the university of the south pacific retention and …

THE UNIVERSITY OF THE SOUTH PACIFIC

RETENTION AND DISPOSAL SCHEDULE

Create and Capture

Store and Protect

Find, Use and Share

Keep or Destroy

The University of the South Pacific Retention and Disposal Schedule Records Management 2

Version Control

Version number Date Comments Author

Version 1.0 May 2015 Manager, Records Management

Version 1.01 July 2015 Minor changes and error corrections. Manager, Records Management

Version 1.02 October 2015 Minor changes, corrections and minor additions (erroneously missing from previous versions)

Manager, Records Management

Version 1.03 March 2017 Minor additions (erroneously missing from previous version); namely Legal Services additions.

Manager, Records Management

Acknowledgement Each of the schedules that collectively form the USP Schedule has been adapted from schedules used in the Western Australian higher education sector to comply with government legislative requirements and directives. The USP Retention and Disposal Schedule is principally based on the Western Australian University Sector Disposal Authority [WAUSDA].

The original schedules were supplied by our records management partner Edith Cowan University, who contributed to their development, to whom we are grateful for their extensive guidance and on-going assistance.

Adaptation for USP has principally seen the removal or editing of Australian specific references, offices or legislation. Though there are additions and alterations to address the specific needs of USP, most class descriptors remain as originally expressed. As such, this schedule still substantially represents the work of the Western Australia University Sector Disposal Authority working party. The original WAUSDA acknowledgement is reproduced here:

The Universities would like to thank members of the Western Australia University Sector Disposal Authority working party for their commitment to the development of this authority. The Working party met throughout 2009 - 2011 and contributed valuable knowledge and expertise to the development of the new USP Schedule.

Those who contributed were: Sue Adams, Edith Cowan University Debbie Crudass, Edith Cowan University Narelle Crichton, The University of Western Australia Michelle Lillico, The University of Western Australia / Curtin University Natalie Mitchell, Curtin University John Farley, Murdoch University.


Contents 1 Introduction ........................................................................................................................................................ 7 2 The Schedule .................................................................................................................................................... 7

2.1 Purpose of the Schedule ...................................................................................................................... 7 2.2 Scope of the Schedule ......................................................................................................................... 8 2.3 Arrangement of the Schedule ............................................................................................................... 8 2.3.1 PART I - USP Functional Disposal Schedule ....................................................................................... 8 2.3.2 PART II - USP Disposal Schedule for Financial and Accounting Records .......................................... 9 2.3.3 PART III - USP Disposal Schedule for Human Resource Management Records ............................... 9 2.4 Disposal Schedule overlap ................................................................................................................. 10 2.5 Revision of the USP Schedule ........................................................................................................... 10

3 University records ............................................................................................................................................ 10 3.1 Formats ............................................................................................................................................... 10 3.1.5 Photographs and audio-visual records ............................................................................................... 13 3.2 Significant records .............................................................................................................................. 13 3.3 Policies and procedures ..................................................................................................................... 14 3.4 Ephemeral records ............................................................................................................................. 15 3.5 Reproduction of records ..................................................................................................................... 15 3.6 Microfilming of records ....................................................................................................................... 15

4 Disposal of University records ......................................................................................................................... 16 4.1 Recommended methods of destruction of USP records .................................................................... 17 4.2 Responsibility for destruction .............................................................................................................. 18 4.3 Files containing records with differing retention periods or with mixed dispositions .......................... 18 4.4 Retaining records for longer periods .................................................................................................. 18

5 Recordkeeping environment ........................................................................................................................... 19 5.1 Legislation ........................................................................................................................................... 19 5.2 Investigations and inquiries ................................................................................................................ 20 5.3 Freedom of Information and evidence inquiries ................................................................................. 20 5.4 Amalgamation of University organizations or restructure ................................................................... 20

6 Definition of terms used in the USP Schedule ................................................................................................ 20 Further information .......................................................................................................................................... 22

THE USP FUNCTIONAL DISPOSAL SCHEDULE ........................................................................................... 27 Scope of the USP Schedule ............................................................................................................................... 27 Use of the USP Functional Disposal Schedule .................................................................................................. 27 PART A ............................................................................................................................................................... 31

EPHEMERAL RECORDS ............................................................................................................................... 31 PART B ............................................................................................................................................................... 33

COMMON FORMATS ..................................................................................................................................... 33 DIARIES AND CALENDARS ...................................................................................................................... 33 PHOTOGRAPHS AND AUDIOVISUAL RECORDS ................................................................................... 33 DATABASES ............................................................................................................................................... 34

PART C............................................................................................................................................................... 35 COMMON ACTIVITIES ................................................................................................................................... 35

ADVICE ....................................................................................................................................................... 35 AGREEMENTS / CONTRACTING-OUT / JOINT VENTURES .................................................................. 35 ARRANGEMENTS ...................................................................................................................................... 37 COMMITTEES ............................................................................................................................................ 38 COMPLIANCE ............................................................................................................................................. 39 IMPLEMENTATION .................................................................................................................................... 39 INCIDENT MANAGEMENT ........................................................................................................................ 40 MEETINGS .................................................................................................................................................. 40 PLANNING .................................................................................................................................................. 41 POLICY ....................................................................................................................................................... 42 PROCEDURES ........................................................................................................................................... 42 PROJECT MANAGEMENT ......................................................................................................................... 43


REPORTING ............................................................................................................................................... 44 RESEARCH ................................................................................................................................................ 45 TENDERING ............................................................................................................................................... 47

PART D............................................................................................................................................................... 48 KEYWORDS/ ADMINISTRATIVE ACTIVITIES .............................................................................................. 48

COLLECTION MANAGEMENT .................................................................................................................. 48 COMMUNITY RELATIONS ......................................................................................................................... 55 COMPENSATION ....................................................................................................................................... 85 EQUIPMENT & STORES ............................................................................................................................ 87 ESTABLISHMENT ...................................................................................................................................... 90 AGENCY (EXTERNAL) RELATIONS ......................................................................................................... 90 FACILITIES MANAGEMENT ...................................................................................................................... 95 FINANCIAL MANAGEMENT ..................................................................................................................... 112 FLEET MANAGEMENT ............................................................................................................................ 116 INFORMATION MANAGEMENT .............................................................................................................. 119 LEGAL SERVICES .................................................................................................................................... 132 OCCUPATIONAL HEALTH & SAFETY .................................................................................................... 135 PERSONNEL ............................................................................................................................................ 139 PUBLICATIONS ........................................................................................................................................ 148 RESEARCH .............................................................................................................................................. 154 STAFF DEVELOPMENT ........................................................................................................................... 187 STRATEGIC MANAGEMENT ................................................................................................................... 188 STUDENT ADMINISTRATION ................................................................................................................. 202 STUDENT SERVICES .............................................................................................................................. 231 TEACHING & LEARNING ......................................................................................................................... 237 TECHNOLOGY & TELECOMMUNICATIONS .......................................................................................... 243

THE USP DISPOSAL SCHEDULE FOR FINANCIAL AND ACCOUNTING RECORDS ............................... 259

Scope and Arrangement of the Schedule ..................................................................................................... 259 Use of the USP Disposal Schedule for Financial and Accounting Records ................................................. 259 Financial and Accounting records not covered by this schedule .................................................................. 260 ACQUISITION ............................................................................................................................................... 263 ADVANCES .................................................................................................................................................. 264 AGREEMENTS / CONTRACTING-OUT / JOINT VENTURES .................................................................... 265 ALLOCATION ............................................................................................................................................... 266 ASSET MANAGEMENT ............................................................................................................................... 267 AUDIT ........................................................................................................................................................... 267 AUTHORISATION ........................................................................................................................................ 268 BANKING AND BANK ACCOUNTS ............................................................................................................. 269 BOOKS OF ACCOUNT ................................................................................................................................ 269 BUDGETTING .............................................................................................................................................. 270 CAPITAL WORKS AND CONSTRUCTION .................................................................................................. 271 CHEQUE MANAGEMENT ............................................................................................................................ 272 COMPLIANCE .............................................................................................................................................. 272 CORPORATE CREDIT CARDS ................................................................................................................... 273 CREDITORS ................................................................................................................................................. 273 DEBTORS ..................................................................................................................................................... 274 DEFICIENCIES AND LOSSES ..................................................................................................................... 274 DISPOSAL .................................................................................................................................................... 275 DISTRIBUTION ............................................................................................................................................. 276 DONATIONS ................................................................................................................................................. 276 EXPENDITURE AND PAYMENTS ............................................................................................................... 277 FEES AND CHARGES ................................................................................................................................. 278 FORMS ......................................................................................................................................................... 278 FUNDRAISING ............................................................................................................................................. 279 GRANT FUNDING ........................................................................................................................................ 279


