services. The physical location of the archives is at an APROSS situated within the Ballarat region.

To transfer records into the Federation University Archives, departments/schools must follow the instructions on and complete an Archives Lodgement Form.

Records lodged into the University’s Archives may be retrieved later if required.

Records deemed to be of permanent state value will eventually be transferred to PROV.

Duplicate Records

Normal administrative practice (NAP) covers the destruction of ephemeral material of a facilitative or duplicate nature created, acquired or collected by University employees during the course of their duties. The destruction of some public records is permitted under normal administrative practice (NAP).

The following material may be destroyed under NAP:

Working papers consisting of rough notes and calculations used solely to assist in the preparation of other records such as correspondence, reports and statistical tabulations;

Drafts not intended for retention as part of the University’s records, the content of which has been reproduced and incorporated in the University’s EDRMS; and

Extra copies of documents and published material preserved solely for reference.

Unidentified Records

If a record type is not listed in this document, it must not be destroyed until approval has been obtained through Record Management Servcices.



In the case of a record type not being listed, notify Records Management Services in writing detailing the record type, giving a description of the record type, a category it should be placed with and a suggested retention period. Records Management Services will then determine the retention requirements for that record type and take the necessary steps to amend the University’s Records Retention and Disposal document.

For records that are not listed that you would like to have destroyed, a full disposal list describing each record must be provided to Records Management Services to seek approval for their destruction.

Under no circumstances should any records be destroyed unless it is in compliance with this document or approval has been granted through Records Management Services.

Additional Resources and Assistance

For enquiries and further assistance regarding the retention and disposal of University records, refer to the Records Framework Policy and Procedure, or contact the Records Management Services by emailing [email protected].


mailto:[email protected]


Reading this Document

Use the Functions and Subjects list, find the category which represents the records you are assessing and go to the corresponding page. Functions are listed in this document in alphabetic order. Subjects within Functions are listed alphabetically.

Under the Activity column, determine which activity describes the records (use the Description column for more information and examples). Activities are listed alphabetically.

The Retention column specifies how long those particular records need be kept.

Refer to the Action Required by Staff (for hardcopy records) for instructions.

A function, subject and activity can be written using the format: Function – Subject – Activity eg COMMITTEES – Advisory Committees – Establishment and appointment of members.

Record Classifications and Requirements


This level represents a function within the University.

These levels are represented in capitals in the Functions and Subjects list. Functions are listed alphabetically.

Below is a description of the function.

This level represents a subject within the function. There are multiple subjects within a function. Subjects are listed alphabetically within the Function.

Below is a description of the subject.

This column represents an activity within the subject. There may be multiple activities within a subject. Activities are listed alphabetically within the Subject.

This column provides a description of the activity. Examples of records which fall into the activity may be provided.

This column provides details of the specific retention period which must be applied to the records of the activity.

This column represents an activity within the subject.


CAMPUS SERVICES.............................................................................................................................................................................................................................. 21

Child Care....................................................................................................................................................................................................................................... 21

Health Care..................................................................................................................................................................................................................................... 23

COMMITTEES...................................................................................................................................................................................................................................... 26

Advisory.......................................................................................................................................................................................................................................... 26

External [Convened by UB]............................................................................................................................................................................................................. 28

External [Not convened by UB]......................................................................................................................................................................................................29

Facilitation of Meetings.................................................................................................................................................................................................................. 31

Internal [Operational]..................................................................................................................................................................................................................... 32

Internal [Strategic].......................................................................................................................................................................................................................... 33

University Council........................................................................................................................................................................................................................... 34

COMMUNITY ENGAGEMENT.............................................................................................................................................................................................................. 36

Addresses and Presentations.......................................................................................................................................................................................................... 36

Celebrations, Ceremonies and Functions....................................................................................................................................................................................... 38

Complaints [From public]............................................................................................................................................................................................................... 39

Conferences [Convened by UB]...................................................................................................................................................................................................... 42

Conferences [External]................................................................................................................................................................................................................... 43

Customer Service............................................................................................................................................................................................................................ 44

Donations....................................................................................................................................................................................................................................... 45

Enquiries and Public Reactions.......................................................................................................................................................................................................47

Exhibitions...................................................................................................................................................................................................................................... 49

Fundraising..................................................................................................................................................................................................................................... 52



Grant Allocation.............................................................................................................................................................................................................................. 53

Grant Funding Received................................................................................................................................................................................................................. 56

Greetings........................................................................................................................................................................................................................................ 58

Liaison............................................................................................................................................................................................................................................. 59

Marketing....................................................................................................................................................................................................................................... 60

Media Relations.............................................................................................................................................................................................................................. 62

Security........................................................................................................................................................................................................................................... 65

Sponsorship.................................................................................................................................................................................................................................... 66

Visits and Tours.............................................................................................................................................................................................................................. 67

CONTRACTING-OUT............................................................................................................................................................................................................................ 71

Consultants..................................................................................................................................................................................................................................... 71

Contractors..................................................................................................................................................................................................................................... 72

Contracts........................................................................................................................................................................................................................................ 73

Tendering....................................................................................................................................................................................................................................... 75

EQUIPMENT AND STORES.................................................................................................................................................................................................................. 79

Acquisition...................................................................................................................................................................................................................................... 79

Allocation........................................................................................................................................................................................................................................ 81

Delivery........................................................................................................................................................................................................................................... 82

Disposal.......................................................................................................................................................................................................................................... 83

Maintenance.................................................................................................................................................................................................................................. 84

Security........................................................................................................................................................................................................................................... 84

Stocktake........................................................................................................................................................................................................................................ 86



Storage........................................................................................................................................................................................................................................... 87

Usage.............................................................................................................................................................................................................................................. 88

FACILITIES MANAGEMENT.................................................................................................................................................................................................................. 90

Accidents, Damage & Illegal Entry.................................................................................................................................................................................................. 90

Acquisition...................................................................................................................................................................................................................................... 91

Conservation.................................................................................................................................................................................................................................. 93

Construction and Renovation......................................................................................................................................................................................................... 94

Disposal.......................................................................................................................................................................................................................................... 96

Fit-Outs........................................................................................................................................................................................................................................... 97

Installation...................................................................................................................................................................................................................................... 98

Insurance........................................................................................................................................................................................................................................ 99

Leasing.......................................................................................................................................................................................................................................... 102

Leasing-Out................................................................................................................................................................................................................................... 104

Maintenance................................................................................................................................................................................................................................ 105

Moving.......................................................................................................................................................................................................................................... 110

Pest Control.................................................................................................................................................................................................................................. 111

Planning........................................................................................................................................................................................................................................ 112

Security......................................................................................................................................................................................................................................... 113

FINANCIAL MANAGMENT................................................................................................................................................................................................................. 115

Accounting.................................................................................................................................................................................................................................... 115

Asset Register............................................................................................................................................................................................................................... 119

Audit............................................................................................................................................................................................................................................. 121



Authorisation [Financial Delegation]............................................................................................................................................................................................ 123

Budgeting..................................................................................................................................................................................................................................... 124

Financial Statements.................................................................................................................................................................................................................... 128

Fraud............................................................................................................................................................................................................................................ 130

Fundraising................................................................................................................................................................................................................................... 132

Loans Management...................................................................................................................................................................................................................... 133

Pecuniary Interests....................................................................................................................................................................................................................... 133

Procedures................................................................................................................................................................................................................................... 135

Salaries......................................................................................................................................................................................................................................... 136

Taxation........................................................................................................................................................................................................................................ 137

FLEET MANAGEMENT....................................................................................................................................................................................................................... 139

Accidents...................................................................................................................................................................................................................................... 139

Acquisition.................................................................................................................................................................................................................................... 140

Disposal........................................................................................................................................................................................................................................ 141

Infringements............................................................................................................................................................................................................................... 142

Insurance...................................................................................................................................................................................................................................... 143

Leasing.......................................................................................................................................................................................................................................... 145

Maintenance................................................................................................................................................................................................................................ 146

Usage............................................................................................................................................................................................................................................ 148

GOVERNMENT RELATIONS............................................................................................................................................................................................................... 151

Advice........................................................................................................................................................................................................................................... 151

Appointments............................................................................................................................................................................................................................... 152



Cabinet Business Management....................................................................................................................................................................................................154

Inquiries........................................................................................................................................................................................................................................ 155

Joint Ventures............................................................................................................................................................................................................................... 157

Legislation..................................................................................................................................................................................................................................... 158

Representations [Including Parliamentary Questions].................................................................................................................................................................161

Submissions.................................................................................................................................................................................................................................. 163

Visits............................................................................................................................................................................................................................................. 164

HUMAN RESOURCES......................................................................................................................................................................................................................... 167

Allowances.................................................................................................................................................................................................................................... 167

Appeals......................................................................................................................................................................................................................................... 168

Employment Conditions............................................................................................................................................................................................................... 169

Employee Counselling.................................................................................................................................................................................................................. 173

Evaluation..................................................................................................................................................................................................................................... 174

Grievances [Employee]................................................................................................................................................................................................................. 175

Individual Workplace Agreement................................................................................................................................................................................................. 176

Leave............................................................................................................................................................................................................................................ 177

Misconduct [Employee Discipline]................................................................................................................................................................................................ 179

Moving.......................................................................................................................................................................................................................................... 181

Performance Management........................................................................................................................................................................................................... 182

Positions....................................................................................................................................................................................................................................... 183

Recruitment.................................................................................................................................................................................................................................. 185

Salaries......................................................................................................................................................................................................................................... 188



Security Checks and Registers......................................................................................................................................................................................................189

Travel............................................................................................................................................................................................................................................ 190

INDUSTRIAL RELATIONS.................................................................................................................................................................................................................... 192

Advice........................................................................................................................................................................................................................................... 192

Appeals......................................................................................................................................................................................................................................... 193

Disputes........................................................................................................................................................................................................................................ 195

Industrial Action........................................................................................................................................................................................................................... 196

Workplace Agreements................................................................................................................................................................................................................ 197

INFORMATION MANAGEMENT........................................................................................................................................................................................................ 199

Acquisition.................................................................................................................................................................................................................................... 199

Audit............................................................................................................................................................................................................................................. 200

Conservation................................................................................................................................................................................................................................ 202

Control.......................................................................................................................................................................................................................................... 204

Customer Service.......................................................................................................................................................................................................................... 206

Disposal........................................................................................................................................................................................................................................ 207

Freedom of Information (FOI)......................................................................................................................................................................................................212

Mail Management........................................................................................................................................................................................................................ 214

Privacy.......................................................................................................................................................................................................................................... 215

Security......................................................................................................................................................................................................................................... 217

Storage......................................................................................................................................................................................................................................... 218

LEGAL SERVICES................................................................................................................................................................................................................................ 222

Advice........................................................................................................................................................................................................................................... 222



Agreements.................................................................................................................................................................................................................................. 224

Compensation.............................................................................................................................................................................................................................. 225

Intellectual Property..................................................................................................................................................................................................................... 226

Litigation....................................................................................................................................................................................................................................... 228

Research....................................................................................................................................................................................................................................... 229

Whistleblower’s Protection.......................................................................................................................................................................................................... 231

OCCUPATIONAL HEALTH AND SAFETY..............................................................................................................................................................................................232

Accidents...................................................................................................................................................................................................................................... 232

Advice........................................................................................................................................................................................................................................... 236

Appeals [Decisions]....................................................................................................................................................................................................................... 237

Compensation.............................................................................................................................................................................................................................. 238

Compliance................................................................................................................................................................................................................................... 240

Health Promotion......................................................................................................................................................................................................................... 242

Inspections................................................................................................................................................................................................................................... 243

Planning........................................................................................................................................................................................................................................ 245

Rehabilitation............................................................................................................................................................................................................................... 246

Representations........................................................................................................................................................................................................................... 247

Risk Management......................................................................................................................................................................................................................... 248

POLICIES AND PROCEDURES............................................................................................................................................................................................................. 250

Government-wide Policy.............................................................................................................................................................................................................. 250

Procedures................................................................................................................................................................................................................................... 251

University-wide Policy.................................................................................................................................................................................................................. 253



PROGRAM APPROVAL...................................................................................................................................................................................................................... 256

Curriculum Management.............................................................................................................................................................................................................. 256

PROGRAM DELIVERY........................................................................................................................................................................................................................ 259

Assessment................................................................................................................................................................................................................................... 259

Attendance................................................................................................................................................................................................................................... 261

Course Delivery............................................................................................................................................................................................................................. 262

Exchange Programs...................................................................................................................................................................................................................... 265

Thesis............................................................................................................................................................................................................................................ 266

Work Placement Program............................................................................................................................................................................................................ 268

PUBLICATIONS.................................................................................................................................................................................................................................. 269

Copyright [Intellectual Property].................................................................................................................................................................................................. 269

Corporate Style............................................................................................................................................................................................................................. 271

Distribution................................................................................................................................................................................................................................... 274

Drafting......................................................................................................................................................................................................................................... 275

Photographs and Films................................................................................................................................................................................................................. 276

Production.................................................................................................................................................................................................................................... 277

Publications.................................................................................................................................................................................................................................. 279

Stocktake...................................................................................................................................................................................................................................... 280

REPORTING....................................................................................................................................................................................................................................... 282

Administrative.............................................................................................................................................................................................................................. 282

Annual.......................................................................................................................................................................................................................................... 283

Functional..................................................................................................................................................................................................................................... 283



Input to University Reports.......................................................................................................................................................................................................... 284

RESEARCH......................................................................................................................................................................................................................................... 286

Collection and Analysis of Data....................................................................................................................................................................................................286

Facility Management.................................................................................................................................................................................................................... 287

Management................................................................................................................................................................................................................................ 289

Outcomes..................................................................................................................................................................................................................................... 291

STAFF DEVELOPMENT...................................................................................................................................................................................................................... 293

Advice........................................................................................................................................................................................................................................... 293

Conferences [External]................................................................................................................................................................................................................. 295

Evaluation..................................................................................................................................................................................................................................... 297

Planning........................................................................................................................................................................................................................................ 299

Social Clubs................................................................................................................................................................................................................................... 300

Training [Employees].................................................................................................................................................................................................................... 301

STRATEGIC MANAGEMENT............................................................................................................................................................................................................... 307

Customer Service Strategy............................................................................................................................................................................................................ 307

Planning........................................................................................................................................................................................................................................ 308

Project Management.................................................................................................................................................................................................................... 310

Restructuring................................................................................................................................................................................................................................ 311

Risk Management......................................................................................................................................................................................................................... 313

STUDENT ADMINISTRATION............................................................................................................................................................................................................. 314

Alumni.......................................................................................................................................................................................................................................... 314

Enrolment Management.............................................................................................................................................................................................................. 315



Graduation................................................................................................................................................................................................................................... 318

Grievances [Student].................................................................................................................................................................................................................... 320

Scholarships and Prizes................................................................................................................................................................................................................. 321

STUDENT RECRUITMENT.................................................................................................................................................................................................................. 324

Marketing..................................................................................................................................................................................................................................... 324

STUDENT SUPPORT........................................................................................................................................................................................................................... 326

Accommodation........................................................................................................................................................................................................................... 326

Counselling................................................................................................................................................................................................................................... 327

Special Needs............................................................................................................................................................................................................................... 330

TECHNOLOGY AND TELECOMMUNICATIONS...................................................................................................................................................................................333

Acquisition.................................................................................................................................................................................................................................... 333

Allocation...................................................................................................................................................................................................................................... 335

Application Development............................................................................................................................................................................................................. 338

Audit............................................................................................................................................................................................................................................. 341

Control.......................................................................................................................................................................................................................................... 342

Customer Service.......................................................................................................................................................................................................................... 345

Data Administration..................................................................................................................................................................................................................... 346

Database Management................................................................................................................................................................................................................ 347

Evaluation..................................................................................................................................................................................................................................... 348

Implementation and Installation..................................................................................................................................................................................................349

Inspections................................................................................................................................................................................................................................... 350

Leasing.......................................................................................................................................................................................................................................... 351



Licenses........................................................................................................................................................................................................................................ 352

Maintenance................................................................................................................................................................................................................................ 353

Security......................................................................................................................................................................................................................................... 354



CAMPUS SERVICES

The function of managing and delivering support services available on any Federation University campus to staff and students.

Child Care

Matters relating to the enrolment, care and management of clients and child care facilities.

Activity Description Retention Action Required by Staff (for hardcopy records)

Administration Records relating to the operation and maintenance of Federation University child care facilities.

Includes:

fee assessment; instructions for the use of facilities; meal requests; dietary requirements; meal planning; catering orders; laundry and cleaning documentation; surveys/feedback forms; activity bookings; and stationery orders.

TemporaryDestroy 3 years following date of creation of the record.Disposal Authority Reference:17.3.0 (0201)

Retain records in department/school for 3 years after creation.

Prior to destroying records, a Records Disposal Authorisation form must be completed and submitted to the Records Management Unit to gain the required approval.

Only upon destruction approval being granted should records be placed in a confidential document bin for appropriate disposal.

ORLodge records into the Federation University Archives using established

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procedures.

Application and Selection Records related to the registration of children for a place at a Federation University child care facility amid the selection of successful applicants.

Includes:

application forms; interview records; and selection documentation.

TemporaryDestroy 1 year following date of decision.Disposal Authority Reference:17.2.0 (0201)

Retain records in department/school for 1 year after decision has been made.



ORLodge records into the Federation University Archives using established procedures.

Client Management Records relating to the enrolment, care and management of children within Federation University child care services.

Includes:

Temporary (Long Term)Destroy 25 years following last attendance.Disposal Authority Reference:17.1.0 (0201)

Retain records in department/school until client’s last attendance.

Lodge records into the Federation University



client files; injury reports; first aid administration reports; attendance records; medical reports; and special needs eg health and dietary.

Archives on an annual basis using established procedures.

Health Care

The examination and treatment of medical and dental patients, the administration or prescription of medicines, and the management of bookings.


Appointment Management Records relating to the management of patient bookings.

Includes:

appointment books; and registers.

TemporaryDestroy 1 year following date of last entry.Disposal Authority Reference:18.3.0 (0201)

Retain records in department/school for 1 year after last entry has been made.



OR



Lodge records into the Federation University Archives using established procedures.

Patient Management Records relating to individual patients.

Includes:

patient and client files; medical records; and dental records.

