9 things you had wished you had known about compliance…(student data focus) today’s program 1....

9 Things you had wished you had known about compliance…(student data focus)

Today’s Program

1. Opening & Welcome - Chris Penman - Vice-Principal and General Counsel

2. Records Services - Catherine Nicholls and Lucinda Davies - Disposal & Student Data

3. Copyright Office - Helen Thomson - Using Examples of Student Work

4. Internal Audit - Louise Fastuca - Preparing material for examinations and other issues including travel diaries

5. Legal Services - Mina Freeman - Privacy Policy issues

6. Closing - Catherine Nicholls

9 Things you had wished you had known about compliance…(student data focus)

Disposal & Student Data

Records Services - Catherine Nicholls and Lucinda Davies

Disposal of Postgraduate files

Catherine Nicholls & Lucinda Davies Records Services

Introduction to Disposal

What is disposal?

Disposal is a ‘jargon’ word we recordkeepers like to use…essentially it’s the practice of determining what records can be

kept (and for how long) and what records can be turfed (and when can they be turfed).



What does “Disposal” mean for you?

Our disposal schedules are available here

http://www.unimelb.edu.au/records/rmp/disposal.html

CONTACT:

LUCINDA DAVIES – [email protected] or xt 49741 for help on specifics



PART ONE - FACULTY STUDENT FILES

ENTRY CLASS/ACTIVITY DISPOSAL ACTION CUSTODY/ TRANSFER

1. FACULTY STUDENT FILES[1]

1.2 Postgraduate Student Files: Masters by Research/ Coursework/Postgraduate Diplomas or equivalent.Includes records relating to: admission, enrolment, cancellation, discontinuation, candidature, scholarships, examinations, progress reports, thesis, travel.

Discipline cases leading to termination under Statute 13.1 Student Discipline

Exclusion for Health Reasons under Statute 11.4

Destroy 3 years after completion or termination

Retain Permanently

Retain Permanently

Faculty Office / Graduate Studies

Faculty Office / Graduate Studies then transfer to Records Services

Faculty Office / Graduate Studies then transfer to Records Services

1.3 PhD Students Retain Permanently Graduate Studies then transfer to Records Services

[1] In cases where obligations to students for example the provision of academic transcripts, cannot be met via MERLIN (as may be the case with records created by amalgamated and affiliated institutions pre amalgamation / affiliation) it is likely that the student files will be of continuing value. In these instances Records Services should be contacted for further advice.



These are the sentences for postgrad files!

However, we realise that other variations or situations may arise with their management, and we are always happy to hear from you about how you are managing your postgrad

files and if you have questions.



There could be a range of possibilities like:

• Duplicate files

• No routine disposal (for applicable files)

• Files that have been stored away but then misplaced during a major move or restructure

• Incorrect disposal (for applicable files)

• Files being retained long after their disposal date



Areas of potential confusion/FAQs:

• Who is responsible for managing the Masters files? The department or the Faculty? Or is it the Melbourne School of Graduate Research?

ANSWER: In many instances it’s the Faculty Office, but some Faculties have in the past had MSGR take them. The schedules permit either location.



Areas of potential confusion/FAQs:

How will the implementation of the Melbourne Model effect the management of postgrad files?

ANSWER: Possibly not greatly, but we will be reviewing all of our schedules, particularly those relating to student records, in light of the Melbourne Model next year.



Things to keep in mind

• If you have a question about managing postgrad files, please speak to me, Lucinda Davies – [email protected].

• Remember that all student files contain confidential information so keep them safe and secure.

• If you can destroy a student file, remember to make a list and destroy them confidentially.

9 Things you had wished you had known about compliance…

Using Examples of Student Work

Copyright Office - Helen Thomson

Student works are protected by copyright as literary works

•Will be unpublished manuscripts – Copyright will last indefinitely•Students will own copyright in their entries on blogs & wikis

Students will own copyright in their own work unless there is a legal agreement to the contrary

• Exclusive rights regarding the reproduction, communicating online, publication and performance of their work.