INSURANCE ................................................................................................................................................. 280 PLANNING .................................................................................................................................................... 281 POLICY ......................................................................................................................................................... 282 PROCEDURES ............................................................................................................................................. 282 RECEIPTS AND REVENUE ......................................................................................................................... 283 REGISTERS ................................................................................................................................................. 283 REPORTING ................................................................................................................................................. 285 REVIEWING ................................................................................................................................................. 289 RISK AUDIT .................................................................................................................................................. 290 SALARIES AND WAGES ............................................................................................................................. 290 SPONSORSHIP ............................................................................................................................................ 293 TAXATION .................................................................................................................................................... 293 TENDERING ................................................................................................................................................. 294 TREASURY MANAGEMENT........................................................................................................................ 296

THE USP DISPOSAL SCHEDULE FOR HUMAN RESOURCE MANAGEMENT RECORDS ...................... 301 Scope and Arrangement of the Schedule ........................................................................................................ 301 Use of the USP Disposal Schedule for Human Resource Management Records ........................................... 301

COMPENSATION ......................................................................................................................................... 303 ESTABLISHMENT ........................................................................................................................................ 304 INDUSTRIAL RELATIONS ........................................................................................................................... 305 OCCUPATIONAL HEALTH AND SAFETY ................................................................................................... 308 PERSONNEL ................................................................................................................................................ 310 STAFF DEVELOPMENT .............................................................................................................................. 317


1 Introduction The Records Management office is responsible for advising and assisting University staff in matters of records management including creation, maintenance, security and disposition of University records. The disposition of records, that is the retention and disposal sentencing of records, is authorised by this document: The University of the South Pacific Retention and Disposal Schedule.

The University of the South Pacific Retention and Disposal Schedule (the USP Schedule) is comprised of three separate schedules:

• PART I - USP Functional Disposal Schedule (FDS) • PART II - USP Disposal Schedule for Financial and Accounting Records

(DSFAR) • PART III - USP Disposal Schedule for Human Resource Management

Records (DSHRM)

This preamble and introduction should be read in conjunction with each of the schedule parts, along with the Records Management policy.

The general structure of the Retention and Disposal Schedule is based on the arrangement of Keyword AAA: a thesaurus of general terms produced by the State Records office, New South Wales. This system is the basis for records classification in Records Manager at USP.

2 The Schedule

2.1 Purpose of the Schedule

The University of the South Pacific Retention and Disposal Schedule applies to University records in all formats that are created or received by USP. This schedule has been developed to facilitate the authorised and lawful disposal of all records that document the functions of USP. It is a management tool for identifying and determining the retention and disposal of records created or received and managed by USP across all its locations. This ensures that records are maintained for as long as they possess administrative, legal, fiscal or research value.

The aims of the USP Schedule is to:

• provide a consistent and standardised approach to retention and disposal of university records.

• identify University records that are deemed to be of archival, historical and /or continuing value to the University or Pacific Region.

• prevent the premature destruction of records which need to be retained for a specific period to satisfy legal, financial and other requirements of public administration; and

• authorise the destruction of those records not required for permanent retention.


The USP Schedule contains valuable information and guidance to the Universities in respect of the functional records they create, and as such it is an important business tool and assists to guide compliance with legal obligations.

The USP Schedule has a hierarchical structure which reflects its arrangement according to functions and activities.

2.2 Scope of the Schedule

The USP Schedule covers all University records created and kept by The University of the South Pacific, including each of the regional campuses. This includes all records covered by the USP Records Management Policy irrespective of the systems to which they belong.

This Schedule supersedes all previously approved University records disposal policies and schedules.

Records sentenced under previous University Disposal Authorities which are still in the custody of the University need not be resentenced UNLESS the retention period has increased or the disposal action has changed.

The USP Schedule applies to records in all formats (see section 3).

2.3 Arrangement of the Schedule

The USP Schedule has a hierarchical structure which reflects its arrangement according to functions and activities; we trust that these are self-evident as you use and move through the schedule. In addition to this introductory, which includes a definition section (Section 6), the USP Schedule is divided into three parts. Where there are overlaps of disposal classes in the three separate schedules, cross-references are given.

2.3.1 PART I - USP Functional Disposal Schedule

The USP Functional Disposal Schedule is an authority for the retention and disposal of all records of The University of the South Pacific not covered in Parts II and Part III of the Schedule and includes records of functional operations that are not specific to the University’s financial and staff management. The USP Functional Disposal Schedule is the largest single component of the USP Schedule and is divided into four parts of its own. These include:

The Schedule has been divided into four parts:

1. Part A covers Ephemeral records; 2. Part B covers Common Formats of records (diaries and calendars,

photographs and audio-visual records, and databases); 3. Part C covers Common Activity Descriptors, or subcategories, which may

be applied to various keywords. The aim of this section is to reduce unnecessary duplication; and


4. Part D covers records under 21 administrative and functional Keywords.

• COLLECTION MANAGEMENT • COMMUNITY RELATIONS • COMPENSATION • EQUIPMENT & STORES • ESTABLISHMENT • EXTERNAL (AGENCY) RELATIONS • FACILITIES MANAGEMENT • FINANCIAL MANAGEMENT • FLEET MANAGEMENT • INFORMATION MANAGEMENT • LEGAL SERVICES • OCCUPATIONAL HEALTH & SAFETY • PERSONNEL • PUBLICATIONS • RESEARCH • STAFF DEVELOPMENT • STRATEGIC MANAGEMENT • STUDENT ADMINISTRATION • STUDENT SERVICES • TEACHING & LEARNING • TECHNOLOGY & TELECOMMUNICATIONS

2.3.2 PART II - USP Disposal Schedule for Financial and Accounting Records

This Disposal Schedule applies to financial and accounting records in all formats (including those records created using financial management or accounting software packages) that are created or received by The University of the South Pacific.

The Schedule has been divided into two parts:

1. Part A covers Ephemeral records. 2. Part B covers categories of records relating to financial and accounting

transactions.

Part B is divided into categories, or classes, of records relating to specific financial and accounting transactions and activities. Keywords have been specifically avoided to ensure that the Schedule focuses on the business activity and therefore has the broadest possible applicability across the University.

2.3.3 PART III - USP Disposal Schedule for Human Resource Management Records This Schedule deals with six functional areas:

1. Compensation


2. Establishment 3. Industrial Relations 4. Occupational Health and Safety 5. Personnel 6. Staff Development.

Within each of the broad areas described above, each one has been further divided into a number of sub-areas or classes using terms (activity descriptors) from the second tier of the hierarchical structure documented in Keyword AAA.

2.4 Disposal Schedule overlap

The scope of these schedules may overlap in certain areas where records might be of a functional, and/or human resources management nature and/or a financial or accounting nature. Where there is overlap between the schedules, where possible cross-references are given.

2.5 Revision of the USP Schedule

This USP Schedule is a dynamic document. The Records Management office understands and appreciates that issues may arise when the Schedule is applied and welcomes constructive criticism and comment from users. Where there is general agreement that changes should be made to the Schedule, these will be submitted as amendments and, after approval, will form part of the Schedule.

The USP Records Management office will review the structure, content and use of the USP Schedule on a cyclic five years basis to ensure that the schedule meets the business needs of the University. The Records Management office will perform an annual review of legislation to ensure that the Retention and Disposal Schedules do not contravene local legislative requirements.

If any additional record categories are discovered or initiated, for example arising from a new function or new record class, and are not referred to in the USP Schedule, they must not be destroyed. Contact the Records Officer (Retention and Disposal) for inclusion in the schedule, or a one-off disposal authority.