TemporaryDestroy 7 years following last attendance, or access on behalf of the patient, provided the patient has reached 25 years of age.Disposal Authority Reference:18.1.0 (0201)

Note: For patients under the age of 25 at the time of last attendance or access, the 7 year retention period will be determined from that person’s 25th birthday.

Retain records in department/school until last attendance or the last date of access.

Lodge records into the Federation University Archives on an annual basis using established procedures.

Prescription and Drug Management

Records relating to the management of the prescription and administration of medicines.

Includes:

drug registers; prescription file copies; medicine/drug orders and deliveries; and drug administration registers and records.

TemporaryDestroy 3 years following date of last entry.Disposal Authority Reference:18.2.0 (0201)

Retain records in department/school for 3 years after date of last entry.

Prior to destroying records, a Records Disposal Authorisation form must be completed and submitted to the Records Management Unit to gain



the required approval.





COMMITTEES

The functions associated with the management of committees that include elected or appointed management bodies, including University Council.

Note: For meetings not held by committee, refer to the relevant function and activity the meeting was held to support.

Note: For records of pecuniary interests, use FINANCIAL MANAGEMENT – Pecuniary Interests.

Note: For records documenting pre-appointment security checks (vetting), use HUMAN RESOURCES – Security.

Note: For records associated with government inquiries, refer to GOVERNMENT RELATIONS – Inquiries.

Advisory

Committees that perform an advisory role relating to the University's operations and consist of external stakeholders, eg industry committees.


Agendas, Minutes and Reports [Master]

Master set of minutes, agendas, reports, submissions and other meeting papers.

Permanent (State Archive)

Retain as a state archive.

These records will be transferred to PROV when administrative use by the University has concluded.

Disposal Authority Reference:1.1.3 (0701)


These records must not be destroyed.

Establishment and Appointment of Members

Records relating to the establishment of a University Permanent (State Lodge records into the Federation University

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advisory committee.

Includes:

successful appointments; and resignations of members.

Archive)






Unsuccessful Nominations and Appointments

Records documenting unsuccessful nominations / appointments of members to University advisory committees.

Temporary

Destroy 2 years after action completed.


Retain records in department/school for 2 years after last action has been completed.



OR




Archives using established procedures.

External [Convened by UB]

External or inter-agency committees which have been convened by the University or where the University provides the Secretariat.

Note: For records of committees where the University does not provide the Secretariat, see COMMITTEES – External [Not convened by UB]

Activity Description & Examples Retention Action Required by Staff (for hardcopy records)










Records relating to the establishment of a committee, including the appointment of members.



These records will be transferred to PROV when




administrative use by the University has concluded.



External [Not convened by UB]

External or inter-agency committees which has not been convened by the University or where the University does not provide the Secretariat.

Note: For records related to committees where the University does provide the Secretariat, see COMMITTEES – External [Convened by UB]



University copies of minutes, agendas, reports, submissions and other meeting papers.

Temporary





Only upon destruction approval being granted should records be placed in a confidential document bin



for appropriate disposal.

OR



Records relating to the establishment of a committee, including the appointment of members.

Temporary






OR

Lodge records into the Federation University Archives using established



procedures.

Facilitation of Meetings

The activities associated with arranging and facilitating meetings of the University Council and sub-committees, all boards and other committees.


Administration Records of a general administrative nature relating to the management of University boards and committees.

Includes:

The preparation and circulation of minutes to members;

attendance arrangements; facility arrangements; and expressions of thanks.

Note: For financial records relating to the facilitation of meetings, use FINANCIAL MANAGEMENT – Accounting.

Temporary

Destroy when administrative use has concluded.


Retain records in department/school until administrative use has been concluded.



Internal [Operational]

Internal committees established for operational purposes that do not determine policy direction or strategic planning of the University.



Includes working groups, adhoc committees and staff meetings of departments or schools.




Temporary



Retain records in department/school until administrative use has concluded.



Internal [Strategic]

Internal committees established to determine policy and for planning purposes, including meetings of senior management within the University.

Activity Description & Examples Retention Action Required by Staff



(for hardcopy records)


Master set of minutes, agendas and related papers. Permanent (State Archive)






University Council

University Council and all sub-committees as established as a requirement of, or under legislation.













Records relating to the establishment and ongoing membership of the University Council and all sub-committees.

Includes:

Council Member appointments; and Council Member resignation.







Unsuccessful Nominations and Appointments

Records documenting unsuccessful nominations or applications for University Council membership.

Temporary








OR




COMMUNITY ENGAGEMENT

The function of establishing relationships with the community and raising and maintaining the University's broad public profile.

Includes marketing, advertising, media liaison, exhibitions, celebrations, ceremonies, speeches, official representation at functions and participation in community activities.

Also includes relationships with professional bodies and industry, the management of customer services, handling reactions to those services, customer consultation and feedback.

Addresses and Presentations

The activity of giving addresses for community relations purposes.


Major Public Occasions Final version of addresses made at major public occasions which are a significant event to the business of the University.

May include addresses on policy, strategic direction or new services, products or partnerships of the University.

Includes:

addresses made by senior University officers; and addresses that were never presented.







Routine Promotions Final version of addresses delivered or intended to be delivered on the routine promotion of the University's service or products.

Temporary

Destroy 2 years after last

Retain records in department/school for 2 years after last action has

CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – COMMUNITY ENGAGEMENT Page 35 of 333


action.


been completed.



OR


Working Papers Working papers documenting the development of all addresses.

Temporary

Destroy when reference ceases.


Retain records in department/school until reference ceases.






Celebrations, Ceremonies and Functions

The activities associated with arranging and managing festivities to honour a particular event.

Includes launches, closures, award ceremonies etc.


Administration Records relating to the administrative arrangements for events.

Includes:

invitations; acceptances; guest lists; catering; and venue.

Note: For associated financial records, use FINANCIAL MANAGEMENT – Accounting.

Temporary





Only upon destruction approval being granted



should records be placed in a confidential document bin for appropriate disposal.

OR


Complaints [From public]

Enquiries and correspondence about complaints received by members of the public or clients (only) of the University.


Processes and Procedures Records documenting complaint processes and procedures.

Temporary



Retain records in department/school until last action has been completed.


Responses [Detailed] Records documenting the receipt and response to individual complaints which require a detailed response on University actions, policy or procedures.

Temporary

Destroy 5 years after administrative use has

Retain records in department/school until administrative use has



concluded.


concluded.


Responses [Routine] Records documenting the receipt and response to individual complaints which require routine responses on University actions, policy or procedures.

Includes:

standard responses.

Temporary

Destroy 2 years after administrative use has concluded.


Retain records in department/school for 2 years after administrative use has concluded.



OR




procedures.

Responses [Significant Change]

Records documenting the receipt and response to complaints which result in changes to University or government policy or procedures.







Conferences [Convened by UB]

The activities involved in arranging conferences or seminars.

Includes the management of registrations for participants, publicity and evaluations by participants.


Administration Records documenting arrangements to hold conferences.

Includes:

program development; arranging speakers;

Temporary




Prior to destroying



promotion and publicity; registration management; venue bookings and management; draft programs; invitations; and catering arrangements.

records, a Records Disposal Authorisation form must be completed and submitted to the Records Management Unit to gain the required approval.


OR

Lodge records into the Federation University Archives on using established procedures.

Transcripts and Speeches [Master]

Master copies of transcripts and speeches, proceedings and reports presented at conferences convened by the University.







Conferences [External]



The activities involved in arranging papers for externally run conferences or seminars.


Professional Staff Papers Papers presented by University staff to conferences as part of their own professional development.

Permanent (University Archive)

Retain as a University archive.



Official University Papers Papers presented by University staff to conferences convened by other organisations and which address the University's policy, strategic direction or new services, products or partnerships.

Note: If a paper is presented at multiple conferences, only one version is to be retained as State Archives.







Customer Service

The activities associated with planning, monitoring and evaluation of customer services provided to clients of the University.

Note: Does not include customer services strategies and charters.




Services to Public [Management]

Records documenting the management of specific customer services provided to the public, e.g. managing an enquiry desk, a telephone information service or interpreter service.

Includes:

planning, monitoring and evaluation of services, e.g. carrying out customer surveys.

Temporary






OR

Lodge records into Federation University Archives using established procedures.

Donations

The activities associated with managing money, items, artefacts or property donated or bequeathed to the University, or by the University to



charities.

Includes managing unsolicited donations.


Donations [By University] Records documenting donations of money, items and services by the University to public organisations and groups, including charities.

Temporary

Destroy 7 years after donation was made.


Retain records in department/school until decision is made.


Non-significant Items Records documenting the receipt, management and disposal of donations of money, items, artefacts or objects which do not have value that impacts on the whole of government or the broader community.

Includes:

approaches for donations; and acknowledgements.

Temporary





Refusal [By University] Records documenting the refusal of donations.

Includes:

return of items not accepted by the University.

Temporary







Archives on annual basis using established procedures.

Significant Items Records documenting the receipt and management of items, artefacts or real property that have a value that impacts on the whole of government or the broader community.

Includes:

approaches for donations; approaches for bequests; and acknowledgements.







Enquiries and Public Reactions

Enquires and correspondence of appreciation or suggestions from members of the public or clients of the University.

Includes enquiries received in relation to the University's core functions.

Note: For complaints from public see COMMUNITY ENGAGEMENT – Complaints [From public]


Processes and Procedures Records documenting the enquiry process and procedures.

Temporary

Destroy 7 years after action

Retain records in department/school until last action has concluded.



completed.



Responses [Detailed] Records documenting the receipt and response to individual enquiries and public reaction which require a detailed response on University actions, policy or procedures but do not result in changes to University or government policy or procedures.

Temporary





Responses [Resulting in Major Change]

Records documenting the receipt and response to individual enquiries and public reaction which result in changes to University or government policy or procedures.







Responses [Routine] Records documenting the receipt and response to individual enquiries and public reaction which require routine responses on University actions, policy or procedures.

Temporary





Includes:

standard responses.

concluded.




OR


Exhibitions

The activities associated with using University material in mounting displays for the purposes of informing or educating the viewer, or promoting the activities, services, projects or programs of the University.


Administration Records relating to the administrative arrangements for the opening and publicising of exhibitions.

Temporary


Retain records in department/school for 3 years after last action has



completed.


been completed.



OR


Design, Installation and Maintenance

Records relating to the design, setting up and ongoing upkeep of exhibitions.

Includes:

drafts; background information; and unused material, (e.g. reproductions of

photographs, etc.).

Temporary




Prior to destroying records, a Records Disposal Authorisation form must be completed and submitted to the Records



Management Unit to gain the required approval.


OR


Fundraising

The activities carried out by the University to receive money or benefit through donations.

Note: For records related to donations, see COMMUNITY ENGAGEMENT - Donations





Event Management Records associated with the planning and organising of fundraising events by the University.

Temporary





Opportunities The records associated with investigating possible fundraising activities.

Temporary






OR




Grant Allocation

Relates to the allocation of financial assistance provided by the University for various grants and funding programs.

Note: For academic scholarships, prizes and awards see STUDENT ADMINISTRATION – Scholarships, Prizes and Awards.


Applications Register Summary record of grant applications that identifies the nature of the application and reasons for acceptance or rejection.







Processes and Procedures Records documenting grant allocation procedures.

Includes:

selection criteria.

Temporary




Lodge records into Federation University Archives on an annual



basis using established procedures.

Successful Applications Records of successful applications for grants.

Includes:

records of the ongoing monitoring of the allocated grant.

Temporary

Destroy 7 years after grant activity has ceased.


Retain records in department/school until grant activity has ceased.

Lodge records into Federation University Archives on an annual basis using established procedures.

Unsuccessful Applications Records of unsuccessful applications for grants. Temporary








OR


Grant Funding Received

The activities associated with the application for and receipt of grants by the University from a government or non-government source.

Note: For financial records related to grant funding see FINANCIAL MANAGEMENT - Accounting


Opportunities Records documenting the identification and selection of grant funding opportunities.

Temporary









OR


Successful Applications Records documenting successful applications made by the University for grant funding received from a government or non-government source.

Temporary





Unsuccessful Applications Records documenting unsuccessful applications made by the University for grant funding from a government or non-government source.

Temporary




Prior to destroying records, a Records



Disposal Authorisation form must be completed and submitted to the Records Management Unit to gain the required approval.


OR


Greetings

The activities associated with preparing, sending and receiving letters/notices of appreciation or condolence.


Preparation and Management

Records documenting the preparation, dispatch and receipt of letters of introduction, appreciation, condolence and greeting cards.

Includes:

Temporary

Destroy when administrative use ceases.



Prior to destroying



mailing lists. records, a Records Disposal Authorisation form must be completed and submitted to the Records Management Unit to gain the required approval.


Liaison

The activities associated with maintaining regular general contact between the University and professional associations, professionals in related fields, private sector organisations and community groups.

Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects.


Non Regulatory Activities Records documenting liaison activities undertaken with:

professional associations; private sector organisations; and community groups.

Note: Does not include liaison carried out for regulatory purposes.

Temporary




Lodge records into the Federation University Archives on an annual basis on an annual basis using established



procedures.

Marketing

The process of analysing and selling products and services.

Includes market research, forecasting, advertising, media releases, promotion, pricing and product evaluation.


Administration Records of a facilitative nature used for the preparation of all marketing campaigns and administrative arrangements.

Temporary

Destroy when references ceases.





Campaigns [Major] Records documenting the planning and final products of Permanent (State Lodge records into the



major marketing campaigns relating to the University's activities.

Includes:

activities such as re-branding after University mergers or restructuring; and

major awareness campaigns.

Note: For records associated with other facets of a University restructure, use HUMAN RESOURCES or STRATEGIC MANAGEMENT.

Archive)




Federation University Archives on an annual basis using established procedures.


Campaigns [Minor] Records documenting the planning and final products of minor marketing campaigns relating to the University's activities.

Includes:

arrangements for advertising campaigns; public launches; and promotional images.

Temporary





Media Relations

The activities associated with establishing a relationship between the media and the University.

Includes cultivating media contacts, coordinating access to the media, authorising and issuing press releases and briefings, and organising media



interviews.


Administration Records relating to administrative arrangements with the media.

Includes:

issuing of media releases; organising interviews; and information and assistance to support media

coverage of an event or promotion of the University's services or products.

Temporary






OR


Media Monitoring Items collected from external media sources. Temporary Retain records in department/school until



Includes:

copies of news cuttings; transcripts; and items from media monitor services, including

those specifically relating to the University's operations.



reference ceases.



Media Releases [Master] Master set of University media releases. Permanent (State Archive)






Media Releases Received [External]

Media releases received from other agencies. Temporary


Disposal Authority Reference:


Prior to destroying



2.15.4 (0701) records, a Records Disposal Authorisation form must be completed and submitted to the Records Management Unit to gain the required approval.


Security

The activities associated with measures taken to protect people/ from accidental or intentional harm or embarrassment.

Note: For security relating to facilities see FACILITIES MANAGEMENT – Security.


Visit Arrangements Records documenting security arrangements for visits to the University by dignitaries and the general public.

Temporary




Lodge records into the



2.16.1 (0701) Federation University Archives on an annual basis using established procedures.

Sponsorship

The activities associated with the provision and receipt of sponsorship for programs and events.

Includes financial support and the provision of other resources.


Provided [By University] Records relating to sponsorship provided by the University to another organisation.

Includes:

sponsorship for sporting or cultural events.

Temporary




Lodge records into the Federation University Archives on an annual basis using established



procedures.

Received [By University] Records relating to sponsorship received by the University from another organisation.

Temporary




Lodge records into the Federation University Archives an annual basis using established procedures.

Visits and Tours

The activities involved in arranging visits by other organisations, the public and students to the University, with a view to inform, educate or promote the services, operation and role of the University.

Includes arranging visits by staff to other organisations.


Arrangements Records documenting arrangements for visits or tours to the University.

Temporary

Destroy 2 years after last action.








OR


Security Security records documenting visitor attendance at the University's premises.

Temporary





Visitor Comments Records documenting comments or suggestions or expressions of gratitude provided by visitors attending the University's premises.

Temporary


Disposal Authority Reference: 2.18.2 (0701)







Visits to External Organisations

Records documenting visits by University representatives to community organisations to promote the image or services of the University.

Includes:

visit reports.

Temporary






OR



CONTRACTING-OUT

The activities involved in arranging, procuring and managing the performance of work or the provision of services by an external contractor or consultant.

Also referred to as out-sourcing/sub-contracting.

Includes the administrative arrangements regarding the engagement of consultants and contractors.

Note: For the records that result from the actual work or services provided by an external contractor or consultant, refer to the function and activity to which they specifically relate.

Consultants

The activities associated with managing the use of consultants for services by the University.

A consultancy refers to an arrangement where an individual or organisation is engaged: to provide expert analysis and advice that facilitates decision-making; to perform a specific, one-off task or set of tasks; or to perform a task involving skills or perform a task involving skills or perspectives that would not normally be expected to reside with the University.


Engagement Records relating to the engagement and use of consultants.

Includes:

copies of specifications; quotations; copies of contracts; and summaries of consultant evaluations.

Temporary

Destroy 7 years after contract expires.


Retain records in department/school until contract has expired.


CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – CONTRACTING-OUT Page 67 of 333


procedures.

Contractors

The activities associated with the management of the use of contractors and suppliers for services by the University.

A contractor is an individual or organisation engaged: to provide goods, works or services which implement a decision; to perform all or part of a new or existing ongoing function to assist the University carry out its defined activities and operational functions; or to perform a function involving skills that would normally be expected to reside within the University but which are not currently available.


Engagement Records relating to the engagement and use of contractors, suppliers and service providers.

Includes:

registers of contractors; and registers of suppliers.

Temporary

Destroy 7 years after term of contract expires.




Contracts

The processes associated with the establishment, maintenance, review and negotiation of agreements and contracts.

Note: For records relating to tendering, use CONTRACTING–OUT – Tendering.




Drafting Records documenting the preliminary drafting process for contracts.

Note: Used for internal purposes only and not subject to formal negotiations.

Temporary






Not Under Seal Records of contracts for smaller-scale activities which are not under seal (simple contracts).

Includes:

records associated with the negotiation process, excluding tender records.

Temporary

Destroy 7 years after contract has expired.






Register Summary records for all contracts managed by the University.

Includes:

contract registers and systems.







