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Monash University Policy Bank

Recordkeeping: Retention and Disposal of University Records Policy

Purpose

The university is obliged to create, maintain, preserve and dispose of records under the Public Records Act 1973. This policy explains the requirements of the university’s records management program and outlines staff responsibilities to create, maintain and lawfully dispose of corporate university records. It also sets policy for the preservation of records in the University Archives.

Supporting Research and Analysis

The university is required to have a records management program and comply with specific recordkeeping standards under the Public Records Act 1973. Public Record Office Victoria (PROV) standards require that the university has an appropriate organisation-wide recordkeeping policy.

 

This policy also sets out the university position in relation to other legislation or standards that impact on management of records. Compliance with some legislation is mandatory; in other cases the university is guided by legislative requirements or codes of practice. For example, the university must comply with the Crimes (Document Destruction) Act 2006, Electronic Transactions Act 2000, Information Privacy Act 2001 and Freedom of Information Act 1982. It should manage its records taking into account provisions of the Evidence Act 1958 and national codes such as The Australian Code for the Responsible Conduct of Research.

 

Adopting a recordkeeping policy with organisation-wide application also follows best practice in the field. The Victorian Auditor-General has used a Records Management Framework to assess sound records management performance[1]. The first principle in the framework is that “there should be established record management objectives and policies”. The International Standard-Records Management (ISO15489) states that organisations should have a recordkeeping policy endorsed by the highest level of management. All other Group of 8 universities have recordkeeping policy in place.



[1] Victorian Auditor-General’s Office, Records Management in the Victorian Public Sector, March 2008

Scope

* All staff of Monash and its entities.
* All campuses. Where, due to different legislative environments, there are questions of applicability for non-Australian campuses, staff should seek advice from Records and Archives Services staff.

Policy Statement

The university will create and maintain full and accurate records of its governance, academic, administrative, community and commercial activities.

 

The university will comply with relevant legislation that applies to records, especially legislation governing retention or destruction of records. University records must only be destroyed in accordance with disposal policies, procedures and guidelines issued or approved by the University Archivist.

 

Records and archives will be made available within the constraints of security, confidentiality, privacy and archival access conditions.

 

Records will be maintained (stored and preserved) in conditions suitable to the length of time they need to be kept and made available for use. This applies regardless for format of the records or the media they are stored on.

 

Records to be retained permanently will be transferred to the University Archives for long term preservation and access.

 

The university’s systems for recordkeeping (technology and work practices) will cover the essential recordkeeping functions:

§         Capture records

§         Classify and control records

§         Store records over time

§         Protect the integrity and authenticity of records

§         Ensure appropriate security

§         Enable access and use of records

 

Responsibility for records and information management will be assigned. The university expects that staff will take individual responsibility for the efficient and effective management of records related to their work, including records in electronic format. Appropriate training and skills development opportunities will be made available for staff.

 

The university will implement best practice standards for recordkeeping that are “fit for purpose” in the Monash context.

Supporting procedures

Recordkeeping: Retention and Disposal of University Records Procedures

Supporting guidelines

Responsibility for implementation

Vice-Chancellor: As the “officer in charge of a public office”, the Vice-Chancellor is responsible for the university having a records management program and keeping full and accurate records of its activities, in accordance with the Victorian Public Records Act, 1973.
Heads of cost centres
Records and Archives Services Branch
All staff

Status

Revised

Key Stakeholders

Audit and Risk Management
University staff
Public Record Office Victoria

Approval body

Name: Strategy and Resources Committee
Meeting: 08/2008
Date: 04-September-2008
Agenda item: 8.1

Endorsement body

Name: Director, Student and Community Services
Meeting: 00/2008
Date: 29-May-2008
Agenda item: 00

Definitions

Record: Any recorded information made or received by a staff member of the university in the course of undertaking university duties. Records are evidence of or information about university activities. They can be any format (electronic documents, e-mail, paper, plans, photographs etc.)

Disposal: The removal of records from an active recordkeeping system for: 1/ destruction or deletion immediately or at a nominated future date; OR 2/ retention and preservation in an archives.

Related legislation

Related policies

Related documents

Date Effective

04-September-2008

Review Date

04-September-2011

Owner

Director, Student and Community Services

Author

University Archivist and Manager, Records and Archives Services

Content Enquiries

Execserv Policy

University Policy Use

Version Number: 1.0

Contact: adm-PolicyBank@monash.edu

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