No automatic licence to use student works for teaching purposes

•Governed by the University IP Statute http://www.unimelb.edu.au/Statutes/s141.html •University has no claim to to IP created by students in their scholarly works•Must ask permission to use student works

http://www.unimelb.edu.au/copyright/

Copyright Protects Student Works

8344 4467

Things to consider:

•Details of the work

•Details of the intended use

•Research, teaching and educational purposes

•Promotional purposes, either for the subject, faculty or University

•Commercial use, e.g. a publication or licenced teaching material

•Who will own the material, including who will own copyright

•Will the student be paid royalties or other fees

•Who will the audience be?

•Restricted to University only, e.g. placed on the LMS

•Widely available to the general public, e.g. on an open access website

•The right to remove or stop using the material


Asking Permission

8344 4467

Student work may also include third party copyright material

•Student can not authorise the use of this material, will need permission from the original copyright owner.

•May be able to use third party material for educational purposes under the Statutory Licences

•Must abide by the conditions and requirements

•http://www.unimelb.edu.au/copyright/information/guidelinesedpurp.html

•If using student works for other purposes, will need permission from the original copyright owner

•Some limited exceptions apply under fair dealing for research & study, criticism & review or parody & satire

Must always acknowledge the student’s work


Other Considerations

8344 4467


Internal Audit - Louise Fastuca

Topics/Tips for today

–Student Exam Paper Preparation –Early Student Results Spreadsheets–Fraud & Corruption–Travel & FBT Requirements–Motor Vehicle Log Books & FBT Requirements

Louise Fastuca

Compliance & Internal Audit

Student Exam Paper Preparation – questions to ask?•Where do Academic staff store their draft exam paper files? •Is it a networked drive? •Is it secure from external/student access? •Is it on a laptop that could potentially be physically removed from an office? •Is their office locked when unattended?

Louise Fastuca


Exam Papers continued:•Where do staff print out the exam papers whilst in draft? •Is the printer in an open office accessible to a shared hallway? •Does your Department/Faculty have adequate security for printing of the finalised papers? Do they get to the selected printer securely?

Louise Fastuca


Student Results Processing•Is the original Excel file utilised by the Academic to store early results kept securely prior to upload to the Student System?

•Where is that file stored? Is it on a secured network drive?

Louise Fastuca


Fraud & Corruption•Internal Audit web site;

–http://www.unimelb.edu.au/audit/advice/, provides fraud brochure

•Have you considered the potential for staff accepting inducements to mark a student’s assessment more favourably? •Do a Self Assessment for your work area – be proactive•http://www.unimelb.edu.au/audit/advice/Fraud Risk Template v5.xls , provides a self assessment document.

Louise Fastuca


http://www.unimelb.edu.au/audit/advice/

http://www.unimelb.edu.au/audit/advice/Fraud%20Risk%20Template%20v5.xls



Travel & FBT requirements•Itinerary & Diary•Compliance with ATO•EHS Risk Assessment•Need a checklist for the traveller•Central retention of diaries for 5 years.•Do ALL staff attend training sessions? • http://www.unimelb.edu.au/finops/resources/travel/index.html, for specifics on travel diary requirements

Louise Fastuca

Compliance & Internal Audit – how does it fit?

http://www.unimelb.edu.au/finops/resources/travel/index.html

Motor Vehicles & FBT requirements•All trips to be accounted for•If there is a driver change, complete an entry for that portion of the trip•Ensure all kilometres are accounted for•“Purpose of Journey” - needs to be more than just the destination, the actual business purpose needs to be stated clearly.

Louise Fastuca


Thank you!