Significant Commitment Records that document the formulation and execution of contracts for significant government commitments, such as large-scale government infrastructure projects and public private partnerships (PPPs).

Permanent






Under Seal Records of contracts for smaller-scale activities which are under seal (specialty contracts).

Includes:

records associated with the negotiation process, excluding tender records.

Temporary

Destroy 15 years after contract as expired.






procedures.

Tendering

The activities involved in receiving and assessing tenders for the supply, sale or purchase of goods and services.

Tendering refers to the process of inviting parties to submit an offer by advertisement, followed by evaluation of offers and selecting a successful bidder.

Note: For records relating to the contracts, use CONTRACTING-OUT – Contracts.


Advertising Routine enquiries and arrangements for the advertising of tenders.

Temporary








OR

Lodge records into Federation University Archives using established procedures.

Develop and Issue of Tender Documentation

Records documenting the development and issue of tender documentation.

Includes:

records documenting the development of the evaluation and selection criteria for the tender;

statement of requirements; requests for proposals; requests for expressions of interest; request for tender (RFT); draft contracts; specifications; and quotations.

Temporary

Destroy 7 years after tender process is completed.


Retain records in department/school until tender process is finalised/completed.


Evaluation Evaluation of tenders received against selection criteria.

Includes:

evaluation reports; recommendations; final reports; and public notices.

Temporary

Destroy 7 years after tender process completed.






Post Offer Negotiations and Due Diligence

Records documenting post-offer negotiations and due diligence checks.

Includes:

successful tender submission records.

Temporary

Destroy 7 years after tender process completed.




Unsuccessful Tenders or Tender Processes

Records of unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued.

Includes:

submissions; and notifications of outcomes.

Temporary

Destroy 2 years after tender process completed or decision made not to continue with tender.


Retain records in department/school for 2 years after tender process has completed or a decision not continue has been made.





OR




EQUIPMENT AND STORES

The function of acquiring, supplying, maintaining, repairing and disposing of equipment and stores stocked and used by the University.

Items of equipment include instruments, implements, tools, machines, computers, plant, furniture, furnishings, fixtures and fittings.

Stores include chemicals, hardware items, kitchen/cleaning items, medical supplies and stationery.

Acquisition

The process of gaining ownership or use of equipment and stores.


Did Not Proceed Research into acquisitions of equipment and stores not proceeded with.

Temporary





Only upon destruction approval being granted should records be placed in

CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – EQUIPMENT AND STORES Page 75 of 333


a confidential document bin for appropriate disposal.

No Tender or Contracting-out

Records documenting the acquisition of equipment and stores where there is no tender or contracting-out process.

Includes:

formal requests for quotations; orders; handover reports; and correspondence relating to the acquisition.

Note: For acquisitions requiring tenders or contracts, see CONTRACTING-OUT.

Temporary





Vendor Provided Information

Information provided by vendors relating to equipment and stores.

Temporary








confidential document bin for appropriate disposal.

Allocation

The process of assigning equipment and stores to employees within the University.


Requests and Allocation Records relating to the allocation of equipment or stores to employees within the University.

Includes:

requests for equipment or stores.

Temporary






OR




Federation University Archives using established procedures.

Delivery

The activities involved in the delivery of equipment and stores.


Arrangements Records documenting arrangements for the delivery of equipment and stores to the University.

Temporary





Only upon destruction approval being granted should records be placed in confidential document bin for appropriate disposal.

Disposal



The process of disposing of equipment and stores no longer required by the University by sale, transfer, termination of lease, auction, donation or destruction.


Leased or Owned Records documenting the disposal of equipment and stores leased or owned by the University.

Temporary



Retain records in department/school until last has been completed.


Maintenance

The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external condition of equipment.


Service and Maintenance Records documenting the maintenance of equipment and stores.

Includes:

service records; and

Temporary







maintenance records. 4.5.1 (0701) Archives on an annual basis using established procedures.

Security

The activities associated with measures taken to protect equipment and stores from accidental or intentional damage or from unauthorised access.


Lock Combinations and Key Registers

Records documenting lock combinations and/or keys for equipment or plant such as safes and filing cabinets.

Includes:

key registers.

Temporary






Protection of Equipment and Stores

Records documenting the activities undertaken to protect equipment and stores.

Temporary


Retain records in department/school until last



Includes:

investigations into theft or intentional damage; referral of an alleged incident to law enforcement

authorities.

completed.


action has been completed.


Stocktake

The activities associated with the examination, counting and valuing of goods in the University with the view to reassessing the need for replacing those goods, and to identify missing items and determine the condition of the existing items.


Management Records documenting the stocktake of equipment and stores.

Temporary




Prior to destroying records, a Records Disposal Authorisation form must be completed and



submitted to the Records Management Unit to gain the required approval.


OR


Storage

The activities associated with the storing of equipment and stores.


Goods [Hazardous] Records documenting the storage of hazardous equipment and stores within the University.

Includes:

location management; stock control; identifying substance properties; and

Temporary







condition details.

Note: For the environmental monitoring of hazardous substances, use OCCUPATIONAL HEALTH & SAFETY – Compliance.

procedures.

Goods [Non-hazardous] Records documenting the storage of equipment and stores (excluding hazardous materials) within the University.

Includes:

location management; and stock control.

Temporary






Usage

The activities involved in using equipment and stores.





Manuals and Operating Instructions

Instructions for the use of equipment and stores. Temporary

Destroy when equipment or stores disposed of.


Retain records in department/school until equipment is disposed of.





FACILITIES MANAGEMENT

The function of managing land and working, storage, living or recreational space within premises, and of acquiring, constructing, fitting-out, managing, maintaining, protecting, and disposing of land, facilities and premises.

Includes buildings and land allotments owned, rented, leased or managed by the University.

Also includes the removal of pollutants and waste.

Accidents, Damage & Illegal Entry

The activities associated with managing accidents, damage and illegal entry to University property.


Accidents and Damage [To property]

Records of accidents and damage occurring to property. Temporary

Destroy 7 years after action is completed.




Illegal Entry and Theft Records relating to illegal entry.

Includes:

Temporary



CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – FACILITIES MANAGEMENT Page 85 of 333


incidents of illegal entry resulting in damage and/or theft.

is completed.



Acquisition

The process of gaining ownership or use of property through purchases, donation, bequest or other forms of acquisition.


Deeds and Certificates Deeds and certificates for property owned by the University.

Temporary

Transfer to new owner when property is disposed of.


Retain records in school/department whilst property is owned by the University.

Prior to property transfer, advise the Records Management Services.

Legal Documentation Records relating to the acquisition of property.

Includes:

legal documents relating to a purchase / sale; particulars of sale documents;




Lodge records into the Federation University Archives on an annual basis using established procedure.



board of survey; licenses & rental revision; tender documents; conditions of contracts; and certificates of approval.

Note: For records relating to the leasing of property, use PROPERTY MANAGEMENT – Leasing.




Negotiations [Not proceeded with]

Records documenting the negotiations for properties where the acquisition was not proceeded with.

Temporary.

Destroy 7 years after purchase is suspended.


Retain records in department/school until a decision is made not to proceed with the acquisition.


Conservation

The activities involved in the preservation, protection, restoration and enhancement of properties, including buildings and land.


Preservation, Protection, Restoration and

Records documenting the activities involved in the preservation, protection, restoration and enhancement of

Temporary Retain records in department/school until



Enhancement properties. Destroy when property is disposed of.


property is disposed of.



Preservation, Protection, Restoration and Enhancement [Local Heritage]

Records documenting the activities involved in the preservation, protection, restoration, enhancement, fitting out and renovation of properties owned, leased or managed by the University that are identified as having local significance within a municipal heritage study.

Note: Excludes records of properties identified on the World Heritage Register, the Register of the National Estate, or the Victorian Heritage Register.







Construction and Renovation

The process of making or building a structure. Includes renovations that affect the overall structure of the property.



Note: For refurbishments of properties which do not affect its overall structure, use PROPERTY MANAGEMENT – Fit-outs.

Note: For renovations of properties identified as having local heritage significance see FACILITIES MANAGEMENT – Conservation -

Preservation, Protection, Restoration and Enhancement [Local heritage]


Properties [Government owned]

Records documenting construction and renovation activities carried out on government owned properties.

Includes:

‘as built’ construction plans.







Properties [Not government owned]

Records documenting construction and renovation activities carried out on non-government owned properties.

Includes:

‘as built’ construction plans.

Temporary (Long-term)

Destroy 15 years after property is no longer occupied.


Retain records in department/school until property is no longer occupied.


Not Proceeded Records documenting construction and renovation activities for properties which are not proceeded with.

Temporary Retain records in department/school until a



Destroy 7 years after decision to suspend construction or renovation activities.


decision is made to suspend activities.


Disposal

The process of disposing of property (land, buildings) no longer required by the University, by sale, transfer, auction, donation or destruction.


University Property Records of the disposal of property. Permanent (State Archive)








Fit-Outs

The process of refurbishing a workplace that does not affect the overall structure of the property.

Includes painting, floor coverings, furnishings, furniture, partitions and wall fittings and equipment.

Note: For changes to property that affect structure, use FACILITIES MANAGEMENT – Construction & Renovation.

Note: For refurbishments of properties identified as having local heritage significance see FACILITIES MANAGEMENT – Conservation -

Preservation, protection, restoration and enhancement [Local heritage]


Properties [No asbestos] Records documenting fit-outs of properties. Temporary (Long-term)

Destroy 15 years after fit-out is completed.


Retain records in department/school until fit-out is completed.

Lodge records into the Federation University Archives on an annual




Properties [With asbestos] Records document fit-outs of properties where asbestos was present.


Destroy 100 (one hundred) years after the property is disposed of.


Retain records in department/school until property is disposed of.


Installation

Activities involved in placing equipment in position and connecting and adjusting it for use.


Equipment Records documenting installation of equipment (e.g. heating, plumbing, air-conditioning, security equipment and cabling) in properties.

Includes:

arranging installations; and location details.

Temporary

Destroy after replacement of equipment.


Retain records in department/school until equipment is replaced.





Equipment [Exclusive use by public]

Records documenting the installation of equipment intended for exclusive or extensive use by the public.


Destroy 25 years after removal or replacement of equipment.


Retain records in department/school until equipment has been removed or replaced.


Insurance

The process of taking out insurance policies to cover loss or damage to property and to cover the University against damage to another organisation’s property as well as injury to members of the public visiting University property or using University facilities.

Note: For financial records see FINANICAL MANAGEMENT.


Claims Records documenting insurance claims. Temporary







Federation University Archives on an annual basis using established procedures.

Policy Renewals Records relating to annual renewal of insurance policies. Temporary






OR




Property and Public Liability Policies

Records of insurance policies including property insurance and public liability insurance.

Temporary

Destroy 7 years after policy expires.


Retain records in department/school until policy has expired.


Policy Renewals Records relating to annual renewal of insurance policies. Temporary






OR





Leasing

The activities involved in leasing accommodation, premises or real estate from another organisation.


Externally Owned Property [Administration]

Records documenting ongoing administrative matters regarding the leasing arrangements for a property.

Temporary



Retain records in department/school for 2 years last action has been completed.



OR





Externally Owned Property [Negotiations and Agreements]

Records documenting the leasing by the University of property belonging to another organisation.

Includes:

space and accommodation assessments; negotiations; cost-benefit analysis; assessments; and signed leases.

Temporary

Destroy 7 years after lease expires or is terminated.


Retain records in department/school until lease has expired or is terminated.


Leasing-Out

The activities involved in leasing-out University accommodation, premises or real estate to another organisation or person for a specified period and agreed price.

Includes the formal documentation setting out conditions, rights, responsibilities etc. of both parties.

Also includes sub-leasing.




University owned property [Negotiations and Agreements]

Records relating to the leasing-out of premises belonging to the University.

Includes:

Negotiations; and signed leases.

Temporary

Destroy 7 years after expiry of lease.


Retain records in department/school until lease has expired.


University owned property [Administration]

Records documenting ongoing administrative matters regarding the leasing arrangements for a property.

Temporary








OR


Maintenance

The activities associated with the upkeep and repair of internal / external conditions of premises.


Contaminated Land Records documenting the identification and restoration of contaminated land.







Cooling Towers and Essential Services

Records documenting the maintenance, repair and testing of cooling tower systems and other essential services.

Includes:

operating and maintenance manuals;

Temporary







test results; and service log sheets. basis using established procedures.

Hazardous Material Removal [Building fabric]

Records documenting the removal and disposal of hazardous materials (including asbestos) from the fabric of the building.


Destroy 100 (one hundred) years after removal of hazardous materials.


Retain records in department/school until hazardous materials are removed.


Hazardous Material Removal [Non building fabric]

Records documenting the removal, storage and disposal of hazardous waste and materials that are not from the fabric of the building, e.g. chemicals or pesticides.


Destroy 30 (thirty) years after removal of hazardous waste.


Retain records in department/school until hazardous materials are removed.


Hazardous Substance Register

Hazardous substance register (including asbestos register) identifying substance properties and details of their condition.


Destroy 100 (one hundred) years after last entry.

Retain records in department/school until last entry is made.





Major Repairs [Post disaster]

Records documenting major repairs made to properties after a disaster, e.g. fire, floods etc.

Temporary

Destroy when property is disposed of.


Retain records in department/school until property is disposed of (no longer owned by the University).



Non-toxic Waste Removal Records documenting the removal of non-toxic waste. Temporary



Retain records in department/school for 2 years last action has been completed.

Prior to destroying





OR


Routine Records documenting routine upkeep, repair and maintenance activities, e.g. cleaning, painting, grounds maintenance and electrical maintenance.

Note: For records of structural maintenance on property or equipment intended for exclusive or extensive use by the public see FACILITIES MANAGEMENT – Maintenance - Structural or Equipment [Exclusive use by public].

Temporary








OR


Structural or Equipment [Exclusive use by public]

Records documenting the structural maintenance of property or equipment intended for exclusive or extensive use by the public.

Note: For records of routine maintenance on property or equipment, see FACILITIES MANAGEMENT – Maintenance – Routine.

Temporary





Moving

The process of relocation of the University, department, school or business unit.


Relocation Management Records relating to the moving of business activities from one property to another.

Temporary Retain records in department/school until last



Includes

Inventories; castings; and removalist records.




Lodge records into the Federation University Archives on an annual basis using established procedures

Pest Control

The activities associated with the controlling, destroying or repelling of pests.


Administration Records relating to pest and infestation control. Temporary







Planning

The process of formulating ways in which objectives can be achieved.


Disaster Plans Records documenting the devising of disaster plans for disasters such as fire and floods to property both leased and owned.

Temporary

Destroy after plan superseded.


Retain records in department/school until plan is superseded.



Property Management Records documenting the devising of plans (other than Temporary Retain records in



Plans disaster plans) relating to property management.

Includes:

plans devised for the management of worksites during renovation; and

other maintenance activities.



department/school until last action has been completed.


Security

The activities associated with measures taken to protect property from accidental or intentional damage or from unauthorised access.


Property Guarding Records documenting property guarding, surveillance, and patrol operations.

Includes:

records of electronic security systems; security reports; and rosters.

Temporary





Surveillance Footage Surveillance camera footage. Temporary

Destroy when administrative use has




concluded.


concluded.





FINANCIAL MANAGMENT

The function of managing the University's financial resources.

Includes establishing, operating and maintaining accounting systems, controls and procedures, financial planning, framing budgets and budget submissions, obtaining grants, managing funds in the form of allocations from the Consolidated Fund and revenue from charging, trading and investments.

Also includes the monitoring and analysis of assets to assist the delivery of economic and social services to government, industry and the community.

Accounting

The process of collecting, recording, classifying, summarising and analysing information on financial transactions, and subsequently on the financial position and operating results of the University.


Chart of Accounts Records documenting the University’s chart of accounts. Temporary

Destroy 7 years after the completion of the financial year in which the record was created.




Debt Recovery Records documenting the management of debt recovery. Temporary Retain records in department/school until last

CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – FINANCIAL MANAGEMENT Page 108 of 333






Establishment and Closure of Bank Accounts

Records documenting the establishment of University bank accounts.

Includes records that document the closure of the bank account.

Temporary

Destroy 7 years after account has been closed.


Retain records in department/school until account has been closed.


Incidental Benefits Records documenting the management of incidental benefits received by University personnel, e.g. frequent flyer points.

Temporary



Retain records in department/school until account has been closed.


Management of Banking activities

Records documenting the management of banking activities.

Includes:

Temporary

Destroy 7 years after the completion of the financial year in which the record

Retain records in department/school until the completion of the relevant financial years.



deposit records; bank statements; bank reconciliation statements; investment and dividend statements; and records documenting use of credit cards.

was created.



Processes and Procedures Records documenting the administrative process in handling money and financial records, i.e. records which do not document University revenue and expenditure.

Temporary



Retain records in department/school for 2 years after the year in which the record was created.



OR




Revenue and Expenditure Principal accounting records and associated supporting records related to managing the University’s revenue and expenditure.

Includes:

sales/purchase invoices and receipts; orders for the payment of money; bills of exchange; cheques; promissory notes; credit notices; petty cash records; cash books; journals; ledgers; and other records of prime entry.

Temporary





Surplus and Obsolete Forms

Records documenting the management of surplus obsolete or damaged accountable forms.

Temporary





Asset Register



The activities involved in recording in a subsidiary ledger all fixed assets owned by the University.

Includes the date of purchase, depreciation expense, written down value as well as stocktaking and auditing notations.


Listings [Master] Summary record listing of the University’s assets, such as an asset registers.







Preparation and management

Records associated with listing and preparing lists of items and assets in the possession of the University.

Temporary



Retain records in department/school for 2 years after administration use has concluded.






OR


Valuation Records documenting asset valuation and asset management processes.

Includes:

requests for inclusion on the asset register.

Temporary





Audit

The activities associated with officially checking financial records to ensure they have been kept and maintained in accordance with agreed or legislated standards.




Final reports [Minor or no change]

Final report of an internal or external (e.g. undertaken by the Victorian Auditor-General’s Office or a private accountancy firm) financial audit that results in no changes or only minor or routine changes to University practices.

Temporary

Destroy 5 years after audit is completed.


Retain records in department/school until audit is completed.


Final reports [Significant change]

Final report of an internal or external (e.g. undertaken by the Victorian Auditor-General’s Office or a private accountancy firm) financial audit that results in major or significant changes to University practices.