3 University records

3.1 Formats

3.1.1 Hard-copy (paper) records

Such records include paper files, registers, plans, maps, etc. in a format other than electronic. Library materials, however, are explicitly excluded from this coverage.

For a definition of what constitutes a record see the Records Management policy.


3.1.2 Electronic records, including electronic transactions

An electronic record is any record communicated and maintained by means of electronic equipment along with associated metadata (e.g. directory trees, indices, document properties, and software information such as executable files relating to the software and data files necessary in order to run the software program) to give meaning to the record.

Electronic records are subject to the provisions of this authority in the same way as hardcopy/paper-based records. The University is responsible for ensuring that electronic records are preserved and made accessible for as long as they are required and for managing the migration process to new hardware and software platforms whenever they are upgraded.

Where the electronic record is the unique version of the record it will be managed in electronic form to remain accessible for as long as required in accordance with this schedule. Electronic records which are of continuing value will be migrated through successive upgrades of hardware and software for the required retention period.

Depending on the University’s information technology framework at any particular point in time, information held in electronic form may be kept on-line in the current database form, or in an electronic document management system, or on backup media such as magnetic tapes or disks. If there is no facility in place (such as an electronic document management system) to manage information held in electronic form, then electronic records are to be managed as hard copy records (i.e. printed out as necessary) and attached to appropriate files.

Where business records have been created using office desktop applications (such as word processing documents, spreadsheets and electronic mail) and have been printed and included in a formal paper filing system, both the electronic and paper records will be retained until it reaches its retention and disposal date.

With the fragility of the media (magnetic tape, disks, optical disks etc.) on which electronic records are stored, and the frequent introduction of new hardware and software, special care must be taken to ensure the preservation of electronic records for as long as they are required. Respective units that maintain electronic records are responsible for ensuring that these records are preserved and made accessible for the duration of their full retention period, and for managing the migration process to new hardware and software platforms, whenever these are upgraded. Units may wish to liaise with either ITS or the Records Management office, or both to undertake these responsibilities.

Please note: • Various jurisdictions have Acts of parliament, or similar (such as the Fiji

Electronic Transactions Promulgation (2008)), that pertain to electronic transactions. These Acts, among other things, facilitate electronic transactions. The Acts provide for the validity of transactions that have


taken place wholly or partly by electronic communication. That is, if there is a legal requirement to give information in writing, provide a signature, produce a document, or record information, then on fulfilling certain provisions of the Acts, those requirements would be taken to have been met if using electronic communications or electronic forms of documents.

3.1.3 Databases

USP creates and manages databases for functional and administrative purposes. Generally such databases, particularly those employed for administrative purposes (including those used for financial management or accounting), will be maintained with the intention of holding current data, with historical data being amended, overwritten or deleted. Where there is a business or evidential requirement for certain types of data to be retained within databases, for example Banner data on staff and students, then this data must be retained for as long as it is required in accordance with USP Schedules. The data may either be retained in the database, or (if required for reasons of system or storage efficiency) in an alternative format, such as hard copy, magnetic storage, near line storage or optical storage.

Respective units and ITS are to ensure that processes are in place (such as organizational policies and procedures) to ensure data integrity and to regulate the retention and disposal of data in databases in accordance with the subject or transaction to which the data relates. Subsequently, ITS will need to ensure the data is successfully migrated to new hardware and software platforms whenever these are upgraded.

3.1.4 Websites (internet and intranet)

The University creates and maintains web sites (internet or intranet sites), which can contain informational and/or transactional web pages. The University will identify appropriate components of websites and ensure that processes are in place to capture and maintain relevant records and associated metadata for as long as they are required, as well as providing adequate audit trails.

Various methods may be employed in accordance with the type of record, in capturing and preserving web-based resources and records of web-based activity. These include, but are not limited to:

• “snapshot” pictures taken at regular intervals; • copying the website with each significant change; • keeping copies of web pages that are new or have been changed; • maintaining a log of changes to the website, and a • incremental backup regime

Web 2.0 applications enable the University to communicate with internal and external clients. Such technologies include blogs, instant messaging services, file sharing applications, collaborative tools and wikis, and social networking applications like Twitter, Facebook, etc. These too form part of the University


record and those that are official records, created on these applications, should to be managed in accordance with the Records Management Policy and as such must be captured, managed and disposed of in accordance with those requirements.

The capability to capture and preserve records must be considered when ‘web 2.0’ applications, or similar, are being used or proposed for use within the University. Such applications must be integrated with recordkeeping programs to ensure that business records are captured.

3.1.5 Photographs and audio-visual records

Audio-visual records (including photographs, videotapes, films, and audio tapes) are to be treated in the same manner as any other record format, and are to be sentenced in accordance with the activities to which they relate.

The content of photographs and other audio-visual material must be identifiable. For example, people, places, events and dates depicted in photographs must be identified as far as possible.

The sentencing of audio-visual records must be considered in relation to:

• their subject matter; and • documentary material that relates to their creation and use.

A photograph, cassette tape or other audio-visual record should be viewed as part of a larger set of records, that is, those records that document why it was taken and how it was used. Disposition of audio-visual material must be consistent with these records.

It should be noted that correct handling and care of audio-visual materials is necessary to preserve them for as long as they are required. Staff are encouraged to contact the Records Management office for assistance and/or guidance.

3.2 Significant records

Sometimes, the term “significant” or “major” or “unique” (or similar) is used in the description of record categories, usually to separate University archives from records that may be destroyed. For example, significant records may be considered to be those that:

• affect the whole-of-University or portfolio function; or • concern or affect executive activity; or • concern major liabilities or obligations of the University; or • relate to the development of legislation, regulations, or policy; or • otherwise (significantly) impact or affect the University’s functions or

structure e.g. proposed changes to organizational functions; or • were precedent setting; or • involved substantial academic or public debate or controversy; or


• generated wide community interest; or • achieved outstanding, extraordinary or incomparable aptitude in their

academic careers at the University; • have been involved in criminal activity or legal action against the University; • record a student being expelled and /or banned from admittance or being

re-admittance to the University; • record an individual who achieved notoriety or fame during their university

career or once they left the University; • involved items, works or property considered award winning, a local or

regional landmark, heritage listed, culturally significant or is highly recognised;

• record major functions, ceremonies or events that are official or are formal social occasions conducted by the University to enhance its internal and external relationships, or to promote its services or image;

• record substantial contribution to local, national or international cultural or academic landscape; or

• involve long term mutually beneficial academic or cultural and/or financial relationships or partnerships.

• caused major changes to University policy; or • involved items or property considered to have cultural heritage significance.

These significant records are regarded as having archival value.

In the USP Schedule, each class of record has usually been assigned one Disposal Action (for example 'Archive' or 'Destroy'). However, in several cases it has been considered appropriate to split a class of records into two, such that some of the records are ‘Archive’ and some are ‘Destroy’. In these cases the term ‘Significant’ has been used to identify records of archival value and the term ‘Non-significant’ has been used to identify records that may be destroyed.

The value of records may change over time. In assessing records that have reached their minimum retention period and are due for destruction, staff should consider those that may have potential business or historical value, for possible further retention or archiving. Records that appear to be of interest as archival records should be referred to the Records Management office for appraisal and evaluation.

3.3 Policies and procedures

Records of policies developed by the University are to be retained permanently as archives. It is essential that all records relating to internal policy, including the background to their development, are separate and identifiable from other administrative and functional records. This will ensure such records are discrete and available for archival retention, not interwoven with operational issues, which in most cases are of short-term value.


3.4 Ephemeral records

Ephemeral records are defined as those which have no continuing value to the University and generally are only needed for a few hours or a few days. They may not need to be placed within the official recordkeeping system.

Please see Part A in PART I - USP Disposal Schedule for Functional Records (FDS) for the retention and disposal of ephemeral records.

3.5 Reproduction of records

3.5.1 Duplicates or copies of University records

Duplicates or copies of records are defined as exact copies of original records, that is, where no annotations have been made and where the original record forms part of the University’s recordkeeping system. Such records may be destroyed once the originals have been captured into the recordkeeping system and when they are no longer needed for reference purposes.

