As a public institution the University is bound by the Public Records Act 1973. Records received or created by university staff are deemed to be Public Records under the Act.
University staff including sessional staff, researchers and research staff are required to capture full and accurate records and manage and dispose of these records according to the authorised standards and records authorities issued by the Public Record Office Victoria (PROV).
All university staff are required to ensure records they create and/or receive on behalf of the University are captured, managed, stored and disposed of in line with this procedure.
This procedure has been developed to provide guidance for the identification, capture, use, storage, security and disposal of records to ensure a consistent approach to records management across the University.
This procedure applies to all university staff and individuals who may perform work on behalf of the University, including but not limited to:
- Partner providers (onshore/offshore)
- Commercial delivery
- VETDSS
- Sessional staff
- Volunteers
- Researchers and research staff
and members of the University community who may create and/or access University records.
No staff are excluded from this procedure.
- Child Wellbeing and Safety Act 2005
- Copyright Act 1968 (Vic)
- Crimes (Document Destruction) Act 2006 (Vic)
- Crimes Act 1958 (Vic)
- Education and Training Reform Act 2006 (Vic)
- Education and Training Reform Regulations 2017
- Education Services for Overseas Students Act 2000 (ESOS Act)
- Electronic Transactions Act 2000 (Vic)
- Evidence (Miscellaneous Provisions) Act 1958
- Evidence Act 2008
- Federation University Australia Act 2010
- Freedom of Information Act 1982 (Vic)
- Health Records Act 2001 (Vic)
- Higher Education Standards Framework (Threshold Standards) 2021
- Higher Education Support Act 2003
- National Vocational Education and Training Regulator (Charges) Act 2012
- National Vocational Education and Training Regulator (Transitional Provisions) Act 2011
- National Vocational Education and Training Regulator Act 2011
- Privacy and Data Protection Act 2014 (Vic)
- Public Records Act 1973 (Vic)
- Standards for Registered Training Organisations (RTOs) 2015
- Tertiary Education Quality and Standards Agency Act 2011 (TEQSA Act)
- The National Vocational Education and Training Regulator Act 2011
- The Tertiary Education Quality and Standards Agency Act 2011 (TEQSA Act)
- VRQA Guidelines for international education
- VRQA Guidelines for Minimum Standards in a non-school setting (Vic)
- VRQA VET Standards and Guidelines
| Term | Definition |
| Assessments | The determination of results to be awarded for a component of study (eg assignment, test, exam, unit, course) |
| Authorising Officer | Senior officer responsible for approving the destruction of records. This includes Dean, Executive Dean, Director, Manager, Course Coordinator or other authorised officer. |
| CorporateBusiness System | An approved business system used by the University for the storage of records relating to a particular function. |
| NAP |
Normal administrative practice NAP is a process that allows agencies to destroy certain types of low-value and short-term information in the normal course of business. NAP covers the destruction of ephemeral material of a facilitative nature created, acquired or collected by public officers during the course of their duties. |
| Permanent Records | Public records that have been identified as being worthy of preservation in a Public Record Office Retention and Disposal Authority or have been identified by the University as having historical significance. |
| PROV Recordkeeping Standards |
A set of mandatory principles reflecting best practice methodology that Victorian Government agencies must comply with in order to meet the legislative requirements of the Public Records Act 1973. (Source: Public Records Office Victoria) |
| Public Record | Any information created by or received by the University, regardless of format or source, that is evidence of a business transaction or activity. A record records an action, policy, decision or decision making process, renders the organisation accountable or commits the organisation to an action. Public records are governed by the Public Records Act 1973. |
| Public Record Office Victoria (PROV) |
Established under the Public Records Act 1973 PROV’s objectives are to:
(Source: Public Record Office Victoria) |
| Public Records Act 1973 |
The Public Records Act 1973 established the Public Records Advisory Council to advise the Minister on administration of the Act and to promote co-operation between Public Record Office Victoria and other government agencies (Source: Public Record Office Victoria) |
| Records Disposal Authorisation | Authorisation process for the disposal of records, which must be approved by an approved Authorising Officer and the Senior Manager, Registrar Services (or their delegates). This ensures compliance with the Public Records Act 1973 and associated Standards. |
| Retention and Disposal Authority (RDA) |
A mechanism for the disposal of public records in accordance with the Public Records Act 1973. Details the minimum retention period of public records and authorises records to either be destroyed or retained permanently. Federation University records are primarily covered by two RDAs, regardless of format: PROS 07/01 – General Retention & Disposal Authority for Records of Common Administrative Functions. PROS 16/07 – Retention & Disposal Authority for Records of the Higher and Further Education Functions. |
To comply with mandatory PROV Standards and relevant legislation, it is the responsibility of all University staff to consistently create, capture, access, store and manage records as part of normal business practice. The systematic capture of records in compliant systems ensures authentic, reliable and useable records are maintained as evidence of the University’s business activities and transactions, allowing for better decision making, transparency and accountability.