Temporary



Retain records in department/school until audit is completed.


Planning and Conduct Records documenting the planning and conduct of internal and external financial audits.

Temporary



Retain records in department/school for 2 years after audit is completed.






OR


Authorisation [Financial Delegation]

The process of delegating power to authorise a financial activity.


Delegations of Power Delegations of power to University staff to authorise financial activities and transactions (e.g. delegation to approve expenditure or appointment of an officer to countersign cheques).

Temporary

Destroy 7 years after delegation is superseded or cancelled.


Retain records in department/school until delegation is superseded or cancelled.




Budgeting

The process of planning the use of expected income and expenditure over a specified period.


Background Information Background records used for the production of whole of University budget estimates.

Temporary

Destroy 5 years after completion of the financial year in which the record was created.




Departmental Input Records documenting the input by individual departments within the University to the whole of University budget estimates.

Temporary



Retain records in department/school for 2 years after the completion of the relevant financial year.






OR


Estimates [Adhoc funding submissions]

Budget estimates produced for adhoc funding submissions (i.e. funding requests that fall outside core budget) made to the budget committee of Cabinet or equivalent committees.

Temporary





Estimates [External approval]

Budget estimates and associated records prepared for external approval (e.g. approval from the parent department of an University or Ministerial approval).

Temporary

Destroy 7 years after completion of the financial

Retain records in department/school until the completion of the relevant



year in which the record was created.


financial years.


Estimates [Internal use] Budget estimates produced for internal use by the University.

Temporary





Spending Process Records documenting spending progress or revenue collection against allocations within budget estimates.

Temporary



Retain records in department/school for 2 years after the completion of the relevant financial year.






OR


Financial Statements

The process of compiling annual financial statements showing income and expenditure for the current financial year and assets and liabilities at the end of the year, with comparative figures for the previous financial year, as required by the Financial Management Act 1994.

Note: For reports that refer to financial expenditure of public funds, see REPORTING.




Annual Annual financial statements and associated background documentation.

Includes:

balance sheets; operating statements; cash flow statements; and accompanying notes.







Interim Interim financial statements including balance sheets and operating statements.

Includes:

mid-year and quarterly financial reporting statements.

Temporary





Working papers and calculations

Working papers and calculations relating to the preparation of all financial statements.

Temporary







5.6.3 (0701) Archives on an annual basis using established procedures.

Fraud

The activities associated with the disclosure of financial fraud.

Includes fraudulent activities carried out by those within and outside of the University.

Note: For records documenting the misconduct by employees, use HUMAN RESOURCES – Misconduct [Discipline].


Major [Externally resolved] Records documenting the identification of major instances of fraud that resulted in liaison with external bodies.






Includes:

report and investigation of fraudulent activities; and

records documenting liaison with law enforcement authorities.

concluded.


concluded.


Major [Internally resolved] Records documenting the identification of major instances of fraud that were resolved internally.






Minor [Externally resolved] Records documenting the identification of minor instances of fraud that resulted in liaison with external bodies.

Includes:

report and investigation of fraudulent activities; and

records documenting liaison with law enforcement authorities.

Temporary





Minor [Internally resolved] Records documenting the identification of minor instances of fraud that were resolved internally.

Temporary

Destroy 7 years after

Retain records in department/school until



administrative use has concluded.




Fundraising

The activities carried out by the University to receive money or a benefit through donations.

Note: For records relating to the administrative arrangements of fundraising activities, use COMMUNITY ENGAGEMENT – Fundraising.


Receipt and Disbursement Records documenting the receipt and disbursement of money received through fundraising events and activities.

Temporary




Lodge records into the Federation University Archives on an annual basis using established procedures



Loans Management

The activity of acquiring financial loans to the University for the provision of services and the financing of University programs.

Includes the administration of borrowing by the University.


Borrowing and Loans Records relating to the borrowing of money by the University.

Includes:

loan agreements; repayment records; interest rate agreements; and other associated records.

Temporary

Destroy 7 years following the finalisation of the loan.


Retain records in department/school until the loan has been finalised.


Pecuniary Interests

The activities associated with the disclosure of pecuniary interests of employees or members of boards or committees.




Interests and Returns Records documenting an individual’s company, trust and property holdings as well as any other pecuniary interests.

Includes:

pecuniary returns made upon appointment; and any regular updates.

Temporary

Destroy 3 years after an individual ceases to hold office.


Retain records in department/school for 3 years after the individual ceases to hold office.



OR




Procedures

Standard methods for financial management operations laid down by the University according to formulated policy.

Note: For all procedures other than those relating to the Financial Management function, use POLICY - Procedures.


Development Records documenting the development of University procedures supporting the financial management function.

Temporary



Retain records in department/school for 2 years after administrative use has been concluded.



OR





Manuals, Handbooks and Directives [Master]

Master set of University manuals, handbooks, directives etc. detailing procedures supporting the financial management function.




Disposal Authority Reference:5.10.1 (0701



Salaries

The process of managing the payment of salaries to personnel.


Payment Processing Records documenting the processing of payment of salaries to personnel.

Note: For records such as group certificates and tax declaration forms, use HUMAN RESOURCES – Salaries.

Note: For overtime forms, use HUMAN RESOURCES – Allowances.

Temporary







procedures.

Taxation

The activities involved with administering taxation matters.

Note: For taxation records specific to an employee, such as group certificates and tax declaration forms, use HUMAN RESOURCES - Salaries.


General Activities Records documenting the taxation matters of the University e.g. administration of Goods & Services Tax (GST).

Temporary





Income Tax Records relating to University income taxation records including records relating to the payment of payroll taxes.

Temporary

Destroy 5 years after completion of the financial year in which the record




was created.





FLEET MANAGEMENT

The function of acquiring, managing, maintaining, repairing and disposing of vehicles.

Vehicles are any means of conveyance owned or used by the University to transport people or items.

Accidents

The activities involved in dealing with mishaps causing damage to vehicles.

Note: For records of accidents where personal injuries have occurred, use OCCUPATIONAL HEALTH & SAFETY – Accidents.


Details Records relating to accidents in which vehicles used or maintained by the agency are involved.

TemporaryDestroy 7 years after vehicle is disposed of.


Retain records in department/school until vehicle has been disposed of.


Acquisition

The process of gaining ownership or use of vehicles required in the conduct of business through purchase.

CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – FLEET MANAGEMENT Page 130 of 333



Purchase Records relating to the acquisition of vehicles via purchase.

TemporaryDestroy 7 years after the sale or disposal of the vehicle.


Retain records in department/school until vehicle has been disposed of.


Disposal

The process of disposing of vehicles no longer required by the University, by sale, transfer, termination of lease, auction, donation or destruction.





Sale and Transfer Records relating to the disposal of vehicles via sale, transfer, auction etc.

TemporaryDestroy 7 years after the sale or disposal of the vehicle.


Retain records in department/school until vehicle is disposed of.


Infringements

The activities associated with handling breaches of rules.

Includes driving or traffic infringements.


Traffic Records relating to traffic infringements involving vehicles used or maintained by the University.






last action has been completed.


Insurance

The process of taking out insurance policies to cover loss or damage to vehicles and to cover the University against damage to another organisation’s property.


Claims Records documenting insurance claims. TemporaryDestroy 7 years after action completed.







Motor Policies Vehicle insurance policies. TemporaryDestroy 7 years after policy expires.


Retain records in department/school until policy expires.


Policy Renewals Records relating to annual renewal of insurance policies.

TemporaryDestroy 2 years after action completed.




Only upon destruction approval being granted should records be placed in a confidential document



bin for appropriate disposal.

OR


Leasing

The activities involved in leasing vehicles from another organisation.

Includes the process of hiring vehicles by chartering, which is a contractual arrangement.


Administration Records documenting the acquisition, administration and management of leased vehicles.

Includes:

fuel billing reports; and vehicle exception reports.

Temporary



Retain records in department/school until lease expires or is terminated.


Short Term Rentals Records documenting the administration of short term Temporary Retain records in



rental vehicles.



department/school until last action has been completed.


Maintenance

The activities associated with the upkeep, repair, servicing, modification, registration and preservation of vehicles.


Registration Records documenting the registration of vehicles.

Includes:

Inspections; and renewals.

Temporary

Destroy when registration is renewed or when administrative use has concluded.


Retain records in department/school until registration has been renewed or administrative use has concluded.

Prior to destroying records, a Records Disposal Authorisation form must be completed and submitted to the Records Management Unit to gain the required



approval.


Servicing and Repairs Records relating to repairs and ongoing maintenance of vehicles.

Include:

servicing records.

Temporary






OR





Usage

The activities involved in monitoring the use of vehicles.


Bookings Vehicle booking records Temporary





Only upon destruction approval being granted should records be placed in a confidential document bin for appropriate



disposal.

OR


Log Books Vehicle running sheets/log books.

Includes:

records generated by global positioning systems (GPS).

Temporary

Destroy 2 years after administrative use has concluded


Retain records in department/school for 2 years until administrative use has concluded.



OR




GOVERNMENT RELATIONS

The function of administering the formal relationship between the University and wider government.

Includes the University's relationship with Ministers and Members of Parliament and the political processes of government; liaison with bodies carrying out investigations and participating in formal inquiries and investigations, and relationships with other State and Territory Governments, the Commonwealth or overseas Governments.

Advice

The activities associated with the offering of opinions by or to the University as to an action or judgement.


Critical Advice provided by the University to the portfolio Minister and government agencies on controversial public issues shown to have far-reaching social, economic and State-wide implications.

Includes:

records documenting the development of the advice.







Non-Critical Advice provided by the University to the portfolio Minister and government agencies on matters which have not been shown to have far reaching impact on

Temporary



CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – GOVERNMENT RELATIONS Page 141 of 333


the social, economic and national standing of the State.

Includes:

records documenting the development of the advice.

concluded.


concluded.


Appointments

The activities associated with the nomination, appointment or resignation of individuals or groups as official representatives to government bodies.

Note: For records relating to appointments to boards or committees, see COMMITTEES.

Note: For records relating to the appointment of individuals or groups to the position of Occupational Health & Safety representative, use OCCUPATIONAL HEALTH & SAFETY – Representatives.

Note: For records of the financial interests of appointees, use FINANCIAL MANAGEMENT – Pecuniary interests.

Note: For records documenting pre-appointment security checks (vetting), use HUMAN RESOURCES – Security Checks and Registers.


Successful Nominations [Statutory positions]

Records documenting successful nominations for statutory positions which are administered by the University.

Includes the associated appointment, resignation and termination records.









Unsuccessful Nominations [Statutory positions]

Records documenting unsuccessful nominations for statutory positions which are administered by the University.

Temporary

Destroy 2 years after action completed





OR


Cabinet Business Management



The activities associated with the preparation and submission of advice and reports to Cabinet and Cabinet Committees. This class refers to the Cabinet-in-Confidence records created or received by agencies.


Cabinet-in-Confidence Papers Preparation

Preparation of Cabinet-in-Confidence papers.

Includes:

submissions and supporting attachments; background materials; drafts; comments received; briefing notes; memos; and speaking notices.

Permanent (State Archives

Retain as State Archives. (State).

University is required to forward all records in this class to state Department on request and when a State election is called.




Inquiries

The activities associated with liaising with bodies carrying out inquiries, and participating in them.

Inquiries are investigations carried out by persons or bodies that have been empowered to inquire and report on a subject.

These include inquiries carried out by Royal Commissions, Parliament and the Ombudsman.

Includes the University’s participation in the inquiry by providing evidence in the form of records, submissions or staff.





General Inquiries [No University involvement]

Records documenting inquiries with no direct relation to the University's core function and where the University provided no contribution nor had any involvement in the inquiry.

Temporary






General Inquiries [University involvement]

Records documenting inquiries with no direct relation to the University's core function and where the University made a minor contribution.

Temporary

Destroy 5 years after final report of inquiry is released.


Retain records in department/school until final report has been released.




procedures.

Implementation of Recommendations

Records documenting the implementation by the University of the recommendations that were made as part of an inquiry.







Statements, Submissions and Responses

Records documenting the University's contribution and involvement in an inquiry directly related to its functions.

Includes:

agency statements and submissions; responses to final reports; transcripts of oral evidence given by University

officers; and working and supporting papers.







Joint Ventures

The activities involved in managing joint operations between departments, either within the University or with other public agencies, or with the interstate governments where there is a contract, joint contribution of funds and / or time.

Includes ventures with the private sector and co-research or collaboration between departments or agencies.



Includes the development of Memorandums of Understanding.

Note: For records relating to the management of other contracts, see CONTRACTING-OUT.


Ventures and Memorandums of Understanding [Major]

Final signed version of joint venture agreements or Memorandums of Understanding of major significance to the State such as large-scale government infrastructure projects and public private partnerships (PPPs).

Includes:

records documenting the development of agreements.







Ventures and Memorandums of Understanding [Minor]

Final versions of joint venture agreements or Memorandums of Understanding of small-scale significance to the State.

Includes:

records documenting the development of agreements.

Temporary





Legislation

The process of making laws. Includes Acts, Bills and subsections to Acts, and amendments to each.




Major Response [To request for comments]

Records documenting detailed responses or submissions to requests for comment on legislation other than that directly relating to the University's functions.







Minor Response [To request for comments]

Records documenting a minor response to a request for comment on legislation other than that directly relating to the University’s functions.

Temporary





Nil Response [To request for comments]

Records documenting a ‘nil’ response to a request for comment on legislation other than that directly relating to the University's functions.

Temporary



Retain records in department/school until reference has ceased.

Prior to destroying





Regulatory Impact Statements

Records documenting the development of Regulatory Impact Statements that directly relate to the University's functions.







Submissions and Reports Records relating to the development of legislation and regulations concerning the operations and functions of the University.

Includes:



These records will be




drafting instructions; drafting legislation; regulation and amendments; submissions to the Minister,: reports; comments received from other agencies; and any other papers containing substantial input

from the University.

transferred to PROV when administrative use by the University has concluded.



Representations [Including Parliamentary Questions]

The activities involved in preparing responses to questions raised in Parliament by Members on behalf of their constituents.

Also includes preparation of responses to questions directed to Ministers from individuals, community groups or industry bodies that are not raised in Parliament.

Note: For enquiries that are managed by the University directly, use COMMUNITY ENGAGEMENT – Enquiries and Public Reaction.


Information Requests Requests for and copies of information supplied to other agencies to answer parliamentary questions.

Temporary




Prior to destroying records, a Records Disposal Authorisation form must be completed and submitted to the Records Management Unit



to gain the required approval.


OR


Responses and Submissions [Major]

Records documenting responses to questions raised in Parliament which originated from peak industry bodies, community groups and individuals concerning issues of a contentious nature which are of major significance to the University and/or the community at large.

Includes:

records documenting the approach and any associated petitions.







Responses and Submissions [Minor]

Records documenting responses to questions raised in Parliament which originated from peak industry bodies, community groups and individuals which are of a

Temporary





routine nature concerning issues which are of no major significance to the University and/or the community at large.

Includes:

associated petitions; and the final response provided.

concluded


concluded.


Submissions

The preparation and submission of a formal statement (e.g. reports, statistics, etc.) supporting a case or opinion held by the University to an internal or external body.


Major Submissions (other than Cabinet submissions) made to the Premier, Minister, and government bodies including regulatory bodies on issues directly relating to the University’s functions, concerning controversial issues with far-reaching social, economic and interstate implications relating to the functional responsibilities of the University.

Includes:

records documenting the development of submissions.







Minor Submissions (other than Cabinet submissions) made to Temporary Retain records in



Premier, Minister, and government bodies, including regulatory bodies on issues directly relating to the University's functions, concerning other matters with no far-reaching impact on the social, economic and interstate standing of the State.

Includes:

submissions concerning administrative matters; Material Change Notifications; and records documenting the development of

submissions.



department/school until administrative use has concluded.


Visits

The activities involved in arranging visits by the Premier, Ministers and agency representatives within the State, interstate or overseas.

Note: For records of visits to an agency, use COMMUNITY ENGAGEMENT – Visits and tours.

Note: For records of visits to community organisations, use COMMUNITY ENGAGEMENT – Visits and tours.


Major International Tours [Related to core functions]

Official reports of fully funded overseas fact-finding tours by University representatives that relate to the core functions of the University.









Major Tours [Not related to core functions]

Records documenting the arrangement of visits by University representatives both within Australia and overseas.

Includes:

Invitations; travel and accommodation arrangements; itineraries and programs; and letters of thanks.

Temporary





Minor International Tours [Related to core functions]

Official reports of overseas tours by University representatives that do not specifically relate to the core functions of the University.

Temporary





Minor Tours [Not related to core functions]

Records documenting visits by University representatives to other government agencies in Australia.

Includes

visit reports.

Temporary







HUMAN RESOURCES

The function of managing all employees in the University.

Employees include permanent, part-time, casual and temporary employees, volunteers and people working under scholarships, traineeships, apprenticeships and similar relationships.

Includes appeals, overtime, salaries, superannuation and working hours when related to persons rather than to industrial relations issues.

Note: Also refer to INDUSTRIAL RELATIONS, OCCUPATIONAL HEALTH & SAFETY, and STAFF DEVELOPMENT for records relating to staff.

Allowances

The activities involved in arranging and managing money paid to employees in addition to salary to cover expenses incurred in the course of employment.

Includes allowances.


Payments Records documenting the payment of allowances to employees.

Includes:

overtime; first aid; clothing allowances; and travelling allowances.

Temporary





CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – HUMAN RESOURCES Page 156 of 333


procedures.

Appeals

The activities involved in appealing promotion decisions and any subsequent review.


Promotion Decisions and Reviews

Records documenting the review of promotion decisions.

Temporary






OR




Employment Conditions

The activities associated with managing the general conditions of employment for personnel.

Note: For records of pecuniary interests, use FINANCIAL MANAGEMENT – Pecuniary Interests.


Consolidated Employment History [Employees]

Records documenting the consolidated employment history of all ongoing and non-ongoing employees from initial appointment to subsequent promotions and details of higher duties undertaken. (Includes heads of agencies and executives).

Note: If an employee has been exposed to hazardous substances, including asbestos, or if an employee was located at places identified as containing hazardous substances use class HUMAN RESOURCES – Employee Conditions – Consolidated Employment History [Exposure to hazardous waste] [Employees].

Note: If no summary record exists, these records are to be retained.