Contact details: http://www.unimelb.edu.au/audit

Louise Fastuca


http://www.unimelb.edu.au/audit




Privacy Policy issues Legal Services - Mina Freeman

Mina Freeman

Privacy Compliance

Legal Services

Legislative Framework

• Information Privacy Act 2000 (Vic)

• Health Records Act 2001 (Vic)

• Privacy Act 1988 (Cth) – in limited circumstances

(generally only applies to Commonwealth agencies and private sector

organisations that are of a certain size and above)

Mina Freeman

Privacy Compliance

Legal Services

What is protected?

“Personal Information”

Information or opinion that is recorded (whether true or not) about a readily identifiable individual

“Sensitive Information”

Personal Information which is also considered to be “Sensitive Information” for example, information or opinion about an individual’s ethnic or racial origin, sexual preference, political opinions, criminal

record etc.

Mina Freeman

Privacy Compliance

Legal Services

“Health Information”

Information or opinion about:

– The physical, mental or psychological health of an individual;

– The disability of an individual;

– An individual’s expressed wishes about the future provision of health services to him or her; or

– A health service provided, or to be provided to an individual

… which is also Personal Information

Mina Freeman

Privacy Compliance

Legal Services

Information Privacy Principles(Schedule 1 of the Information Privacy Act 2000 (Vic))

There are 10 Information Privacy Principles to be aware of:

• Collection

• Use & Disclosure

• Data Quality

• Data Security

• Openness

• Access and Correction

• Unique Identifiers

• Anonymity (where possible)

• Transfer of personal information outside Victoria

• Dealing with Sensitive Information

Mina Freeman

Privacy Compliance

Legal Services

Collection of personal information

• only when necessary for the organisation’s functions or activities

• collected by lawful and fair means; not in an unreasonably intrusive way

• inform the individual concerned of

- who is collecting

- reason for collection

- the purpose for which the information will be used

- how he or she may access the information

- whether there is any law requiring the collection

• where reasonable & practicable, only collected from the individual concerned and not from someone else

Mina Freeman

Privacy Compliance

Legal Services

Use & Disclosure of personal information

a) For the primary purpose; OR

b) Where a secondary purpose if related to the primary purpose of collection AND the individual would reasonably expect the organisation to use or disclose the information for that secondary purpose; OR

c) With the individual’s consent.

In the case of Sensitive Information the secondary purpose must be directly related to the

primary purpose of collection

Other exceptions may apply in certain circumstances for example, law enforcement,

where there is a serious threat to public health and safety, or otherwise required by

law (seek advice)

Mina Freeman

Privacy Compliance

Legal Services

Management of personal information– installing systems in order to maintain accuracy & data security

– openness, access & correction

– in the University context access is usually managed via FOI

Unique Identifiers (e.g. Student numbers/ driver’s license number)

– Must not be assigned (or adopted) unless necessary for the organisation to carry out its functions efficiently (e.g. Staff and student numbers at the University)

Anonymity (where possible)

– Provide an individual with the option of transacting on an anonymous

basis where possible

Mina Freeman

Privacy Compliance

Legal Services

Sensitive InformationLimited circumstances in which Sensitive Information can be collected:

• Individual has consented; OR

• Required by law; OR

• Necessary for research or the compilation or analysis of statistics relevant to government funded targeted welfare or educational services and impractical to get consent

… some other limited circumstances

Transfer of personal information outside Victoria Some relevant factors:

• Is the recipient of the information subject to a law or binding scheme relating to information privacy which is similar to ours?

• Can we place a condition in the contract requiring the external party to comply with our privacy law?

…Seek Advice

Mina Freeman

Privacy Compliance

Legal Services

References :

University Privacy Policy & Privacy Officerwww.unimelb.edu.au/unisec/privacy

[email protected]

Legal Services (Compliance)www.unimelb.edu.au/compliance/manual/ch13.html

[email protected]

Office of the Victorian Privacy Commissionerwww.privacy.vic.gov.au

http://www.unimelb.edu.au/unisec/privacy

mailto:[email protected]


http://www.unimelb.edu.au/compliance/manual/ch13.html



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