3.5.2 Destruction of source records that have been successfully digitised

There is no automatic authority to destroy paper records of which an image has been captured by scanning or photography. Record keeping considerations such as the legal and audit implications of originals, and the degree of quality-checking governing the scanning process need to be addressed. Consideration of legislation covering electronic records in each of the USP member countries is required. In some instances the keeping of some scanned copies of administrative documents may be permissible. Proposals to capture records electronically and destroy originals should be discussed with the Records Management office.

3.6 Microfilming of records

Microfilming or transfer to optical media may be considered. It is the University’s responsibility to ensure that the information on these records is accessible for as long as it is required. Staff are strongly encouraged to contact the Records Management office for assistance and/or guidance.

3.6.1 Microfilming temporary records

Individual business units may entertain microfilming records which have a temporary value. However, a case-by-case series based approval is required to destroy original records following microfilming if those original records have not been retained for the minimum period specified in this schedule. The USP Schedule does not give approval to microfilm and destroy hardcopy correspondence.


3.6.2 Microfilming records of archival value

In case of permanent records, failure to film to archival standards will result in a refusal to allow destruction of the original record, regardless of the format of the original record.

Business units interested in filming permanent records must contact the Records Management office, in writing, in the first instance. Approval for the destruction of permanent value records will only be given where microfilming has been done in accordance with filming to archival standard guidelines.

There are a number of ISO Standards applicable to the production of archival quality records onto microfilm.

Archival quality microfilm must be silver halide on polyester base, and must be filmed and processed in accordance with the following standards:

• AS1203-1996 Microfilming of Engineering Documents (35mm), Standards Association of Australia.

• ISO 5466:1996(E) Photography - Processed safety photographic films -Storage practices. International Standards Organisation.

• ISO 10602:1995(E) Photography - Processed silver gelatin type on poly(ethylene telephthalate) base black and white film for archival records - Specifications for stability. International Standards Organisation.

To maintain quality control, the processing agency is required to monitor the density and resolution of the film, and to ensure that processing removes residual chemicals in quantities greater than those set in Standard ISO 4332;1986E.

There are other Standards which apply to such things as newspapers and COM (Computer Output Microfilm). Standards are reviewed periodically, so business units are advised to seek guidance from the Records Management before embarking on a microfilm program.

3.6.3 Microfilm as evidence

Microfilms and microfiche provide an effective and efficient means of retaining records. They permit savings in storage space and associated costs, ease of access and handling and speedy retrieval of information. However, staff and business units wishing to retain records on microfilm or microfiche should be aware of the requirements of evidence acts, or similar, in the respective jurisdiction(s), concerning the admissibility in evidence of reproductions of documents. All microfilming must be produced in accordance with legislative requirements.

4 Disposal of University records

The USP Schedule sets the minimum periods for the retention of University records. Units must not destroy or otherwise dispose of official records earlier than indicated in the Schedule without obtaining a separate authorisation – see the Disposal Notification Form available on the Records Management website at


www.usp.ac.fj/records (under Retention and Disposal).

It is not necessary to obtain authorisation for the destruction of University records on a case by case basis, i.e. record by record. It is necessary, however, to verify the applicability of the Schedule to particular records, which will be done by the Records Officer (Retention and Disposal). To apply to destroy records under this schedule, please use the Disposal Notification Form.

Disposition (disposal) of a record may take one of two forms:

• Archive (denoted A) – is a record category identified as having archival value, that is to be transferred to the USP Archive for permanent retention.

• Destroy (denoted D) – is a record category identified as having temporary value and which may be destroyed by a recommended method at the end of the minimum retention period.

Secondary storage may be used for temporary records requiring long-term storage prior to destruction. Microfilming or transfer to optical media may also be considered. It is the University’s responsibility to ensure that the information on these records is accessible for as long as it is required. Staff are encouraged to contact the Records Management office for assistance and/or guidance.

Please note: • Staff are required to transfer their archival records to the USP Archive

facility (through the Records Management office) when records become due for archiving. However, they may be transferred before this time after consultation with the Records Management office.

• Both hard copy and electronic documents are both required to be transferred to the USP Archive.

• When files are being reviewed by University staff for application of disposal, transfer to semi-active storage or prior to destruction, any records that appear to be of interest as a permanent record, should be referred to the Records Management office for evaluation.

• Staff, in consultation with the Records Management office, are to identify those archives that will be restricted access archives and the ages at which they will cease to be restricted access archives. More information can be found in the USP Archive Policy.

4.1 Recommended methods of destruction of USP records

The destruction of USP records must be done completely so that no information is retrievable. The Records Management office will advise on appropriate methods of destruction. This will normally be by shredding and subsequent pulping, or by incineration at most Regional Campuses.

With regards to electronic records the Records Management office will liaise with ITS to ensure that electronic records are destroyed appropriately so that data are not recoverable. Electronic records should be destroyed by reformatting, rewriting

http://www.usp.ac.fj/records


or degaussing.

If records are stored on microform or tape (audio or video) the storage medium should be physically destroyed, or the information overwritten so that no information is retrievable. Shredding, cutting or chemical recycling are appropriate methods of destroying such records.

Please note: • The use of the “delete” function in software packages is not sufficient to

destroy electronic records, as data may still be recovered. However, under instruction from ITS the University may make use of electronic file shredding software to ensure the complete destruction of electronic records.

• Burying of University records is not an acceptable method of destruction.

4.2 Responsibility for destruction

It is the responsibility of all staff to ensure that official records are not destroyed except in accordance with the USP Schedule and only after appropriate authorization has been granted or other disposal authorities approved by the Vice-Chancellor. University staff undertaking disposal are to refer lists of records for archiving or destruction to the University’s Records Management office for review and authorization from the Vice-Chancellor for transfer or destruction.

A permanent record of destroyed records is retained by the Records Management office.

Records should be periodically reviewed for potential historical interest and referral to the University Records Management office. See also section 3.2 - “Significant records”.

4.3 Files containing records with differing retention periods or with mixed dispositions

Where files contain records with differing retention periods, the complete file must be retained for the longest retention period stated in the Schedule. For example, a file containing successful applications and unsuccessful applications for grant funding (with retention periods of six and two years respectively) must be retained for six years.

In the instance where temporary and archival value records are kept on the same file, the complete file must be archived.

In both cases, individual pages/documents must NOT be removed from files.

4.4 Retaining records for longer periods

Units may wish to retain records for longer than the stated minimum retention periods set out in the USP Schedule, either for administrative convenience or to


provide a particular service to their clientele. However, this refers only to temporary records with a Destroy disposition. Units must transfer their archives to the USP Archives collection at the stated disposition sentence date.

Hard-copy temporary records may be retained for longer periods without reference to the Records Management office. We suggest that if such decisions are taken, the units document the reasons why the increased retention periods were adopted.

However, this should be done judiciously. The authority for destruction should normally be carried out as noted, so the University does not continue to store redundant records ‘just in case’. If it is felt that the retention period in the Schedule is incorrect for the needs of the University, this should be raised with the Records Management office who will undertake a review of its appropriateness. In some cases, however, classes will be applied to similar records across the University and a global change would affect records other than those under review. The options will then include either ad hoc retention by the unit, or if the concerns show that the records should be regarded as their own class, the addition of a new disposal class to reflect this.

Please note: Units must transfer their archives to the USP Archive collection no later than the stated disposition sentence date.

5 Recordkeeping environment

The University creates, receives and maintains a variety of records to fulfil statutory, business and accountability requirements. Ownership of any record received or created by an employee of the University in the course of their work for the University resides with the University and not the individual.

5.1 Legislation

The retention and disposal of University records are primarily based on the business needs of the organisation. However, the USP operates in 12 different legal jurisdictions and must comply with any provisions for record-keeping in respective local legislation; consultation with regional campuses has occurred in the drafting of this document.

The Records Management office will perform an annual review of legislation to ensure that the Retention and Disposal Schedules do not contravene local legislative requirements. The Schedules will be updated to reflect any changes. Where local legislation requires that a certain type of record be kept for a period less than that which is prescribed in the University’s Retention and Disposal Schedules, the University’s retention period shall prevail and the record will be kept for the period outlined in the USP Schedule.