Note: For records relating to disciplinary action, use HUMAN RESOURCES – Misconduct [Discipline].

Temporary

Destroy 50 (fifty) years after date of separation from the University if a summary record is maintained and if the employee was not exposed to hazardous materials.


Retain records in department/school until employee separates from the University.




Note: For records relating to leave, use HUMAN RESOURCES – Leave.

Consolidated Employment History [Exposure to hazardous substances] [Employees]

Records documenting the consolidated employment history of all ongoing and non-ongoing employees who have had exposure to hazardous substances, including asbestos, or who were located at places identified as containing hazardous substances. The consolidated history includes initial appointment to subsequent promotions and details of higher duties undertaken. (Includes heads of agencies and executives).

Note: If no summary record exists, these records are to be retained.

Note: For records relating to disciplinary action, use HUMAN RESOURCES – Misconduct [Discipline].

Note: For records relating to leave, use HUMAN RESOURCES – Leave.

Temporary

Destroy 100 (one hundred) years after date of separation from the agency if a summary record is maintained.


Retain records in department/school until employee separates from the University.


Other History [Employees] Records documenting the employment conditions of ongoing and non-ongoing employees that are not part of the consolidated employment history.

Note: If records relate to exposure to hazardous materials, use HUMAN RESOURCES – Employee Conditions - Other History [Exposure to hazardous substances] [Employees]

Temporary





Other History [Exposure to Records which are not part of a consolidated Temporary Retain records in



hazardous substances] [Employees]

employment history and document personnel (including employees, volunteers etc.) who have had exposure to hazardous substances, including asbestos, or who were located at places identified as containing hazardous substances.

Destroy 100 (one hundred) years after date of separation from the University.


department/school until employee separates from the University.


Requests for Employment Information

Records in relation to cases where a request has been made under Section 39 of the Freedom of Information Act 1982 for the expunging of personal information.

This class authorises destruction of information under Section 49 of the Freedom of Information 1982 Act. This class relates to information stored on an individual’s consolidated employment record only. Separate applications must be made to Public Record Office Victoria for expunging of personal information not related to an individual’s consolidated employment record, or records classified in this section of the authority as Permanent.

Temporary

Destruction is authorised only with the written consent of the University's Grievance Registrar or Human Resources/Personnel Manager.




Summary Summary record documenting the employment details of all employees in the University.

Types of summary data includes: name of employee; date of birth; date of appointment;

Permanent (State archives)


These records will be transferred to PROV when administrative use by the


These records must not



date of separation from the University; rates of salary and allowances; position titles; and the dates positions were held.

Note: If the University does not maintain a summary record then the consolidated employment histories are considered the summary record and must be retained.

University has concluded.


be destroyed.

Volunteer and Work Experience

Records documenting the engagement of volunteers and students undertaking work experience placements.

Includes:

personal details; and agreed undertakings relating to conditions

of engagement and details of work performed.

Note: If a volunteer or student has been exposed to hazardous substances, including asbestos, or were located at places identified as containing hazardous substances, use HUMAN RESOURCES – Employee Conditions - Other History [Exposure to hazardous substances] [Employees]

Temporary

Destroy 7 years after placement has ended providing the individual has by then reached the age of 25 years and if the individual was not exposed to hazardous materials.





Employee Counselling

The activities associated with giving advice or guidance to employees for various reasons.




Counselling and Professional Coaching

Records documenting the provision of counselling or professional coaching to staff.

Includes:

trauma counselling.

Temporary





Evaluation

The process of determining the suitability of potential or existing programs, systems or services in relation to meeting the needs of the given situation.


Existing and Potential Programs and Service

Records documenting the evaluation of existing and potential programs and services supporting the personnel function.

Temporary







procedures.

Grievances [Employee]

The activities associated with issues or complaints raised by employees in relation to any workplace action or decision which directly affects them and which they perceive to be unfair or unreasonable.


Formal Records documenting formal grievances including those presented to a panel.



Disposal Authority Reference12.7.3 (0701)



Informal Records documenting grievances which are handled informally by a line manager or the Grievance Registrar including those settled by mediation.

Temporary





concluded.


concluded.


Summary Register Summary documentation of grievances detailing the type of grievance and how resolved.







Individual Workplace Agreement

The process where employees negotiate increased pay or other benefits with their employers in exchange for the implementation of working arrangements that improve the performance of the University.

Note: For workplace agreements for staff across the University, use INDUSTRIAL RELATIONS – Workplace agreements.


Agreed Records documenting enterprise agreements / contracts made with individual employees or at a workgroup level.

Temporary


Retain records in department/school until agreement has lapsed.



Includes:

the agreement; and records of negotiations.

agreement has lapsed.



Not Agreed Records relating to situations where enterprise bargaining has not resulted in an agreement or contract.

Temporary

Destroy 5 years after discussions have ceased.


Retain records in department/school until discussions have ceased.


Leave

The process of administering leave for which staff are eligible.

Includes unauthorised leave taken by staff.


Attendance Attendance records of all employees.

Includes:

attendance books; clock on/off cards; flexitime sheets; and

Temporary







overtime records. 12.9.3 (0701) Archives on an annual basis using established procedures.

History Consolidated leave history records and records documenting the authorisation of long service leave, parental leave, military leave and leave without pay exceeding 5 days in any one calendar year (i.e. leave used to calculate entitlements for superannuation or long service leave).


Destroy 50 (fifty) years after date of separation from the University.


Retain records in department/school until date of separation.


Rosters Records documenting the management of rosters. Temporary





Supporting Documentation Records supporting the taking of leave, eg sick leave certificates.

Temporary







Misconduct [Employee Discipline]

The activities and actions associated with the handling of misconduct. Includes investigation, charges, formal inquiries, punishment and appeals.


Major Investigation [Resulting in dismissal]

Records documenting investigations by either the University or an external body where misconduct by a University representative is proven and which results in dismissal.

Note: For the summary details regarding the dismissal, use HUMAN RESOURCES – Employment conditions.

Note: For records documenting misconduct cases that result in litigation, use LEGAL SERVICES – Litigation.

Temporary





Minor Investigation Records documenting investigations by either the University or an external body where minor misconduct by a University representative is proven and which may result in a reduction in salary or job classification or suspension of employment.

Temporary








Not Proved Records documenting allegations of misconduct where no misconduct is proven (e.g. where allegations are proved to be frivolous or vexatious).

Temporary






OR


Moving



The process of relocation of the University, school, department, business unit, workgroup or individual.

Note: For records of relocations of business activities from one property to another, use PROPERTY MANAGEMENT – Moving.


Arrangements Records documenting the removal of an employee’s and their family’s personal effects.

Includes:

arrangements made for the storage of personal and household items at the University's expense.

Temporary





Performance Management

The process of identifying, evaluating, and developing corporate and employee work performance so the University's goals and objectives are achieved and also benefiting employees through recognition, performance feedback, catering for work needs and offering career guidance.


Development and Records documenting the development and Temporary Retain records in



Management of University Schemes

management of University performance management schemes. Destroy 7 years after





Individual Performance Agreements

Performance agreements with individual employees.

Includes:final version of agreement;

notes from meetings with employees; and assessment and review reports.

Note: For records of staff development plans, use STAFF DEVELOPMENT – Planning.

Temporary

Destroy 7 years after agreement is superseded.


Retain records in department/school until agreement has been superseded.


Positions

The activities involved in varying, creating, transferring or abolishing individual positions or assigned duties.

Note: For records of University restructures, use STRATEGIC MANAGEMENT – Restructuring.


Establishment and Records documenting the creation, variation, abolition, transfer or reclassification of positions and assigned




Management duties. Destroy 7 years after position or assigned duties have been abolished or altered.


position or assigned duties have been abolished or altered.


Variances Applications to vary and establish positions and assigned duties not approved or proceeded with.

Temporary






OR




Recruitment

The process of recruiting and which includes applying for approval to fill existing vacancies, the advertising of vacant positions, and the handling of applications, interviews, selection, culling and appointment.

Also includes recruitment of volunteers.


Process and Campaign Records documenting the recruitment process including recruitment campaigns.

Includes:

make-up of interview panels; interview questions; and referee questions.

Temporary




Prior to destroying records, a Records Disposal Authorisation form must be completed



and submitted to the Records Management Unit to gain the required approval.


OR


Unsolicited Applications Records documenting the management of unsolicited applications.

Temporary

Destroy 6 months after receipt.


Retain records in department/school for 6 months after receipt.


Only upon destruction



approval being granted should records be placed in confidential document bin for appropriate disposal.

Unsuccessful Applications Records of unsuccessful applications for vacancies in the University.

Includes:

unsuccessful applications for continuing positions; and

unsuccessful applications for non-continuing positions.

Note: For records of successful applications, use HUMAN RESOURCES – Employment conditions.

Note: For records relating to police background checking of applicants, use HUMAN RESOURCES – Security Checks and Registers.

Temporary

Destroy unsuccessful applications 6 months after recruitment has been finalised.


Retain records in department/school for 6 months after receipt.





Salaries

The process of managing the payment of salaries to personnel.


Administration Records documenting employees’ salaries.

Includes:

taxation declaration records; group certificates; payroll deduction authorities; records relating to the recovery of

overpayments; and employee pay history records.

Note: For records documenting the process of payment of salaries to personnel, use FINANCIAL MANAGEMENT – Salaries.


Destroy 50 (fifty) years after employee’s date of separation from the University.


Retain records in department/school until date of separation.




Security Checks and Registers

The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access.

Includes the security classification of personnel and criminal record checks.


Checks Records documenting security checks (vetting) carried out as part of pre-engagement, pre-employment and pre-appointment checks, or periodic reviews.

Includes:

checks carried out by Victoria Police or police authorities in other jurisdictions.

Temporary

Destroy 6 months after action is completed.


Retain records in department/school for 6 months after last action is complete.



Passes and Registers Records documenting the issue of security passes to Temporary Retain records in



employees.

Includes:

security pass registers.





Travel

The activities involved in arranging a journey or a trip. Includes preparing travel itineraries, authorisations, entitlements etc.

Note: For allowances paid to staff for travel purposes, use HUMAN RESOURCES – Allowances.

Note: For financial records, use FINANCIAL MANAGEMENT – Accounting.


Arrangements and Itineraries

Records documenting arrangements for an employee to undertake a journey or trip for work related reasons.

Includes:

arrangements for obtaining official passports and visas.

Temporary









OR




INDUSTRIAL RELATIONS

The function of establishing formal relations with the University's employees and their representatives to achieve a harmonious workplace.

Includes negotiations conducted to obtain determinations, agreements or awards, industrial disputes settled within the University or by an external arbitrator and reports of the state of industrial relations within the University.

Advice



Routine Matters Records relating to advice concerning routine industrial relations matters.

Temporary





Significant Matters Records relating to detailed advice concerning significant industrial relations matters concerning the



CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – INDUSTRIAL RELATIONS Page 179 of 333


University or sector, including precedent cases. Retain as a state archive.



Archives on an annual basis using established procedure.


Appeals

The activities involved in the process of appeals against industrial relations decisions by application to a higher authority.


Negotiations [Major] Records documenting appeals made to the central arbitration or determining body (e.g. Australian Industrial Relations Commission (AIRC)) against a decision or an order where the University is a major participant in negotiations.







Negotiations [Minor] Records documenting appeals against an industrial relations decision or an order where the University had little or no input into the negotiations.

Temporary





concluded.




OR


Disputes

The activities associated with the resolution of disputes relating to dissatisfaction about a work situation.




Major Situations Records relating to workplace disputes of a landmark or precedent-setting nature or which affect the entire University.







Minor Situations Records relating to workplace disputes that are not of a landmark or precedent-setting nature and which do not affect the entire University.

Temporary





Industrial Action

The activities associated with dealing with a failure or refusal to attend or perform work in association with a dispute between management and workers.

Includes lock-outs, strikes etc.




Major Situations Records documenting the management of industrial action of a significant nature, e.g. involving large numbers of University staff, where the action has a major effect on the provision of services to the community or it has State-wide implications.







Minor Situations Records documenting the management of industrial action of a minor nature e.g. involving few staff, with no major effect on the provision of services to the community or confined to a localised area of the University.

Temporary





Workplace Agreements

The process where employees negotiate increased pay or other benefits with their employers in exchange for the implementation of working arrangements that improve the performance of the agency.

Includes the activities associated with enterprise bargaining and with establishing and implementing a workplace agreement.

Note: For workplace agreements relating to individuals, use HUMAN RESOURCES – Workplace agreements.





Agreed Records relating to workplace agreements applying to the University which are of a precedent-setting nature or which affect a majority of the University's employees.







Not Agreed Records relating to situations where enterprise bargaining has not resulted in a workplace agreement.

Temporary

Destroy 5 years after discussions have ceased.


Retain records in department/school until discussions have ceased.




INFORMATION MANAGEMENT

The function of managing the University's information resources.

Includes systems used for creating, capturing, registering, indexing, storing, retrieving and disposing of records and the developing of strategies to manage records.

Also includes the acquisition, control and disposal of library and other information products and services.

Includes the handling of issues under legislation such as the Information Privacy Act 2000 and Freedom of Information Act 1982.

This section covers information regardless of format.

Note: For records associated with the management of website content, see PUBLICATIONS.

Acquisition

The process of gaining ownership or use of information resources or the provision of information services through purchases.


No Tender or Contracting-out

Records documenting the acquisition of library, information and records management materials and/or services where there is no tender or contracting-out process.

Includes:

orders; and subscriptions.

Note: For records documenting acquisitions carried out by contract, use CONTRACTING-OUT - Contracts.

Temporary





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Note: For records documenting information resources acquired by donations, use COMMUNITY ENGAGEMENT - Donations.

Audit

The activities associated with officially checking records to ensure they have been kept and maintained in accordance with agreed or legislated standards.

Note: For records of audits carried out on information technology systems, use TECHNOLOGY AND TELECOMMUNICATIONS – Audit.


Compliance Records associated with audits carried out to check compliance (and to investigate any breaches) with recordkeeping policies, procedures and systems.

Temporary





Routine Records associated with the routine checking and review of the locations of files, documents and other information resources.

Includes:

file census.

Temporary







9.2.2 (0701) Disposal Authorisation form must be completed and submitted to the Records Management Unit to gain the required approval.


Conservation

The activities involved in the preservation, protection, maintenance, restoration and enhancement of information resources and artefacts.


Preservation Activities (Routine)

Records documenting routine preservation activities undertaken on University records and, library and

Temporary

Destroy when reference




information resources both electronic and paper copy.

Includes:

preservation on artefacts and objects.

ceases.


reference has ceased.



Preservation Activities (Specific)

Records documenting very specific or prescribed preservation activities undertaken on records, library and information resources.

Temporary








Control

The activities associated with creating and maintaining control of information. Includes classification, indexing, registration, forms design, etc. to ensure maximum control over records and recordkeeping systems.

Also includes control mechanisms for other information resources and systems.


Classification Systems Master copy of file classification systems or the University's business classification schemes.

Includes:

retention and disposal documents; records management classification procedures;







and document titling protocols.




Corporate Library Collections

Control records documenting library collections e.g. library catalogue.

Temporary

Destroy when collection is disposed of.


Retain records in department/school until collection is disposed of.



Recordkeeping Systems Master control records for University recordkeeping systems.

Includes:

registers; indexes;



These records will be transferred to PROV when administrative use by the


These records must not



configuration manual; and records management systems.

University has concluded.


be destroyed.

Customer Service

The activities associated with the planning, monitoring and evaluation of services provided to customers by the University.


Records Management Operations

Records documenting the day to day operations of records management enquiries.

Temporary








should records be placed in confidential document bin for appropriate disposal.

Disposal

The activities involved in the destruction or transfer of records to archives, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage.

Note: For the records associated with the disposal of library collections, use EQUIPMENT & STORES – Disposal.


Access Conditions [State archives]

Records relating to the determination of access conditions relating to records transferred to Public Record Office Victoria (PROV).

Temporary

Destroy 5 years after access arrangements have been finalised.


Retain records in department/school until access arrangements have been finalised.


Adhoc Disposal Authorisations

University copies of adhoc disposal authorisations issued by Public Records Office Victoria (PROV).

Temporary

Destroy when records covered by authority have been disposed of.

Retain records in department/school until records have been disposed.

Prior to destroying






Authorised Disposals Records documenting public records that have been disposed of by means of an authorised disposal authority or by normal administrative practice.


Destroy 30 (thirty) years after administrative used has concluded.




Issued Retention and Disposal Authorities

University copies of ongoing records retention and disposal authorities issued by Public Records Office Victoria (PROV).

Temporary









Physical Destruction Records documenting the actions carried out in relation to the physical destruction of public records.

Temporary





Only upon destruction approval being granted should records be placed in confidential document




Transfer to State Archives Records documenting the transfer of permanent records to Public Records Office Victoria (PROV)

Temporary






Use of Retention and Disposal Authorities

Records documenting internal University business rules or procedures regarding the use of retention and disposal authorities.

Temporary




Prior to destroying



9.6.1 (0701) records, Records Disposal Authorisation form must be completed and submitted to the Records Management Unit to gain the required approval.


Freedom of Information (FOI)

The activities involved in handling requests for access to records and documents under the Freedom of Information Act 1982.

Includes requests which are granted and those that are refused.

Note: For FOI requests that lead to litigation use LEGAL SERVICES - Litigation.




Requests [Detailed] Records documenting FOI requests that require a detailed response from the University.

Temporary

Destroy 5 years after action concluded.




Requests [Routine] Records documenting FOI requests which are routine or which are not proceeded with (e.g. where requests are withdrawn, lapse because of non-payment of application fees or are referred to another agency).

Temporary








disposal.

OR


Requests [Set precedent] Records documenting FOI requests that set a precedent in how FOI requests are handled.

This class also includes FOI requests which lead to a change in how the University operates (e.g. changes to the University’s policy or processes).







Mail Management

Records documenting the receipt and dispatch of University mail.


Dispatch and Receipt Records relating to mail dispatch and receipt.

Includes:

postal delivery receipts; and

Temporary





courier dockets. concluded.


concluded.



Privacy

The activities involved in ensuring the University meet its obligations under the Information Privacy Act 2000.

Note: For records associated with development of University policies for information privacy, use POLICY – University-wide policy.