Any information created by or received by the University, regardless of format or source, that is evidence of a business transaction or activity. A record records an action, policy, decision or decision making process, renders the organisation accountable or commits the organisation to an action. Public records are governed by the Public Records Act 1973.
| ACTIVITY | RESPONSIBILITY | STEPS | |
| A | Capturing all electronic records in a University approved business system | All University employees and associates (as per Scope) |
|
| B | Capturing all hard copy records | All University employees and associates (as per Scope) |
|
| C | Capturing social media | All University employees and associates (as per Scope) |
|
Access to University records is only permitted by authorised University Officers who require access for University business. Hard copy records stored within business areas must be secured to avoid possible, theft, misuse or inappropriate access.
Business system owners must ensure systems comply with the requirements of PROV Standards. Business systems must be able to guarantee the security of records at all times and track who has accessed or amended data within those systems. Access to these systems should be reviewed on a regular basis to ensure compliance with PROV Standard 11/10 – Access.
University staff must ensure their username and password for University systems are kept secure at all times and are not shared with anyone else under any circumstances, as outlined in the University’s Information Security Policy.
| ACTIVITY | RESPONSIBILITY | STEPS | |
| A | Requesting access to hard copy archived records | Business area |
|
| B | Retrieval of hard copy archived records | Central Records |
|
| C | Accessing digital records | All University employees and associates (as per Scope) |
|
| D | Accessing social media records | All University employees and associates (as per Scope) |
|
Hard copy records no longer required for normal business activities must be appraised by Central Records who will determine if they are to be transferred to offsite storage, PROV, or if they can be disposed of under a relevant RDA or NAP.
Hard copy records no longer required for daily business activity that have not met the requirements for disposal should be transferred to the University’s offsite storage facility via Central Records. This facility has been assessed as being compliant with the Storage Standard (PROS 11/01) issued by PROV and ensures the preservation and security of the records until such time as they are ready for disposal or permanent transfer to PROV (for historically significant records).
Storage at other non-University approved offsite storage facilities is not permitted.
Electronic records stored in the University approved records management system are sentenced according to the relevant PROV retention and disposal authority.
| ACTIVITY | RESPONSIBILITY | STEPS | |
| A | Managing archiving of hard copy University records | Business area |
|
| B | Providing advice to Business areas | Central Records |
|
| C | Archiving hard copy records | Business area |
|
| D | Assessing Archives Consignment forms | Central Records |
|
| E | Preparing archives for offsite storage | Central Records |
|
University records cannot be disposed of if:
- they are identified as having historical significance and / or are classed as a permanent record by PROV;
- they have not met the minimum retention timeframe as specified in the applicable RDA;
- it is known that the records may likely be required in evidence, either now or in the future – regardless of whether a valid RDA has been issued by PROV;
- there has been an embargo placed on the disposal of records either by the University or PROV – regardless of whether a valid RDA has been issued by PROV;
- it is identified that there is still a business requirement for the records to be retained.
Electronic records stored in the University approved records management system are sentenced according to the relevant PROV retention and disposal authority.
a. Disposal of hard copy University records
| ACTIVITY | RESPONSIBILITY | STEPS | |
| A | Initiating disposal of hard copy University records | Business area |
|
| B | Providing advice to Business areas | Central Records |
|
| C | Assessing Records Disposal Authorisation forms | Central Records |
|
| D | Initial approval of Records Disposal Authorisation form | Business area |
|
| E | Final approval of Records Disposal Authorisation form | Senior Manager, Registrar Services |
|
| F | Disposal of hard copy records | Central Records / Business area |
|
b. Disposal of electronic University records
| ACTIVITY | RESPONSIBILITY | STEPS | |
| A | Managing disposal of electronic University records | Central Records |
|
- Corporate Governance Policy
- Records Management Digitisation Strategy - Draft 01 - July 2020
- Information Privacy Procedure
Forms
- Central Records - How to Lodge Archives Boxes (DOCX 176.5kb)
- Central Records Archives Consignment form (XLSX 31.6kb)
- Central Records Disposal Authorisation Form (XLSX 31.9kb)
- Central Records Disposal Checklist for Partner Providers (DOCX 164.8kb)
- Central Records naming conventions (DOCX 164.6kb)
The Vice-Chancellor, as head of the University, is responsible for ensuring the University complies with legislative requirements for recordkeeping, including the Public Records Act 1973 and other regulatory instruments, including PROV Standards.
The Director Student Services and Registrar, as the Vice-Chancellor's delegate, has the responsibility for overseeing compliance of the University's Records Management Policy and Procedure.
The Senior Manager, Registrar Services is responsible for developing, implementing and monitoring the Records Management Policy and Procedure.
The Central Records area is responsible for providing recordkeeping advice and support to business areas.
University staff in a supervisory capacity are responsible for monitoring and supporting staff to ensure they understand and comply with records management policies and procedures. They should encourage and support positive recordkeeping practices within their business area in relation to managing University records.
This procedure will be communicated throughout the University community via:
- A FedNews announcement and on the ‘Recently Approved Documents’ page on the University’s Policy Central website.
This procedure will be implemented throughout the University via:
- A FedNews announcement and on the ‘Recently Approved Documents’ page on the University’s Policy Central website.
| DOCUMENT TITLE | LOCATION | RESPONSIBLE OFFICER | MINIMUM RETENTION PERIOD |
| Completed Archives Consignment form | The University’s approved records management system | Central Records | Temporary - Destroy after administrative use has concluded |
| Approved Records Disposal Authorisation form | The University’s approved records management system | Central Records | Temporary - Destroy 30 years after administrative use has concluded |
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