5.2 Investigations and inquiries

If an Investigation or Inquiry is in progress (or likely or imminent), all records relevant to the investigation or inquiry must be identified and preserved until the action and subsequent actions are completed.

5.3 Freedom of Information and evidence inquiries

The Freedom of Information acts of respective USP member countries prescribe rights and procedures for access to documents. If a request for access under an Act has been lodged, all records relevant to the request must be identified and preserved until action on the request and on any subsequent reviews by the University or an authorised court of law of the respective country are completed. This applies regardless of whether the records in question are due for destruction.

The University will give due consideration, in terms of its risk management analysis, to decide whether to create, retain and rely on a reproduction, in whatever format, of an original record. If and when the University employs imaging or microform technologies to create and manage reproductions of original records and subsequently wishes to destroy the originals before the end of the designated minimum retention period as prescribed in this Schedule, the University will give due consideration to any legislative or court ruling regarding evidential admissibility of reproduction of documents.

5.4 Amalgamation of University organizations or restructure

In the event of two or more University organizations being amalgamated or in the event of a restructure within the University it is vital that the organizations’/business units’ records be maintained as evidence of their existence and accountable practices.

To enable ease of access as well as maintain the integrity of those records, records of the subsumed organization/s or business unit/s (where the original organization will cease to exist) should be transferred into the custody of the new agency. The original series of records must be retained so that no alterations can be made, and should be retained as distinct from the records that document the current ongoing activities of the new agency.

Staff are encouraged to contact the Records Management office for assistance and/or guidance.

6 Definition of terms used in the USP Schedule

Action Completed Refers to when a file or volume is closed as a result of being full, or as a result of an activity ceasing for a substantial length of time.

Custody Specifies the retention period for which records are to be retained and the action or


trigger that begins the retention period.

Disposal triggers include “after last action”, which refers to the last date that a matter was noted on the record. This date is used to establish a date for closing the record and effecting the disposal action. Other disposal triggers include “after successful audit” (see “Successful Audit” in these Definitions), “when superseded”, and “after expiry of contract”.

Disposal Action Specifies the disposition of the record. The final disposition is assigned according to whether or not the record is of archival value.

The disposition will be either Archive (A), Destroy (D) • A (Archive) - A record category identified as having archival value, which is

to be transferred to the USP Archive for permanent retention. • D (Destroy) - A record category identified as having temporary value and

which ultimately will be destroyed.

Disposition The final decision which determines whether records will be archived, destroyed or retained by a unit.

DSFAR

The University of the South Pacific Disposal Schedule for Financial and Accounting Records

DSHRM

The University of the South Pacific Disposal Schedule for Human Resource Management Records

Ephemeral records

Those records which have no continuing value to the University and are generally only needed for a few hours or a few days. Refer to Part A of PART I - USP Functional Disposal Schedule for custody and disposal action of ephemeral records.

FDS The University of the South Pacific Functional Disposal Schedule

Last Action See Custody

Metadata “Data about data”; or a description of information or documents which may contain data about their form and content. When used in the context of electronic records it includes the structure that supports the electronic record, e.g. directory tree or index and software information, such as appropriate executable files relating to the


software, and data files necessary in order to run the software program.

Non-significant See “Significant records” - section 3.2.

Sentencing/ sentencing date Sentencing is the process of identifying which disposal class a record belongs to and applying the disposal action specified in the Retention and Disposal Schedule to the record.

Significant Records See “Significant records” - section 3.2.

Successful Audit Successful completion of the audit of an event (e.g. financial year, tax audit, quality audit, etc.) to which the records in question relate.

Superseded A superseded record is one that is replaced by the production of a new version or amendment.

University The University of the South Pacific, including all regional campuses.

University Record Any record of information however recorded which has been created, received or kept by the University or a University employee in the course of the employee’s work for the University. Library materials are explicitly excluded from this coverage.

Further information The Records Management office is responsible for advising and assisting University staff in matters of records management including creation, maintenance, security and disposition of University records.

For further information about The University of the South Pacific Disposal Schedule, retention and disposal more generally, or the USP Archive please contact the Records Management office on telephone: (+679) 32 31687 or [email protected]

mailto:[email protected]


Notes

PART I - Functional Disposal Schedule The University of the South Pacific Retention and Disposal Schedule 25 Records Management

PART I

FUNCTIONAL DISPOSAL SCHEDULE


The USP Functional Disposal Schedule The USP Functional Disposal Schedule (FDS) is an authority for the retention and disposal of all records of The University of the South Pacific. It is principally based on the Western Australian University Sector Disposal Authority [WAUSDA], a schedule applied across four universities in Western Australia. The schedule has been supplied by our records management partner Edith Cowan University who contributed to its development. This schedule has been developed to facilitate the authorised and lawful disposal of records, regardless of format, that document the functions of USP. It is a management tool for identifying and determining the retention and disposal of records created or received and managed by USP across all its locations. This ensures that records are maintained for as long as they possess administrative, legal, fiscal or research value. The aims of the USP Schedule are to:

• provide a consistent and standardised approach to retention and disposal of university records;

• identify University records that are deemed to be of archival, historical and /or continuing value to the University or Pacific Region;

• prevent the premature destruction of records which need to be retained for a specific period to satisfy legal, financial and other requirements of public administration; and

• authorise the destruction of those records not required for permanent retention.

The Schedule contains valuable information and guidance to the University in respect of the functional records it creates, and as such it is an important business tool and assists to guide compliance with legal obligations.

Scope of the USP Schedule The USP Functional Disposal Schedule covers the functional records created and kept by The University of the South Pacific, including each of the regional campuses. This includes all records covered by the USP Records Management Policy irrespective of the systems to which they belong.

This Schedule supersedes all previously approved University records disposal policies and schedules. Records sentenced under previous University Disposal Authorities which are still in the custody of the University need not be resentenced UNLESS the retention period has increased or the disposal action has changed. The USP Schedule applies to records in all formats.

Use of the USP Functional Disposal Schedule

Arrangement The USP Functional Disposal Schedule applies to University records in all formats that are created or received by the University. The Schedule has a hierarchical structure which reflects its arrangement according to functions and activities. The Schedule has been divided into four parts:


Part A covers Ephemeral records.

Part B covers Common Formats of records (diaries and calendars, photographs and audio-visual records, and databases).

Part C covers Common Activity Descriptors, or subcategories, which may be applied to various keywords. The aim of this section is to reduce unnecessary duplication.

Part D covers records under 21 administrative and functional Keywords. • COLLECTION MANAGEMENT • COMMUNITY RELATIONS • COMPENSATION • EQUIPMENT & STORES • ESTABLISHMENT • EXTERNAL (AGENCY) RELATIONS • FACILITIES MANAGEMENT • FINANCIAL MANAGEMENT • FLEET MANAGEMENT • INFORMATION MANAGEMENT • LEGAL SERVICES • OCCUPATIONAL HEALTH & SAFETY • PERSONNEL • PUBLICATIONS • RESEARCH • STAFF DEVELOPMENT • STRATEGIC MANAGEMENT • STUDENT ADMINISTRATION • STUDENT SERVICES • TEACHING & LEARNING • TECHNOLOGY & TELECOMMUNICATIONS

Disposition Disposition of a record may take one of two forms:

• Archive (denoted A) is a record category identified as having archival value, that is to be transferred to the USP Archive for permanent retention.

• Destroy (denoted D) is a record category identified as having temporary value and which will be destroyed after the authorised retention period has been exceeded.

Other Disposal Schedules In addition to PART I - USP Functional Disposal Schedule (FDS) the following disposal schedules are used as a basis for the retention and disposal of administrative records, financial and accounting records and human resource management records and cover the functional records created and kept by The University of the South Pacific, including each of the regional campuses. This includes all records covered by the USP Records Management Policy irrespective of the systems to which they belong:

• PART II - Disposal Schedule for Financial and Accounting Records (DSFAR)


• PART III - Disposal Schedule for Human Resource Management Records (DSHRM)

Together the separate disposal schedules form The University of the South Pacific Retention and Disposal Schedule.

Further Information The Records Management office is responsible for advising and assisting University staff in matters of records management including creation, maintenance, security and disposition of University records.