Complaints [Not resolved by University]

The records associated with complaints made concerning breaches of the Information Privacy Act 2000 that are not resolved by the University and have been referred to the Office of the Victorian Privacy








Commissioner. 9.9.1 (0701) Federation University Archives on an annual basis using established procedures.

Complaints [Resolved by University]

The records associated with complaints made concerning breaches to the Information Privacy Act 2000 that are resolved internally by the University.

Temporary





Requests for Access Records associated with requests made in relation to access to or correction of personal information held by the University.

Temporary





Only upon destruction approval being granted should records be placed



in confidential document bin for appropriate disposal.

Security

The activities associated with measures taken to protect information from accidental or intentional damage or from unauthorised access.

Note: For records associated with security for information technology systems, use TECHNOLOGY & TELECOMMUNICATIONS - Security.


Arrangements Records relating to the physical security arrangements for records management systems.

Temporary





Establishing and Records associated with establishing and assigning Temporary Retain records in



Assigning security levels and caveats within records management systems. Destroy 5 years after

action concluded.


department/school until last action has concluded.


Storage

The activities involved in storing information resources.


Off-site Areas Records relating to the selection and use of off-site storage areas.

Temporary





Offsite Retrievals Records relating to the retrieval of records held by PROV and secondary storage providers including both physical and online retrieval.

Temporary





concluded.




Security Records relating to security arrangements for records storage areas.

Temporary









OR


University On-site Areas Records relating to the use of on-site storage areas. Temporary








OR




LEGAL SERVICES

The function of providing legal services to the University.

Includes the interpretation and provision of advice to the University regarding legal matters, the drawing up of legal agreements and the handling of legal actions and disputes.

Also includes legal advice received from in-house consultants and external sources including the Victorian Government Solicitor.

Includes the handling of issues under the Whistleblower’s Protection Act.

Note: For records documenting the development of legislation, use GOVERNMENT RELATIONS – Legislation.

Note: For records documenting the handling of issues relating to Freedom of Information, use INFORMATION MANAGEMENT – Freedom of Information (FOI).

Note: For records documenting the handling of issues relating to information privacy, use INFORMATION MANAGEMENT – Privacy.

Advice


Includes the process of advising.

Note: For legal research not carried out by a legal service provider, use LEGAL SERVICES – Research.


Government and Major Public Interest

Records documenting requests for and legal advice received from an internal or external legal service provider relating to: matters of major public interest or controversy, Cabinet matters, State security, University-wide industrial issues, new or amended University





CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – LEGAL SERVICES Page 206 of 333


legislation and interpretation of the University's own and other legislation.

Includes:

advice from the Victorian Government Solicitor.

transferred to PROV when administrative use by the University has concluded.


procedure.


Minor Public Interest Records documenting requests for and legal advice received from an internal or external legal provider that relate to matters of minor public interest or controversy; do not relate to Cabinet matters, State security nor agency-wide industrial issues; and do not relate to new or amended agency legislation nor interpretation of the University’s own or other legislation.

Includes:

advice from the Victorian Government Solicitor.






Agreements

Contracts and agreements for the use of product/research outcomes.




Research Outcomes Records related to research outcomes.

Includes:

collaborative agreements; inter-organisational research agreements; and memos of understanding and patents.







Compensation

The activities of providing compensation to personnel and visitors for damage to property where such damage is claimed as the University's responsibility.

Note: For claims relating to death or personal injury, use OCCUPATIONAL HEALTH & SAFETY - COMPENSATION.


Damage to Property Records of claims for damage to property made by Temporary Retain records in



University employees, students or members of the public Destroy 7 years after claim

resolved.

Disposal Authority reference:10.2.1 (0701)

department/school until claim has been resolved.


Intellectual Property

The activities involved in managing the University’s intellectual property, both published and unpublished, and the use of material held by the University in which the another party owns the intellectual property.

Includes copyright, design, patents and trademarks, royalties and matters of confidentiality such as trade secrets that are not available to the public under FOI legislation.


Establishment and Management

Records documenting the establishment and management of intellectual property either held or administered by the University.

Temporary

Destroy 7 years after intellectual property

Retain records in department/school until intellectual property has



lapses.


lapsed.


Unsuccessful Attempts to Establish Rights

Records documenting unsuccessful or abandoned attempts to establish intellectual property rights.

Temporary






OR





Litigation

The activities involved in managing lawsuits or legal proceedings between the University and other parties in a court or other tribunal.

Includes briefs for counsel, copies of documents required by or lodged with a court, consultation with the Attorney-General’s department and other agencies, and records documenting compliance with court instructions, e.g. subpoenas and discovery orders.

Note: For compensation claims relating to personal injury or death, use OCCUPATIONAL HEALTH & SAFETY – Compensation.

Note: For compensation claims relating to damage to property, use LEGAL SERVICES – Compensation.


Discovery Records created and received during legal discovery processes.

Include:

subpoenas; and discovery orders.

Temporary








Sets Legal Precedents Records documenting litigation matters where legal precedents are set or lead to a change in University or government-wide policies, or lead to the establishment or abolition of new government agencies.





Lodge records into the Federation University Archives on an annual basis on an annual basis using established procedure.


Without Legal Precedents Records documenting litigation matters that do not set legal precedent, nor lead to a change in any agency or government-wide policies, nor lead to the establishment or abolition of new government agencies.


Destroy 15 years after litigation concluded.


Retain records in department/school until litigation has concluded.


Research

The activities involved in investigating or enquiring into a legal or legislative subject or area of interest in order to discover facts, principles etc.

Used to support the development of projects, standards, guidelines etc. and the business activities of the University in general.





Detailed Records documenting detailed research carried out to support the legal services function.

Includes:

research of legislation and regulations.

Note: For advice from a legal service provider, use LEGAL SERVICES – Advice.

Temporary





Routine Records documenting routine research carried out to support the legal services section

Temporary


Disposal Authority reference:10.5.2 (0701)



Only upon destruction approval being granted should records be placed in confidential document bin for appropriate



disposal.

Whistleblower’s Protection

The activities associated with the handling of disclosures about officers of the University under the Whistleblower’s Protection Act 2001.


Disclosure Investigations Investigations into disclosures made under the Whistleblower’s Protection Act 2001.









OCCUPATIONAL HEALTH AND SAFETY

The function of implementing and coordinating Occupational Health & Safety (OH&S) and associated legislation throughout the University.

Includes safety policy and the monitoring of safe work practices, procedures and preventative measures.

Note: For committees established to investigate and advise on health and safety issues in the workplace, use COMMITTEES – Internal committees operational OR COMMITTEES – Internal committees strategic.

Note: For OH&S matters that result in litigation use LEGAL SERVICES - Litigation.

Accidents

The activities involved in dealing with mishaps or hazards causing death or injury on the University’s premises.

Includes injury or death to an employee travelling for the purposes of employment (while on duty or official business), or to visitors or the general public while on the University's premises.

Also includes hazards that may impact upon a number of people.

Note: For records relating to damage caused to vehicles as a result of an accident, use FLEET MANAGEMENT – Accidents.

Note: For records relating to damage caused to property as a result of an accident, use PROPERTY MANAGEMENT – Accidents, Damage and Illegal Entry.


First Aid Registers and Treatments

First aid registers of injuries and treatments. Temporary

Destroy 7 years after last entry and administrative use is completed.

Retain records in department/school until administrative use has completed.

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Incidents [Members of public]

Records relating to incidents involving members of the public not resulting in claims for compensation.

Temporary

Destroy 7 years after action is completed (provided the member of the public has by then reached the age of 25 years).


Note: For patients under the age of 25 at the time of the last action being completed, the 7 year retention period will be determined from that person’s 25th birthday.



Incidents [Not resulting in workers compensation]

Records relating to incidents involving employees or contractors (or Victorian Government workers) not resulting in Workers’ Compensation claims.

Temporary

Destroy 7 years after all action is completed (providing the individual




has by then reached the age of 25 years).




Non-serious Injury Accident / incident reports and supporting documentation for incidents which did not result in a serious injury (as defined by Accident Compensation and OH&S legislation) to:

an employee or contractor as the result of an incident within the workplace or while travelling for the purposes of employment (while on duty or official business); or

to a visitor on the University's premises.

Temporary

Destroy 7 years after incident occurred (providing the individual has by then reached the age of 25 years).



Retain records in department/school until matter has been finalised.


Resulting in Death Accident / incident reports and supporting Permanent (State Lodge records into the



documentation for incidents:

where death of an employee or contractor has occurred as the result of an incident within the workplace or while travelling for the purposes of employment (while on duty or official business); or

where the death of a student or visitor has occurred as the result of an incident on the University's premises.

Includes:

accident registers.

Archive)




Federation University Archives on an annual basis using established procedure.


Serious Injury Accident / incident reports and supporting documentation for dangerous occurrences and incidents where serious personal injury and incapacity (as defined by Accident Compensation and OH&S legislation) of:

an employee or contractor has occurred as the result of an incident within the workplace or while travelling for the purposes of employment (while on duty or official business); or

has occurred to a visitor as the result of an incident on the University's premises.

Includes:

accident registers.


Destroy 50 (fifty) years after accident occurred.


Retain records in department/school until matter has been finalised.


Advice





Receipt and Provision Records relating to the receipt and provision of advice on the OH&S function.

Temporary





Appeals [Decisions]

The activities involved in the process of appeals against decisions by application to a higher authority.


Against an Investigation Records documenting an appeal made by the University against an investigator’s (e.g. WorkCover Victoria) decision on a health and safety matter.

Temporary

Destroy 10 years after appeal has concluded.

Retain records in department/school until appeal has concluded.





Audit

The activities associated with officially checking quality assurance & operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards regarding OH&S.


Planning and Conduct Records documenting the planning and conduct of external and internal audits relating to the OH&S function.

Includes:

copy of final report; and records documenting changes made to

procedures as a result of an audit.

Temporary

Destroy 7 years after audit was undertaken.


Retain records in department/school until audit has concluded.


Compensation

The activities of providing compensation to personnel and visitors injured while proceeding to or from work, during work hours or on the University's premises.

Includes the rehabilitation of injured workers.



Note: For records of compensation claims for damage to property, use LEGAL SERVICES - Compensation.


Death Claims [Employee] Records documenting claims for compensation submitted for the death of an employee







Personal Injury Claims [Employee]

Records documenting claims for compensation submitted for personal injury of an employee.


Destroy 50 (fifty) years after claim is finalised.


Retain records in department/school until claim is finalised.


Public Claims as a Result of Death [University liable]

Records documenting claims for compensation submitted when a member of the public has died and liability is with the University.










Public Claims as a Result of Injury [University liable]

Records documenting claims for compensation submitted when a member of the public has been injured, and liability is with the University.

Temporary

Destroy 7 years after finalisation of the claim.


Retain records in department/school until claims has been finalised.


Compliance

The activities associated with complying with mandatory or optional accountability, fiscal, regulatory or quality standards or requirements to which the University is subject in relation to OHS.


Applications for Licences and Permits

Records documenting the application for and management of licences and permits issued under OH&S legislation.

Temporary

Destroy 10 years after licence or permit has expired.


Retain records in department/school until licence or permit has expired.





Environmental Monitoring [Hazardous substances]

Records documenting environmental monitoring of hazardous substances listed in relevant OHS legislation.

Note: For records that identify hazardous substances as listed in relevant OH&S legislation, use OCCUPATIONAL HEALTH & SAFETY – Risk Management.

Temporary





Material Safety Data Sheets

Material safety data sheets (MSDS) prepared by the manufacturers of a hazardous substance which describe the properties and uses of the substance.

Temporary

Destroy when hazardous material is disposed of.


Retain records in department/school until hazardous material has been disposed of.






Non-compliance Notices Non-compliance notices issued under OHS legislation. Temporary





OHS Acts and Regulations Records documenting compliance with provisions of the OHS Acts and Regulations

Temporary





Health Promotion

The process of promotion by the University of programs which encourage the establishment and maintenance of a healthy work environment.




Health and Wellbeing [Employee]

Records documenting activities associated with improving the overall health and wellbeing of a workforce.

Includes:

massage programs, yoga classes etc.

Temporary





Safe Work Practices Records documenting the promotion of safe work practices in the workplace.

Includes:

development and distribution of notices; development and distribution of instructions; posters; and other promotional material.

Temporary





Inspections

The process of official examinations of facilities, equipment and items to ensure compliance with agreed standards and objectives.


Resulting from Workplace Accident [Major]

Records documenting an OHS inspection resulting from a major accident in the workplace (e.g. dangerous





occurrences or accidents causing fatalities or serious injuries).




Archives on an annual basis using established procedure.


Routine [By University] Records documenting routine inspections of work sites.

Includes:

inspections of hazardous substances.

Temporary





Routine [By WorkCover] Records documenting routine OH&S inspections carried out by WorkCover Victoria as a result of a planned program or a safety dispute in the workplace.

Temporary







Planning


Includes determination of services, needs and solutions to those needs.


OHS Plans [University wide]

Final versions of University-wide OH&S plans.

Includes:

records that document substantial input or decisions made regarding the plans; and

records that document the implementation of the plans.

Temporary

Destroy 10 years after plan superseded.


Retain records in department/school until plan has been superseded.


Review and Monitoring Records documenting the review and monitoring of OH&S programs and operations.

Includes:

documents establishing the review, final report and action plan.

Temporary

Destroy 10 years after review has occurred.


Retain records in department/school until review has been completed.




Rehabilitation

The process of managing programs designed to restore the injured worker to the fullest physical, psychological, social, vocational and economic usefulness of which they are capable – consistent with pre-injury status.

Includes early intervention rehabilitation services.


Workers Rehabilitation [Not compensation case]

Records documenting the rehabilitation of workers to full employment which are not related to a compensation case.

Includes:

return to work plans.

Note: For records related to worker’s compensation cases, use OCCUPATIONAL HEALTH & SAFETY- Compensation.

Temporary (long-term)

Destroy 50 (fifty) years after completion of rehabilitation.


Retain records in department/school until rehabilitation has been completed.


Representations

The activities associated with the nomination, appointment or resignation of individuals or groups of personnel appointed by the University or their co-workers as OHS representatives.




Appointments Records documenting the appointment of first aid officers, fire wardens and safety officers etc.

Temporary

Destroy 2 years after appointment lapses.


Retain records in department/school for 2 years after appointment has lapsed.



OR


Risk Management



The process involving the identification of risks, the likelihood and consequences of those risks, and the implementation of appropriate practices and procedures to treat the risks.


Hazards [Low risk] Records documenting the risk management of OH&S hazards where risk assessments indicate no risk to the employees and where no health surveillance and/or monitoring is required.


Destroy 30 (thirty) years after last action.

Disposal Authority Reference:11.12.2



Hazards [High risk] Records documenting the risk management of all OH&S hazards, including hazardous substances detailed in OH&S regulations, where risk assessments indicate a risk to the employees and where health surveillance and/or monitoring of the employees is necessary.


Destroy 100 (one hundred) years after last action.






POLICIES AND PROCEDURES

The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making or as the basis from which the University's operating procedures are determined.

Government-wide Policy

The formulation of policies which impact on the whole of the Government.


Development [University involved]

Records relating to the development of government-wide policy where the University has played a leading role in the development of the policy.







Development [University not involved]

Records of government-wide policies where the University has not played a leading role in the development of the policy. For example, University versions of policies set by other agencies such as the Victorian Purchasing Board etc.

Temporary

Destroy when superseded or updated.


Retain records in department/school until policy has been superseded.


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Procedures

Standard methods of operating laid down by the University according to formulated policy.


Development Records documenting the development of University procedures.

Temporary

Destroy 2 years after procedures are superseded.


Retain records in department/school for 2 years after procedure has been superseded.






OR


Procedures and Manuals [Master]

Records the University’s procedures.

Includes:

manuals; handbooks; and directives.

Note: Process and procedure documents relating to complaints management should be classified using COMMUNITY ENGAGEMENT – Complaints [From public] – Processes and procedures.

Note: Process and procedure documents relating to enquires and public reaction should be classified using – COMMUNITY ENGAGEMENT – Enquires and Public Reactions – Processes and procedures.

Note: Process and procedure documents relating to grant allocation should be classified using – COMMUNITY ENGAGEMENT – Grant Allocation –

Temporary

Destroy 2 years after procedures are superseded.


Retain records in department/school for 2 years after procedure has been superseded.





Processes and procedures.

Note: Procedure development documents relating to activities within the function of financial management should be classified using – FINANCIAL MANAGEMENT – Procedures – Development


OR


University-wide Policy

The formulation of policies which have an impact across the University


Major Policy Development Records relating to the formulation of University policy on administrative matters which prescribes the way the University should operate.

Includes:

policies relating to personnel, finance etc.







Minor Policy Development [Administrative]

Records relating to the formulation of policies that refers to administrative functions of minor significance.

Temporary

Destroy when superseded or updated.


Retain records in department/school until policy has been superseded or updated.



13.1.3 (0701) Prior to destroying records, a Records Disposal Authorisation form must be completed and submitted to the Records Management Unit to gain the required approval.


Significant Policy Development

Records documenting a policy, including its formulation, or functional activities, strategic planning and management matters affecting the whole University.









PROGRAM APPROVAL

Process for the development and accreditation of courses of study and course or subject content.

Curriculum Management

The activities involved in developing courses and seeking approval for those courses.


Approval Records relating to the accreditation or sanction of a course and its content once developed.

Includes:

course proposals and/or alterations presented for approval of accreditation; and

supporting documentation.

Permanent (State Archive)Retain as a state archive.

These records will be transferred to PROV when administrative use by the University has concluded.Disposal Authority Reference:21.2.0 (0201)



Development Records relating to the development of courses.

Includes:

working papers; course proposals; draft subject outlines; and unapproved curriculum.

TemporaryDestroy 3 years from date of last entry.Disposal Authority Reference:21.1.0 (0201)

Retain records in department/school for 3 years from last date of entry.


CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – PROGRAM APPROVAL Page 237 of 333





Review Records related to the review of course/subject content based on changing requirements or feedback.

Includes:

working papers; course alteration proposals; draft revised subject outlines; and unapproved curriculum revisions.


Retain records in department/school for 3 years from last date of entry.



ORLodge records into the Federation University



PROGRAM DELIVERY

The function of delivering approved programs and courses.

Assessment

Determination of interim results to be awarded.

Interim results form part of final result.


Final Assessment Compilation [Apprenticeships and traineeships]

Summary form of final results to be awarded to students for each component of study.





Final Assessment Compilation [University and TAFE students]

Summary form of final results to be awarded to students for each component of study.





CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – PROGRAM DELIVERY Page 240 of 333



Interim Assessment [Apprenticeships and traineeships]

Interim results for students undertaking a VET apprenticeship or traineeship course of study.

TemporaryDestroy 7 years after administrative use concluded.Disposal Authority Reference:11.2.1 (0201)



Interim Assessment [University and TAFE students]

Interim results for students undertaking University and VET courses not associated with apprenticeships or traineeships.

TemporaryDestroy 6 months after administrative use concluded.Disposal Authority Reference:11.2.2 (0201)

Retain records in department/school for 6 months after administrative use has concluded.



Attendance



Record of daily and/or class attendance.


Apprenticeships and Traineeships

Attendance records for students undertaking a VET apprenticeship or traineeship course of study.

TemporaryDestroy 7 years after last entry.Disposal Authority Reference:11.11.1 (0201)

Retain records in department/school until last entry is made.


Students [University and TAFE]

Attendance records for students undertaking University and VET courses not associated with apprenticeships or traineeships.

TemporaryDestroy 2 years after last entry.Disposal Authority Reference:11.1.2 (0201)

Retain records in department/school for 2 years after last entry is made.



ORLodge records into the




Course Delivery

The management and delivery of courses of study at the University.

Note: For published course content (handbooks and study guides) see PUBLICATIONS.


Assessment and Examination Content [No syllabus details exist]

Records relating to examination content where corresponding syllabus details do not exist including master examination question papers.





Assessment and Examination Content [Syllabus details exist]

Records relating to examination content where corresponding syllabus details does exist including master examination question papers.

TemporaryDestroy when administrative used is concluded.Disposal Authority Reference:22.2.0 (0201)







Course Management Records relating to administrative arrangements for course delivery.

Includes:

timetables; venue rosters; teaching loads/allocations; working papers; and feedback forms.





Examination Content Development

Records relating the development of examination contents.

Includes:

working papers; and draft examination question papers.

TemporaryDestroy when administrative used has concluded.Disposal Authority Reference:22.3.0 (0201)


Prior to destroying records, a Records Disposal Authorisation form



must be completed and submitted to the Records Management Unit to gain the required approval.


Exchange Programs

Programs designed to give students experience in another tertiary education organisation (usually overseas or interstate) while still undertaken study towards their enrolled course.

Programs may also exist for temporarily swapping staff with overseas or interstate organisations in order to offer opportunities to improve teaching experience.


Applications and Selection The receipt of submissions to undertake an exchange and the process of selecting successful applications.

Includes:

application forms and letters;

TemporaryDestroy 2 years from date of decision.Disposal Authority Reference:

Retain records in department/school for 2 years after date of decision.



references; resumes; interview records/results; selection forms; and correspondence regarding outcomes.




Establishment Records include correspondence with exchange partners to establish program and supporting community service organisations, eg Rotary.

Note: For core decisions minuted by the relevant committee to establish the program, see COMMITTEES.

Note: For marketing and publicity material relating to the program, see PUBLICATIONS.

TemporaryDestroy 5 years following termination of the program.Disposal Authority Reference:15.1.0 (0201)

Retain records in department/school until program has been terminated.


Thesis

Management of thesis submitted by a University student.




Honours Degree Thesis submitted by a student enrolled in an Honours degree, at the conclusion of their study.

Includes:

honours thesis; and related documentation/items eg artwork, video or

sound recordings, specimen collections.

Note: For thesis research see RESEARCH.

TemporaryNot required as State Archives. To be retained until organisational use has concluded.Disposal Authority Reference:11.4.0 (0201)


Masters Thesis Thesis submitted by a student enrolled in a Master's Degree.

Includes:

Masters thesis; and related documentation/items eg artwork, video or

sound recordings, specimen collections.

TemporaryNot required as State Archives. To be retained until organisational use has concluded.Disposal Authority Reference:11.5.4 (0201)


PhD Thesis [High public interest]

Those theses that contain research outcomes that have or become of high-interest, or the subject of wide-spread debate and/or contention to the public arena, usually, but not limited to, through the daily media.





PhD Thesis [Other] Those these that, while adding to the body of research in the field, do not cause or confirm a paradigm shift in the

Temporary Lodge records into the Federation University



understanding , approach or epitome for a subject. Records include PhD thesis and related documentation/items eg artwork, video or sound recordings, specimen collections.

Not required as State Archives. To be retained until organisational use has concluded.Disposal Authority Reference:11.5.3 (0201)


PhD Thesis [Paradigm shifting]

Those theses that contain outcomes which have or will change the commonly held view or approach, alter or vary the typical example, representative case or epitome for a subject, irrespective of whether that subject is based in the Arts, Humanities, Sciences, or any other field in which research is conducted.





Work Placement Program

Programs designed to give students experience in work place situations, while still undertaking study towards their enrolled course.


Management and Administration

Records relating to the placement of students in workplaces for the purpose of receiving work experience related to their field of study.

Includes:

agreements; and

TemporaryDestroy 7 years following completion of the placement.Disposal Authority Reference:15.3.1 (0201)

Retain records in department/school until placement has been completed.




correspondence. Archives on an annual basis using established procedures.



PUBLICATIONS

The function of having works, irrespective of format, issued for sale or distribution internally or to the public.

Includes websites and intranet sites.

The function includes drafting, manual or electronic production (design, layout, typesetting, printing etc.), marketing and supply of publications by the University.

Note: This is not related to academic work.

Copyright [Intellectual Property]

The activities involved in managing the University’s copyright (intellectual property), both published and unpublished, and the use of material held by the University in which another party owns the copyright (intellectual property).

Note: For records of establishing intellectual property, use LEGAL SERVICES – Intellectual property.


Infringements Records documenting infringements or breaches of the University's copyright which do not proceed to litigation.

Includes:

investigations; notifications of breaches; and negotiations.

Note: For cases that proceed to litigation, use LEGAL SERVICES – Litigation.

Temporary





CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – PUBLICATIONS Page 250 of 333


Requests [Incoming] Requests from the public and other agencies for permission to reproduce either published or unpublished material in which the University retains copyright.

Temporary





Requests [Outgoing] Applications made by the University to reproduce published material held under copyright by another agency, organisation or individual.

Temporary





Corporate Style

The activity of compiling and administering guidelines on the consistency in written style, graphic design etc. within the University's documents.

Includes designing logos, letterhead, stationery, forms, and publications etc. that incorporate the corporate image of the University.



Note: For the promotion of the corporate image of the University use COMMUNITY ENGAGEMENT – Marketing.


Branding Records documenting the development, approval, implementation and administration of designs for University logos, letterhead, stationery and publications incorporating the corporate image.

Note: For the design of marketing campaigns, use COMMUNITY ENGAGEMENT – Marketing.

Temporary

Destroy when superseded.


Retain records in department/school until superseded.



Forms Records documenting the development, approval, implementation and administration of designs for University forms.

Temporary









Rejected Designs Records documenting rejected designs regarding corporate style.

Temporary


Disposal Authority Reference:15.4.4 (0701




Style Manual University style manuals. Temporary

Destroy when superseded.


Retain records in department/school until manual is superseded.

Prior to destroying





Distribution

The activities associated with disseminating publications through sales, deliveries, or other customer services.


Lists Records documenting the distribution activity for University publications.

Includes:

records of the monitoring of distribution; stock lists; and address lists.

Temporary




Prior to destroying records, a Records Disposal Authorisation form



must be completed and submitted to the Records Management Unit to gain the required approval.


Drafting

The activities associated with preparing preliminary drafts or outlines of reports, articles, etc. prior to publication.


Publication Development Records relating to all aspects of the drafting of University publications.

Includes:

drafts; background information; and unused material (such as duplicate photographs

etc.).

Note: For other photographs, use PUBLICATIONS –Photographs and Films.

Temporary









Photographs and Films

The activities associated with the creation and production of commissioned photographs and moving images on University activities.


Master Images Master set of commissioned photographs and moving images on University activities.









Production

The process involved in turning material into a publication.

Includes design, layout, typesetting, desktop publishing, printing, binding etc.


Process Records documenting the production process. Temporary









OR


Website Content Changes Records documenting changes to content on the University's website.

Includes:

records of the approval process.

Temporary








Publications

The activities associated with the production and dissemination of the University's primary publications.

These publications usually contain a variety of detailed information and can be published in any format.

Note: Content from the University's website or intranet should be sentenced according to the function and activity that the content documents.


Primary Publications One copy of each of the University's primary publications (including web publications but excluding websites).







Promotional Materials Copies of publications intended to publicise or promote University activities.

Includes:

pamphlets; and brochures.

Temporary









Stocktake

The activities associated with the examination, counting and valuing of goods in the University with the view to reassessing the need for replacing those goods, and to identify missing items and determine the condition of the existing items.


Publications Records documenting stocktakes of the University’s publications.

Includes:

recommendations for the reprint of a publication.

Temporary








should records be placed in confidential document bin for appropriate disposal.



REPORTING

The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and to provide formal statements or findings of the results of an examination or investigation.

Note: For financial statements and reports, use FINANCIAL MANAGEMENT – Financial Statements.

Administrative

The activities associated with the reporting on University's administrative functions.


Internal Functions Reports produced about the day to day internal administrative functions of the University.

Temporary





Annual

CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – REPORTING Page 262 of 333


The activities that produce the University's annual report.


Annual Reports Final versions of the Federation University annual reports.







Functional

Reports of the University's functions that detail performance against objectives, including legislated objectives.

Note: For reports on overseas visits by University representatives, use GOVERNMENT RELATIONS – Visits.


Consolidated Reports [Not reproduced elsewhere]

Consolidated reports on functional activities which are not reproduced elsewhere.










Reports [Reproduced elsewhere]

Reports on functional activities which are reproduced elsewhere, e.g. in the annual report.

Temporary





Input to University Reports

Activities that support the preparation of all University reports.


Background Information Background information and reference materials supplied for reports and summaries.

Temporary







RESEARCH

Research undertaken within or by the University which contributes to the economic, social and environmental sustainability of the region.

Collection and Analysis of Data

The observation, recording and analysis of research results.


Involving Clinical Trials Records related to clinical trials.

Includes:

experimental results/readings; photographs and other recordings of experimental

outcomes; data sheets; observations; field notes; diagrams; graphs; conclusions; and laboratory note books.

Temporary (Long-term)Destroy 15 years from date of completion.Disposal Authority Reference:24.4.2 (0201)

Retain records in department/school until trial has been completed.


Not Involving Clinical Trials Records related to non-clinical trials.

Includes:

experimental results/readings; photographs and other recordings of experimental

outcomes; data sheets;

TemporaryDestroy 5 years from date of completion.Disposal Authority Reference:24.4.1 (0201)

Retain records in department/school until trial has been completed.


CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – RESEARCH Page 266 of 333


observations; field notes; diagrams; graphs; conclusions; and laboratory note books.

procedures.

Facility Management

The management of research facilities including (but not limited to) laboratories, field stations, animal breeding facilities, anatomy and specimen collections.


Anatomy and Specimen Management

Records related to management of anatomy and specimens.

Includes:

specimen registers; acquisition documentation; storage and management records; licences of the study; and practice of anatomy and disposal records.

TemporaryDestroy 5 years from date of expiry or date of transfer or disposal of specimen out of collection.Disposal Authority Reference:23.3.0 (0201)

Retain records in department/school until specimen has been disposed of or transferred out of collection.


Animal Research Administration

Records related to the administration of animal research.

Includes:

licence applications; breeding management;


Retain records in department/school until last entry has been made.




requests for animals; ethics documentation; and veterinary treatment/prescription records.

Note: For research and ethics approved by the relevant committee, see COMMITTEES.


Laboratory and Field Station Administration

Records related to the administration of laboratories and field stations.

Includes:

rosters; technical records for equipment or consumables; instructions for use of facilities; consumable requests; clearing records; and maintenance rosters and requests.




Management

A systematic program of examination and analysis to further knowledge and current understanding.




Fund Management Records relating to the allocation of discretionary funds to research projects or programs.

Includes:

applications (unsuccessful and successful); funding/grant submissions; and working papers for fund distribution.

Note: For financial records see FINANCIAL MANAGEMENT.

TemporaryDestroy 2 years following allocation of funds.Disposal Authority Reference:24.2.0 (0201)

Retain records in department/school for 2 years after funds have been allocated.




Program Administration Records relating to the approval of research projects, and management and interim reporting on research progress including the formulation of applications for ethical clearance.

Includes:

project approval applications; project resource allocations; correspondence with other research

groups/partners/stakeholders;






annual project progress report; and applications for ethical clearance.

Program Registration Record relating to the recording of research projects undertaken by the University.

Includes:

research register.





Outcomes

Publication or final presentation of results of research projects.

Note: Not to be used for theses.


High Public Interest Research that contains outcomes that are or become high-interest or the subject of wide-spread debate and/or contention in the public arena, usually but not limited to, through the daily media.






Includes:

drafts for public in external publications; and final research.

transferred to PROV when administrative use by the University has concluded.Disposal Authority Reference:24.5.1 (0201)

procedures.


Intellectual Property Records relating to the identification, registration and use of intellectual assets resulting from research programs.





Paradigm Shifting Research that contains outcomes which have or will change the commonly held view or approach, alter or vary the typical example, representative case or epitome for a subject, irrespective of whether that subject is based in the Arts, Humanities, Sciences, or any other field in which research is conducted.

Includes:

drafts for public in external publications; and final research.





Non-paradigm Shifting Research that, while adding to the body of research in the field, do not cause or confirm a paradigm shift in the understanding, approach or epitome for a subject.

Includes:

drafts for public in external publications; and

TemporaryDestroy 5 years after the conclusion of research project.Disposal Authority Reference:24.5.3 (0201)

Retain records in department/school until research project has concluded.




final research. Archives on an annual basis using established procedures.



STAFF DEVELOPMENT

The function of encouraging staff to develop their skills and abilities (through activities, programs and events) to maximise their potential and increase their productivity.

Includes identifying and implementing all aspects of training needs and programs (internal and external) available to staff.

Note: For records relating to staff, see also HUMAN RESOURCES, INDUSTRIAL RELATIONS and OCCUPATIONAL HEALTH & SAFETY.

Advice



Receipt and Provision Records relating to the receipt and provision of advice on trends relating to staff development.

Temporary





Training Services Records relating to the receipt and provision of advice about available training.

Temporary

Destroy when reference


CRICOS Provider No. 00103D University Records – Retention and Disposal Schedule – STAFF DEVELOPMENT Page 273 of 333


Includes:

information about specific training courses.

ceases.


reference has ceased.



Conferences [External]

The activities involved in attending conferences or seminars held by other organisations.

Note: For records documenting the organisation of conferences held by the University, use COMMUNITY ENGAGEMENT – Conferences.



Note: For the presentation of conference papers, use COMMUNITY ENGAGEMENT – Conferences.


Attendance Records documenting the attendance of staff at conferences arranged by other organisations.

Includes:

conference registration forms; copies of programs and copies of conference

promotional materials.

Note: For associated financial records, use FINANCIAL MANAGEMENT – Accounting.

Temporary






Participant Reports Participants’ reports on conferences arranged by other organisations.

Temporary









OR


Published Proceedings Copies of published conference proceedings and official reports received at conferences arranged by other organisations.

Temporary





Only upon destruction approval being granted should records be placed in confidential document bin




Evaluation

The process of determining the suitability of potential or existing staff development programs, systems or services in relation to meeting the needs of a given situation.

Includes system analysis and ongoing monitoring.


Planning and Implementation

Records documenting the planning and implementation of the evaluation of staff development programs in the University.

Temporary





Program Evaluation Records documenting the evaluation of staff development training programs.

Temporary









OR


Planning


Includes determination of services, needs and solutions to those needs.

Note: For corporate plans of the University or of schools, departments and business units, use STRATEGIC MANAGEMENT – Planning.


All Staff Plans Records documenting the development and implementation of University-wide staff development plans.

Includes:

Temporary





training plans. Disposal Authority Reference:17.5.1 (0701)


Department and School Staff Specific Plans

Records documenting the development and implementation of a school, department or unit’s staff development plans.

Includes:

training plans.

Temporary


Disposal Authority References:17.5.2 (0701)



Individual Staff Plans Records documenting the development and implementation of individual staff development plans.

Includes:

training plans.

Note: For work or performance plans of individuals, use HUMAN RESOURCES – Performance management.

Temporary





Social Clubs

The activities involved in managing the University's relationships with social clubs.




Activities Records documenting staff social clubs including support given by the University.

Note: For financial records documenting support, use FINANCIAL MANAGEMENT – Accounting.

Temporary






OR


Training [Employees]



The activities associated with all aspects of training (external / internal) available to staff for their development.


Administration [Internal course]

Records detailing administrative arrangements supporting the conduct of training courses run internally by the University.

Includes:

processing instructions; venue bookings; hire of equipment; and catering.

Note: For the payment of accounts supporting the running of internal courses, use FINANCIAL MANAGEMENT – Accounting.

Temporary






OR




procedures.

Attendance [Internal and External]

Records documenting staff attendance at internal and external training courses.

Note: For records relating to attendance at conferences, use STAFF DEVELOPMENT – Conferences.

Temporary






OR


Evaluation [Internal and External]

Records documenting evaluations of internally and externally conducted training courses.

Includes:

Temporary





course evaluations made by staff after attending courses.




Publicity Material Records documenting available training courses. Includes publicity material and testimonials collected about training courses.

Temporary








Training Materials [Final] [Internal course]

Training material for courses run internally by the University (e.g. induction courses, graduate training and training of volunteers).

Includes:programs;

lecture notes; hand-outs; and films and videos.

Temporary

Destroy when course is superseded.


Retain records in department/school until course is superseded.



Training Material Development [Internal course]

Records documenting the development of training material for courses run internally by the University.

Temporary








approval being granted should records be placed in confidential document bin for appropriate disposal.



STRATEGIC MANAGEMENT

The function of applying broad systematic management planning for the organisation.

Customer Service Strategy

The activities associated with the planning, monitoring and evaluation of services provided to customers by the University.

Note: For other activities associated with customer service, use COMMUNITY ENGAGEMENT – Customer Service.