For further information about The University of the South Pacific Functional Disposal Schedule please contact the Records Management office on telephone: (+679) 32 31687 or [email protected]



Reference Number

Description of Records Custody Disposal Action A= Archive D= Destroy

PART A EPHEMERAL RECORDS

1 EPHEMERAL RECORDS Ephemeral records have no continuing value to the University and generally are only needed for a few hours or a few days. They may not need to be placed within the official recordkeeping system (e.g. brochures, fliers not produced by the University).

1.1 Duplicate (or extract) copies of records, documents, circulars, forms, etc. where no annotations have been made

When reference ceases

D

1.2 Information material produced by other organisations (e.g. price lists, catalogues, advertising material, brochures)


D

1.3 Reference sets of manuals, directories, addresses and contact lists


D

1.4 Unsolicited letters or promotional material offering goods or services to the University


D

1.5 Messages including voice mail, e-mail, telephone messages, post-it or sticky notes when the message does not relate to the business functions of the University

Please note: Messages which do relate to the business functions of the University must be transcribed or printed, and placed on the appropriate subject file. Once the message has been attached to file, the original message may be destroyed.


D

1.6 Rough drafts of reports or correspondence, routine or rough calculations not circulated to other staff for comment/input, and of which a final draft has been produced and placed in the appropriate subject file

Please note: Versions of drafts which contain significant changes to content must be placed on the appropriate subject file, e.g. internal policy.


D

1.7 Transitory messages giving minor instructions and of a routine instructional nature that are used to further some activity in either a paper-based or electronic format (e.g. corrections, requesting file creation or retrieval, filing a letter, formatting documents)

When reference ceases D


Reference Number


1.8 Letters or cards of appreciation, sympathy or greetings with no enduring value


D

1.9 Working papers, background notes and reference materials used to prepare or complete other documents (where these documents have been placed on the appropriate subject file)

Please note: Working papers and background notes relating to the development of internal policy or high level strategic issues must be placed on the appropriate subject file. See also COMMON ACTIVITIES – Policy, Section 5.7.1.

Staff must be mindful of the content of working papers and retain them as part of a subject file if deemed necessary.


D

1.10 Computer records (e.g. test data, data input forms)

See TECHNOLOGY AND TELECOMMUNICATIONS for computer logs.


D

1.11 Fax transmission reports When reference ceases

D


Reference Number


PART B COMMON FORMATS This section refers to certain formats of records that are frequently maintained in organisations: diaries, calendars, photographs and audio-visual records, and databases.

2 DIARIES AND CALENDARS Refers to both hard copy and electronic diary systems.

2.1 Diaries / appointment books – of VC, Senior Management Team, senior executives, recording detailed information regarding significant matters that are not recorded elsewhere


A

(after 5 years)

2.2 Diaries / appointment books – of VC, Senior Management Team, senior executives, recording detailed information regarding significant matters that are recorded elsewhere


D

(after 5 years)

2.3 Diaries / appointment books – used by authorised officers of the University who deal with the public (e.g. counsellors) recording detailed information which is not held elsewhere


D

(after 3 years)

2.4 Diaries / appointment books – used by other officers to record basic information e.g. dates and times of meetings and appointments


D

(after 1 year)

2.5 Calendars (including desk calendars) When reference ceases

D

3 PHOTOGRAPHS AND AUDIOVISUAL RECORDS Photographs and audio-visual records that are records of business activity must be maintained and sentenced according to their subject matter.

Refer to section 3.1.5 in the Introduction for instructions on maintaining photographs and audio-visual records as University records.


Reference Number


4 DATABASES The University creates and manages databases for functional or administrative purposes. Databases that contain information relating to functional or administrative activities must be maintained and sentenced according to their subject matter, by using the USP Disposal Schedule.

Refer to section 3.1.3 in the Introduction for instructions on maintaining databases as University records.


Reference Number


PART C COMMON ACTIVITIES

5 COMMON ACTIVITIES These activities may be used in conjunction with Keywords as appropriate.

5.1 ADVICE

Records relating to the receipt or provision of advice to, or by, the University.

See Part D - LEGAL SERVICES – Advice for records relating to legal advice.

5.1.1 Significant advice – i.e. that which:

• affects a major university portfolio or function, or concerns or affects Corporate Executive activity, or

• concerns major liabilities or obligations of the University or relates to the development of legislation, regulations, or policy, or

• relates to controversial matters or wide community interest, or

• otherwise (significantly) impacts or affects the University’s functions or structure e.g. proposed changes to University functions

Refer to the Introduction, 3.2 for a description of significant.

5 years after last action

A

5.1.2 Other advice – concerning routine operational or administrative matters.


D

5.2 AGREEMENTS / CONTRACTING-OUT / JOINT VENTURES

The establishment and management of ALL binding arrangements including:

• agreements (including service agreements), • contracts under seal, deed or special contracts, • joint ventures, and • Memoranda of Understanding (MOUs) established for any

purpose, including: o the provision of services by external contractors /

consultants, o the use of internal or external bureau services, and


Reference Number


o the performance of University projects, programs and services by outsourced agents.

See COMMON ACTIVITIES – Tendering for records relating to tenders and the tendering process.

Refer to the USP Disposal Schedule for Human Resource Management Records for employment contracts.

5.2.1 Significant Agreements / Contracts /Joint Ventures

All records relating to the establishment, ongoing management, and finalisation of significant contracts, agreements and joint ventures. Includes entries and records in a Contracts Register.

Significant is defined as a contract, agreement or joint venture that:

• affects a major university function, or • affects the transfer of University or University

responsibilities, or is associated with the privatisation of University functions, or involves inter-university relations, or

• is to do with large-scale university infrastructure projects, or • required Senior Management Team/Vice Chancellor’s

approval, or • has implications for major liabilities or obligations of the

University, or • sets a contractual precedent for the University or • was established under controversial circumstances or is

concerned with controversial matters, or • otherwise (significantly) impacts on or changes the

University’s functions

5 years after expiry of contract

A

5.2.2 Agreements / Contracts / Joint Ventures Under Seal or Deed

All records relating to the establishment, management, and finalisation of contracts, agreements and joint ventures, under seal. Includes entries and records in a Contracts Register

21 years after expiry of contract, and at end of defects liability period, if applicable

D

5.2.3 Other Agreements / Contracts / Joint Ventures

Records relating to the establishment, management, and finalization of all other contracts, agreements and joint ventures. Includes entries and records in a Contracts Register


D


Reference Number


5.2.4 Contracts Register – where created separately to the contract Retain in accordance with 5.2.1, 5.2.2 or 5.2.3 as applicable

5.3 ARRANGEMENTS

The preliminary measures and preparations undertaken to ensure that a planned process or action takes place. Includes arrangements made for the delivery of equipment or goods and the usage made of facilities, vehicles, equipment and space. This includes timetabling, venue bookings, teaching loads, preparing travel itineraries, authorizations, entitlements etc.

See also Part D - STUDENT ADMINISTRATION - Graduation Ceremonies for records associated with the planning and coordination of graduation ceremonies.

See also Part D - COMMUNITY RELATIONS - Event Planning for the coordination of University events other than graduation ceremonies

5.3.1 Arrangements for travel including the preparation of itineraries, authorizations, entitlements. Includes field trips, excursions and research work conducted in isolated environments.

Retain minimum of 7 years after action completed, then destroy

D

5.3.2 Arrangements made for the delivery of equipment or goods and the usage made of facilities, vehicles, equipment and space, catering, room bookings


D


Reference Number


5.4 COMMITTEES

All records relating to “committees”, established for functional or administrative purposes, and includes:

• Council and Senate; • Advisory and Approval Committees, or similar; established

by the Council and Senate to perform a legislative function or for business requirements;

• internal administrative committees of the University; • external committees, i.e. committees external to the

University, attended by University staff; and • working groups and task forces.