Evaluation, Monitoring and Reporting

Records documenting the evaluation, monitoring and reporting of customer service provided.

Temporary





Strategies and Service Charters

Records documenting the development of customer service strategies.

Includes:

strategies; and service charters.

Temporary

Destroy 5 years after strategies are superseded.


Retain records in department/school until strategies have been superseded.


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Planning


Includes determination of services, needs, and solutions to those needs.

Note: For strategic or corporate reports, use REPORTING – Functional reporting.


Development of Planning Documents

Records documenting the development of all strategic, corporate or school, department and unit level work plans.

Temporary





Only upon destruction approval being granted should records be placed in confidential document bin




Final Strategic and Corporate Plans [Department and school]

Final version of school, department and unit plans.

Note: For business unit staff development plans, use STAFF DEVELOPMENT – Planning.

Temporary





Final Strategic and Corporate plans [University-wide]

Final strategic and corporate plans [University-wide].

Note: For University-wide staff development plans, use STAFF DEVELOPMENT – Planning.







Project Management

The management of knowledge, skills, tools and techniques in order to meet the requirements of a project.

Note: For the records of specific projects, use the disposal class that relates to the function and activity carried out by that project.

Note: For records of project boards and committees, see COMMITTEES.





Methodology Development Records documenting the development of a project management methodology and systems for reporting and monitoring of projects.

Temporary






Summary and Project Registers

Summary documentation of projects.

Includes:

project registers.









Restructuring

The reassessment of the activities, goals and structure of the University.

Includes consideration of the number of staff, their position descriptions, equipment, and other resources required by the University.


Administrative Arrangements

Records documenting the administrative arrangements that result from University restructures.

Includes:

transfer of equipment; and transfer of corporate files.

Temporary





Reviews and Restructure [Major]

Records detailing significant reviews and restructures of the entire University or major functional sections of it.

Includes:

records documenting the establishment and development of a new University structure.









Reviews and Restructure [Review]

Records detailing only minor reviews and restructures affecting only particular sections of the University and having little effect on the overall functioning of the University.

Temporary





Risk Management

The process involving the identification of risks, the likelihood and consequences of those risks and the implementation of appropriate practices and procedures to treat the risks.

Note: For risk management activities relating to OH&S, use OCCUPATIONAL HEALTH & SAFETY – Risk management.


Assessments, Treatment Schedules and Action Plans

Records documenting risk management including each stage of the process, risk assessments, treatment schedules and action plans.

Temporary







procedures.



STUDENT ADMINISTRATION

The function of managing student records.

Alumni

Contact and communication program and activities aimed at past students of the University.


Management Records related to the management of Alumni.

Includes:

contact details; draft pamphlets/newsletters; mail out arrangements; and functions or activity arrangements.

TemporaryDestroy when administrative use is concluded.Disposal Authority Reference:20.1.0 (0201)




Enrolment Management

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Registration of students undertaking courses or subjects.

Note: For financial transactions see FINANCIAL MANAGEMENT.



Records related to the establishment and management of a student’s enrolment.

Includes:

enrolment forms; deferment; HECS/Fee-Help declaration; withdrawals; exemptions/credits/recognition of prior learning;

and enrolment variation.

TemporaryDestroy 7 years following date of enrolment.Disposal Authority Reference:8.1.0 (0201)

Retain records in department/school until date of enrolment is confirmed.


Incoming Applications Submission of applications by potential students to participate in a course/subject.

Includes:

application forms; references; supporting documentation; prior learning results; and examples of prior work.

TemporaryDestroy 1 year following date of submission.Disposal Authority Reference:6.1.0 (0201)

Retain records in department/school for 1 year after date of submission.







Selection The process of selecting potential students who qualify for entry.

Includes:

interview results; score sheets; entry examination papers; and decision documentation.

TemporaryDestroy 1 year following date of submission.Disposal Authority Reference:6.2.0 (0201)

Retain records in department/school for 1 year after date of submission.



ORLodge records into the Federation University Archives using established procedures

Student Personal Data Records related to the management of a student’s personal data.

TemporaryDestroy when




Includes:

change of name; change of address; change of personal details; student ID card forms; and concession eligibility forms.

administrative used is concluded.Disposal Authority Reference:10.1.0 (0201)




Graduation

The conferring of degrees or qualifications on students who have met the criteria required to graduate.


Administration Records relating to administrative arrangements for graduation registration and ceremony.

Includes:

correspondence with graduates and ceremony

TemporaryDestroy 1 year following the date of ceremony.

Retain records in department/school for 1 year after date of ceremony.



participants; venue bookings; and catering arrangements.





Ceremonial Proceedings Records relating to ceremonial proceedings for the delivery of qualifications.

Includes:

ceremony program; order of proceedings; and transcripts of addresses by guest speakers.

TemporaryDestroy when administrative use is concluded.Disposal Authority Reference:12.3.0 (0201)






confidential document bin for appropriate disposal.

Registration Records related to the registration of all students to be awarded their degree or qualification.

Includes:

graduate register.





Grievances [Student]

Complaints brought by or against a student and the process of investigation/resolution of the complaint(s).

Includes, but is not limited to, misconduct of students or staff, appellation of results, course content, or the results of prior hearings.

Note: For Grievances relating to staff and their employment, see HUMAN RESOURCES.


Penalty or Disciplinary Action [Incurred]

Records related to a grievance case were penalty or disciplinary action has incurred.

Includes:

complaint forms; records of interviews; correspondence; and reports/summaries presented to the committee

Temporary (Long-term)Destroy 15 years following the date of decision.Disposal Authority Reference:9.1.0 (0201)

Retain records in department/school until date of decision.




(where they do not form part of the committee minutes).

procedures.

Penalty or Disciplinary Action [Not incurred]

Records related to a grievance case were penalty or disciplinary action has not incurred.

Includes:

complaint forms; records of interviews; correspondence; and reports/summaries presented to the committee


TemporaryDestroy 7 years following the date of decision.Disposal Authority Reference:9.2.0 (0201)

Retain records in department/school until date of decision.


Not Proven Records related to an incident leading to counselling/discipline which are found to be false or not proven.

Includes:

complaint forms; records of interviews; correspondence; reports/summaries presented to the committee


TemporaryDestroy if Grievance Register determines that the record should be erased. This does not cover the records of the Grievance Registrar.Disposal Authority Reference:9.3.0 (0201)

Retain records in department/school until Grievance Register determines that the matter should be erased.



Scholarships and Prizes



The establishment and management of scholarships and prizes, the process of determining recipients, and the presentation of scholarships and prizes.


Application and Selection Process [Successful Applications]

Records of successful applicants.

Includes:

applications; supporting documentation; references; copies of prior learning results; and testimonials.

TemporaryDestroy 7 years following completion of delivery of scholarship and prize to applicant.Disposal Authority Reference:7.2.0 (0201)

Retain records in department/school until delivery of scholarship or prize to applicant is completed.


Application and Selection Process [Unsuccessful Applications]

Records of unsuccessful applicants.

Includes:

applications; supporting documentation; references; copies of prior learning results; and testimonials.

TemporaryDestroy 1 year following date of decision.Disposal Authority Reference:7.3.0 (0201)

Retain records in department/school for 1 year after date of decision.







Delivery Administrative arrangements of presentation of scholarships and prizes.

Includes:

venue bookings; catering arrangements; correspondence to guests and

speakers/presenters; and order of proceedings.






Records related to the establishment and management of scholarships and prizes.

Includes:

establishment and foundation papers; and






recipient register.

Note: For policies and procedures, see POLICIES AND PROCEDURES.

administrative use by the University has concluded.Disposal Authority Reference:7.1.0 (0201)




STUDENT RECRUITMENT

The function of attracting potential students to the University.

Marketing

Activities that are designed to attract student applications to the University.


Campaigns [Open day and orientation week]

Activities designed to provide prospective or newly enrolled students with an opportunity to become familiar with campus layout, courses and subjects and services offered by the University.

Includes:

venue bookings; staff rosters for display/session attendance; display arrangements; tour documentation; and information session rosters.





Campaigns [Routine] Activities designed to attract student applications to the University.

TemporaryDestroy 2 years following date of activity.

Retain records in department/school for 2 years after last activity has

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Includes:

draft advertising; recruitment activity files; draft pamphlets; display files; road show documentation; and information session files.


been completed.




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STUDENT SUPPORT

The function of providing essential services and specialist advice to students.

Accommodation

The management of accommodation facilities for boarding students.


Administration Operation and maintenance records relating to student accommodation.

Includes:

meal requests; dietary requirements; catering orders; rosters; timetables; instructions for use of facilities; laundry and cleaning forms; and survey and feedback forms.





Management The management of student residents within student accommodation.

TemporaryDestroy 7 years from last date of residence.

Retain records in department/school until last date of residence.

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Includes:

resident files; correspondence relating to residence; complaints; requests for additional services and special

requirements eg health or dietary.



Counselling

Provision of advice, support and assistance in personal matters and personal development.


Career Provision of advice regarding career directions, suitability and pre-required qualifications.

Includes:

case files; student (client) career files; interview response forms; and completed surveys and questionnaires.

TemporaryDestroy 2 years from date of last contact.Disposal Authority Reference:13.1.0 (0201)

Retain records in department/school for 2 years after last contact.



ORLodge records into the




Chaplaincy Services Provision of religious services and/or support.

Includes:

service timetables; support group meeting documentation; and student (client) files.

TemporaryDestroy 2 years from date of service.Disposal Authority Reference:13.3.0 (0201)

Retain records in department/school for 2 years after date of service.




Personal Provision of support and assistance in personal matters by a professional counsellor.

Includes:

student (client) case files.

TemporaryDestroy 7 years after last attendance, or access on behalf of the student, provided the student has reached 25 years of age.







procedures.

Student Advisory Service Provision of support and assistance by the Student Advisory Centre.

Includes:

student (client) case files.

TemporaryDestroy 7 years after last attendance, or access on behalf of the student, provided the student has reached 25 years of age.Disposal Authority Reference:13.2.0 (0201)




Special Needs

The management of specific needs of some students including financial assistance, disability and study support.


Financial Assistance Applications for loan, subsidy or fee reduction that have been accepted, and the ongoing management of the




[Recipient Management] transaction.

Includes:

application forms and associated documentation; selection records; client files; financial forms regarding reduced payment/wavier

of fee; repayment records; and correspondence regarding the outcome and

transactions.

Destroy 7 years from completion of transaction, eg loan paid out.Disposal Authority Reference:19.2.0 (0201)

transaction has been completed.


Financial Assistance [Unsuccessful applications]

Applications for loan, subsidy or fee reduction services that have been rejected.

Includes:

application forms and associated documentation; selection records; and correspondence regarding outcome and

transactions.

TemporaryDestroy 1 year from decision date.Disposal Authority Reference:19.1.0 (0201)

Retain records in department/school for 1 year after date of decision.






Support Management Administrative arrangements regarding the provision of specialist services and assistance (eg disability support) to eligible recipients.

Includes:

application forms and associated documentation; medical certificates and reports; tutorial arrangements; and transport arrangements.

TemporaryDestroy 2 years following date of completion of service.Disposal Authority Reference:19.3.0 (0201)

Retain records in department/school for 2 years after date of service.






TECHNOLOGY AND TELECOMMUNICATIONS

The function of developing or acquiring, testing and implementing applications, systems and databases to support the business needs of the University and to capture, store, retrieve, transfer, communicate and disseminate information through automated systems.

Includes the evaluation of software and hardware and the acquisition, leasing, licensing and disposal of systems.

Also includes communication network systems such as video conferencing, voice mail, email and technical aspects of the Internet, Intranets and websites.

Note: For financial records associated with the technology & telecommunications function, use FINANCIAL MANAGEMENT - Accounting.

Acquisition

The activity of gaining ownership or use of technology and telecommunications through purchasing.


Equipment, Goods and Services [Did not proceed]

Records documenting acquisitions that did not proceed for technology and telecommunication equipment, goods and services.

Temporary





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approval.


Equipment, Goods and Services [Without tender or contract]

Records documenting the acquisition of technology and telecommunication equipment, goods and services where there is no tender or contract process.

Includes:

formal requests for quotes and orders.

Note: For acquisitions carried out by contract, use CONTRACTING-OUT – Contracts.

Temporary





Vendor Provided Information

Information provided by technology and telecommunications vendors relating to products and services.

Temporary







approval.


Allocation

The process of assigning technological resources to employees or organisational units.


Hardware Records documenting the allocation of software to individuals or organisational units.

Temporary









OR


Software Records documenting the allocation of software to individuals or organisational units.

Temporary








OR


Systems Usernames and Phone Numbers

Records documenting the allocation of phone numbers and system usernames to individuals or organisational units.

Temporary






OR




procedures.

Application Development

The activities associated with developing software and programming codes, including ongoing developments, to run business applications.

Includes specifications, testing, pilots, prototyping and metadata requirements.


Development and Modification [Specific applications]

Records documenting the development and modification (including ongoing management) of specific applications which go into production.

Includes:

feasibility studies; pilot studies; final versions of all system documentation, user

and technical manuals; business rules; user requirements; system specifications; and final sign-off.

Temporary

Destroy 2 years after system becomes defunct.


Retain records in department/school for 2 years after system has become defunct.





OR


Development and Modification [Specific applications] [Did not proceed]

Records documenting the development and modification of specific applications which do not go into production.

Temporary



Retain records in department/school for 2 years after last action has concluded.



OR




procedures.

Testing Records documenting testing activities.

Includes:

testing strategies; result forms; and test reports.

Temporary





Audit

The activities associated with officially checking systems to ensure they have been kept and maintained in accordance with agreed or legislated standards and that any records contained in them correctly record the events, processes and business of the University in a specified period.


System Activities Records documenting audit activities carried out on systems.

Temporary







Control

The activities associated with creating, maintaining and evaluating control mechanisms.


Control Mechanisms Records documenting the development of control mechanisms (e.g. authenticity and version control).

Temporary

Destroy 5 years after mechanism is superseded.


Retain records in department/school until control mechanism has been superseded.


Email Addresses Records documenting the maintenance of email address lists (internal and external) and/or telephone lists.

Temporary




Prior to destroying





Metadata Records documenting the allocation and maintenance of metadata in electronic systems.

Temporary









Systems Logs [Historical] System logs which are used to show a history of access or change to data.

Includes:

system access logs; internet access logs; system change logs; and audit trails.

Temporary





Systems Logs [Backups] System logs which are not used to show a history of access or changes to data.

Includes:

backup logs and tapes.

Temporary





Only upon destruction approval being granted should records be placed in confidential document bin for appropriate



disposal.

Customer Service

The activities associated with the planning, monitoring and evaluation of services provided to customers.


Help Desk Services Records relating to the provision of a help desk service.

Includes:

minor maintenance and advice; technical assistance to an individual; requests to reset passwords; requests to recover data from backup tapes;

and adhoc requests for information from databases.

Temporary






OR




Data Administration

The activities associated with maintaining and using the data that is held in a system, either automated or manual.


Migration Records relating to the migration of data between electronic systems and from one electronic medium to another.

Includes:

migration strategies; and quality assurance checks to confirm accuracy of

the migration process.

Temporary

Destroy 1 year after migration.


Retain records in department/school for 1 year after migration has been completed.





disposal.

OR


Database Management

The activities associated with the building, prototyping and testing of databases.

Includes the management of user rules, passwords and monitoring usage and response times.


Configuration Management

Records documenting database management.

Includes:

requests for changes to schemas and views; and

configuration management.

Temporary





Evaluation

The process of determining the suitability of potential or existing software programs, items of equipment, systems or services in relation to



meeting the needs of a given situation.

Includes systems analysis and ongoing monitoring.


Business Process Analysis

Records documenting analysis of business processes.

Includes:

systems and business processes analysis.

Temporary


Disposal Authority Reference:1910.1 (0701)



Feasibility Studies Records documenting the evaluation of potential or existing technology and telecommunications services and systems.

Includes:

investigations into the feasibility of contracting out technology and telecommunications activities.

Temporary





Implementation and Installation

The activities associated with carrying out or putting into action databases, applications or systems.



Includes the installation of equipment and facilities.


Implementation, Installation, Configuration and Relocation

Records relating to the implementation, installation, configuration and relocation of technology and telecommunications equipment and facilities.

Note: For associated training and education materials, use STAFF DEVELOPMENT – Training.

Temporary





Inspections

The process of official examinations of equipment and items to ensure compliance with agreed standards and objectives.


Routine Records documenting the routine inspection of technology and telecommunications systems and facilities to ensure that unauthorised software or equipment is not being used.

Temporary








OR


Leasing

The activities involved in leasing technology and telecommunications items and equipment from another organisation.


Equipment [Management and administration]

Records documenting the administration and management of leased technology and




telecommunications equipment.

Includes:

reports received from leasing companies.



lease has expired or is terminated.


Licenses

The activities involved in leasing technology and telecommunications items and equipment from another organisation.


Acquisition [Initial negotiations]

Records documenting the acquisition of licenses for software and systems from vendors.

Includes :

negotiations relating to the terms and conditions of the licence.

Temporary

Destroy 7 years after licence has expired.


Retain records in department/school until licence has expired.


Monitoring [Renegotiations]

Records documenting the monitoring and renegotiations of licence agreements.

Temporary





Includes:

responses to licensing infringements.

licence has expired.


licence has expired.


Maintenance

The activities associated with the upkeep, repair and servicing of technology and telecommunication assets.


Systems Upkeep Records relating to the maintenance and upkeep of systems.

Temporary








approval being granted should records be placed in a confidential document bin for appropriate disposal.

OR


Security

The measures taken to protect equipment or information from accidental or intentional damage or from unauthorised access.

Includes responses to any security breaches.


Digital Signatures Records associated with the setting and management of digital signatures

Temporary

Destroy when no longer required for verification purposes on the electronic records the digital signature has been used on.


Retain records in department/school until no longer required for verification purposes.

Prior to destroying records, a Records Disposal Authorisation form must be completed and submitted to the



Records Management Unit to gain the required approval.


Filters Records associated with the use of filters in systems to control SPAM and viruses.

Temporary

Destroy 7 years after system has closed.


Retain records in department/school until system has closed.


Remote Access Records associated with the setting up of remote access to the University’s networks at individual’s homes.

Temporary









OR


Systems Records relating to the security of systems. Temporary

Destroy 7 years after system has closed.


Retain records in department/school until system has closed.