5.4.1 Establishment of committees – relating to strategic planning and policy, corporate executive, or core business functions (including appointment of members)


A

5.4.2 Establishment of committees – relating to administrative activities, branch / unit level management, or non-core business activities (including appointment of members)


D

5.4.3 Internal committees – relating to core business functions and activities

• agendas, minutes, reports and supporting papers


A

5.4.4 Internal committees – relating to strategic planning and policy or corporate executive



A

5.4.5 Internal committees – relating to administrative activities, branch/unit level management, or non-core business activities



D

5.4.6 External committees where the University has a coordinating or secretariat role, relating to strategic planning and policy, corporate executive, or core business functions


5 years after last action A

5.4.7 External committees where the University has significant input other than that in 5.3.6



A


Reference Number


5.4.8 External committees – where the University has a coordinating or secretariat role, relating to administrative activities, branch/unit level management, or non-core business activities


5 years after last action D

5.4.9 External committees – where the University has no coordinating or secretariat role



D

5.4.10 Arrangements (e.g. room bookings) and notices 5 year after last action D

5.5 COMPLIANCE

Records relating to compliance with statutory, or industry standards or requirements, including proof of compliance.

See also COMMON ACTIVITIES – Reporting

5.5.1 Breaches - serious breaches, serious failures or substantial investigations


A

5.5.2 Breaches – minor 7 years after last action

D

5.5.3 Compliance – records documenting proof of compliance by the University


D

5.5.4 Compliance – financial or accounting Refer to DSFAR

5.6 IMPLEMENTATION

Carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes monitoring to ensure the implementation goes according to schedule and that standards are met

See also Part D - TECHNOLOGY & TELECOMMUNICATIONS for the implementation of systems or applications.


Reference Number


5.6.1 The implementation of policies, plans, procedures or instructions to meet benchmarks or standards to enhance quality and efficiency.


D

5.7 INCIDENT MANAGEMENT

A comprehensive investigation of an incident that occurs on or off campus that affects the University.

5.7.1 Case files for the management of significant incidents. Incidents may affect the University as a whole, staff, students, visitors, property and facilities, vehicles etc.

Refer to the Introduction, 3.2 for a description of significant

Retain minimum of 5 years after action completed, then transfer to Archives

A

5.7.2 Case files for the management of non-significant incidents, not included in 5.7.1.

Incidents may affect the University as a whole, staff, students, visitors, property and facilities, vehicles etc.


D

5.8 MEETINGS

Records relating to meetings of groups within the University or involving University personnel, pertaining to the management of sections, departments or the University as a whole.

See COMMON ACTIVITIES - Committees for meetings of committees, working groups, etc.

5.8.1 High-level internal meetings (relating to strategic planning and policy, corporate executive, and core business functions)



A


Reference Number


5.8.2 Other internal meetings (relating to administrative activities, branch / unit level management, and non-core business activities)



D

5.8.3 External meetings where the University has a coordinating or secretariat role (relating to strategic planning and policy, corporate executive, and core business functions)



5.8.4 External meetings where the University has a coordinating or secretariat role (relating to administrative activities, branch / unit level management, and non-core business activities)



5.8.5 External meetings where the University has no coordinating or secretariat role


1 year after last action D

5.8.6 Arrangements and notices (e.g. room bookings) 5 year after last action D

5.9 PLANNING

Records relating to the process of formulating formal plans to achieve specific objectives. Includes determination of services, needs and solutions to those needs.

See Part D - FACILITIES MANAGEMENT – Planning for planning and development activities relating to University property.

See Part D - STRATEGIC MANAGEMENT – Planning for the University’s strategic, corporate, business, operational and administrative plans.

See also Part D - STUDENT ADMINISTRATION - Planning for student-based planning activities such as student load intakes.

5.9.1 The planning of significant University functions and processes


See also Part D - STRATEGIC MANAGEMENT - Planning for planning that affects university wide strategic corporate and business plans.


A


Reference Number


5.9.2 The planning of non-significant functional activities and processes i.e. operational level planning.


D

5.9.3 Working papers used in developing University plans. Retain minimum of 5 years after action completed, then destroy

D

5.10 POLICY

The development and implementation of policies that affect the entire University. Also includes organisational contribution to University policies.

See COMMON ACTIVITIES – Compliance for policy that USP is obligated to adopt under legislative or regulatory requirements.

5.10.1 Policies developed by the University – drafts, working papers, final copies and implementation

Please note: This category refers to policies developed for internal use in the University.


D

5.10.2 University policies - significant input from the organization 5 years after last action

A

5.10.3 University policies -minor or no input from organization 3 years after last action

D

5.10.4 Internal circulars – master copies 5 years after last action

A

5.11 PROCEDURES

Procedures used by the University, whether internal (produced by the University) or externally produced.


Reference Number


5.11.1 Internal (including drafts and working papers) – relating to the core business functions and activities of University – master sets

5 years after superseded

A

5.11.2 Internal – relating to Compensation, Establishment, Industrial Relations, Occupational Health and Safety, Personnel and Staff Development

Refer to DSHRM

5.11.3 Internal – relating to Financial Management Refer to DSFAR

5.11.4 Internal (including drafts and working papers) – relating to other administrative activities e.g. Standard Operating Procedures


D

5.11.5 Internal Circulars – master copies Retain in accordance with 5.7.1, 5.7.2, 5.7.3 or 5.7.4 as appropriate

5.11.6 Externally produced procedures (including external agency procedures)


D

5.12 PROJECT MANAGEMENT

Records relating to the discipline of planning, organising and managing resources to bring about the successful completion of a project utilizing a combination of techniques, procedures, people and systems. Includes the organising and management of resources (people, finance, etc.) in such a way that the project is completed within a defined scope, quality, time and cost constraint.

Use this activity for documentation created as result of defining, planning, approval, implementation and evaluation of a project. Includes records such as progress reports and project meetings and project execution plans.

See Part D - RESEARCH for projects related to research activities.

5.12.1 Significant projects that have a defined project management life-cycle from their initiation, planning, execution, monitoring to their closure. Includes templates, models, process diagrams and guidelines undertaken by the University.

Does NOT include Research projects.

5 years after project is completed, or dis-

A


Reference Number


Refer to the Introduction, 3.2 for a description of significant. continued

5.12.2 Other (non-significant) projects not included in 5.12.1, that have a defined project management life cycle from their initiation, planning, execution, and monitoring to their closure. Includes templates, models, process diagrams and guidelines undertaken by the University.

Does NOT include Research projects.

7 years after project is completed, or discontinued

D

5.13 REPORTING

Records relating to formal and/or informal reporting against day-to-day business activities or low-level operational activities. Includes statistical information and surveys.

See Part D - STRATEGIC MANAGEMENT – Reporting for formal reporting against University business, corporate, or strategic plans.

See Part D - AGENCY RELATIONS – Reporting for formal reporting against University plans.

See Part D - PUBLICATION for records relating to the University’s annual report.

5.13.1 Reporting – day-to-day administrative or operational activities. 5 years after last action

D

5.14 REVIWING

The re-examining of existing products, processes, procedures, standards and systems with the view to improve or change it. Includes recommendations and advice resulting from these activities.

5.14.1 A review of significant university strategies, programs and operations. Includes documents establishing the review, final report and action plan.



A

5.14.2 A review of non-significant, general operational matters, services, procedures and systems, not included in 5.14.1.

Retain minimum of 7 years after action

D


Reference Number


completed, then destroy

5.14.3 Supplementary records, drafts and working papers of significant reviews.



D

5.14.4 Supplementary records, drafts and working papers for non-significant or external reviews.


D

5.14.5 Contribution to external reviews. Retain minimum of 7 years after action completed, then destroy

D

5.15 RESEARCH

See also Part D - PUBLICATION – Drafting for research incorporated into University publications.

See also Part D - RESEARCH – Dissemination.

5.15.1 Research – concerning strategic direction or University-wide issues


A

5.15.2 Research – concerning administrative issues 3 years after last action

D

5.15.3 Qualitative and quantitative data – used for research, not forming the basis for a publication

3 years after preparation

D


Reference Number


of research

5.15.4 Routine research (e.g. library queries or literature searches) 1 year after last action D

5.16 STATISTICS

Statistical information collected and collated by the University.

5.16.1 Returns (raw data). 2 years after last action

D

5.16.2 Consolidated statistics – forwarded to Fiji Bureau of Statistics (FBS) and/or other national government statistic offices.


D

5.16.3 Consolidated statistics – major business activities, not forwarded to FBS, incorporated into University’s annual report.


D

5.16.4 Consolidated statistics –-major business activities, not forwarded to FBS, not incorporated into University’s annual report.


A

5.16.5 Statistical information – other statistics relating to University activities


D

5.16.6 Statistical information – from external University’s, retained for reference purposes


D

5.17 SURVEYS

Surveys developed or completed by the University (includes returns, collection, collation and analysis).

5.17.1 Returns (raw data) 2 years after last action

D

5.17.2 Surveys conducted by USP – not incorporated into annual report or other reports, or not proceeded with (including arrangements for collection, collation and analysis)


D

5.17.3 Surveys conducted by USP – incorporated into annual report (including arrangements for collection, collation, and analysis)

5 years after last D


Reference Number


action

5.17.4 Surveys conducted by other organisations (information provided by USP)


D

5.18 TENDERING

The process of assessing submissions with the goal of establishing a contract.

See also COMMON ACTIVITIES – Agreements / Contracting-Out /Joint Ventures.

5.18.1 Tenders – successful applicants (university projects, landmark structures, other projects of significant public interest)

Refer to DSFAR

5.18.2 Tenders – successful applicants (other) Refer to DSFAR

5.18.3 Tenders – unsuccessful applications Refer to DSFAR

5.18.4 Tender register Refer to DSFAR

5.18.5 Tenders – advertising arrangements and copies of advertisements


D

5.18.6 Tenders – enquiries 2 years after last action

D

5.18.7 Tenders – quotes offered Refer to DSFAR


Reference Number

Function / Activity Description Custody Disposal Action A= Archive D= Destroy

PART D KEYWORDS/ ADMINISTRATIVE ACTIVITIES

6 COLLECTION MANAGEMENT

The function of managing University collections of art, museum specimens (including biological and geological specimens), private archives and other objects which are owned by the University or on loan to the University. Includes the ongoing care and preservation of items and artefacts in the collection.

See also INFORMATION MANAGEMENT for the management of business information such as university records, University or University Archives and library materials

6.1 Acquisition The process of gaining ownership of University art, museum and private archive collection materials.

See also COLLECTION MANAGEMENT - Donations for items acquired through donation

See also COLLECTION MANAGEMENT - Control for registers of acquisitions

6.1.1 Significant acquisitions of art, museum and private archive collection materials.



A

6.1.2 Non-significant acquisitions of art, museum and private archive collection materials, not included in 6.1.1

Retain minimum of 7 years after action completed,

D


Reference Number


then destroy

6.1.3 Initial assessment of potential acquisitions of art, museum and private archive collection materials.


D

6.1.4 Planning and management of commissioned portraits of the University Vice-Chancellor and other University dignitaries.


A

6.2 Conservation The conservation, preservation, maintenance and restoration of artefacts or items of the collections. This includes conservator reports, summaries of action, photographs, recommendations and other records that document such activities. Also includes records that document the activities of general conservation and preservation such as temperature and humidity control and pest control in storage areas.

See also FACILITIES MANAGEMENT - Maintenance

See also INFORMATION MANAGEMENT - Conservation for the conservation and preservation of library materials and University records including the University Archive.

6.2.1 Monitoring and control of conditions of exhibitions and storage spaces. Includes activities such as temperature, pest and humidity control and monitoring.


D


Reference Number


then destroy

6.2.2 Conservation and preservation carried out directly to an item or artefact such as repairs, de-acidification etc.

Retain a minimum of 7 years after artefact or item has been de-accessioned, then destroy.

D

6.3 Control Creating, maintaining and evaluating control mechanisms. Includes classification, indexing, registration to ensure maximum control over items in the collection.

6.3.1 The cataloguing or registering of artefacts or items within the collection. These control records may include catalogues, finding aids, card systems, inventories, indexes, registers, electronic control systems or any other mechanism used to list and describe the items of the collection.


A

6.3.2 Registers of collection items acquired for University Museums, registers of artwork acquisitions by the University including purchases and donations.


A

6.4 Disposal The process of disposing of collection items no longer required by the University, by sale,


Reference Number


transfer, auction, or destruction.

6.4.1 The disposal or de-accessioning of collections, artefacts or items from a collection by sale, transfer, donation or destruction.


A

6.5 Donations Managing money, items, artefacts donated to or from the University collections. Includes donations of items by bequest or endowment and includes managing unsolicited donations.

See also COMMUNITY RELATIONS - Fundraising for activities carried out to receive money or other benefits through donations

See also COMMUNITY RELATIONS - Donations for other donations such as those for research, prizes and scholarships

See also COLLECTION MANAGEMENT - Disposal for donations from the University

6.5.1 Significant donations to the university collections such as the art gallery or museums. Includes those donations acquired from private collections deeded to the university that fall within the collection policies.



A


Reference Number


6.5.2 Non-significant donations to the university's collections of little cultural or research value, not included in 6.5.1. These donations may include duplicated items or artefacts that are already in the collection, or those donations that are accepted but do not meet the collection policies.


D

6.6 Exhibitions The planning, implementation and management of exhibitions, festivals and programmes coordinated by the University Archives, galleries and museums. Includes exhibition files, programme files, loan information regarding borrowed items, general advice or correspondence and associated information that informs the exhibition/programme such as artist files and research files.

See also COMMUNITY RELATIONS - Media Relations for records relating to reviews or media releases about exhibitions

See also PUBLICATIONS - Organisational Publications for records relating to exhibition publications / catalogues

See also COMMUNITY RELATIONS - Exhibitions for records relating to the administrative arrangements of exhibitions including catering

6.6.1 Significant exhibitions and programmes including those of art, museum and private archive collections. Includes associated curatorial notes and lending of items.



A


Reference Number


6.6.2 Non-significant exhibitions and programmes including those of art, museum and private archive collections, not included in 6.6.1. Includes associated curatorial notes and lending of items.


D

6.7 Lending Out Granting the use of items from University collections. Includes correspondence (not including formal agreements) that set out conditions, rights and responsibilities of both parties. Also includes courier delivery dockets, condition reports and all associate correspondence. Lending may occur within the university or to external organisations for displays and exhibitions.

See also INFORMATION MANAGEMENT - Lending for records relating to loans of information resources and publications

See also COLLECTION MANAGEMENT - Exhibitions for records relating to items borrowed by the university for exhibitions.

6.7.1 Lending of items from University collections to internal clients for use in a display, event or exhibition.

See also COLLECTION MANAGEMENT - Exhibitions for lending of items from the university collection to external clients

Retain a minimum of 7 years after item returned, then destroy

D

6.8 Privacy The application of the principles of privacy in the collection, handling, use and disclosure of art, museum or private archive collections that are of a private, personal or confidential nature in order to maintain the rights of a living person (or immediate family).


Reference Number


See also COLLECTION MANAGEMENT - Security for activities associated with managing access to collections

See also INFORMATION MANAGEMENT - Security for breaches of privacy

6.8.1 Application of the Information Privacy Principles (IPP) to a University museum, private archives and art collections. Includes records relating to the development of access restrictions and the ongoing protection of information to ensure privacy.


D

6.9 Security Measures taken to manage access to protect artefacts and items in art, museum and private archive collections from accidental or intentional damage.

See also COLLECTION MANAGEMENT - Privacy for the administration and management of privacy provisions for art, museum and private archive collections

See also FACILITIES MANAGEMENT - Security for security arrangements for University property

See also INFORMATION MANAGEMENT - Security for the administration and management of access to records including University archives

6.9.1 The management of restricted items or artefacts such as oral histories in culturally significant art, museum or private archive collections such as Indigenous collections.

Retain in agency A


Reference Number



6.9.2 The provision of access to and use of university art, museum or private archive collections according to a collection access policy. These records include applications for access, access conditions and registers of access.


D

6.9.3 The management of security arrangements for handling items and artefacts within the University art, museum or private archive collections.


D

7 COMMUNITY RELATIONS

The function of establishing rapport with the community and raising and maintaining the University's broad public profile. Includes marketing, advertising, fundraising, media liaison, exhibitions, celebrations, ceremonies, public lectures, 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.

7.1 Addresses/ Presentations

Records related to addresses and speeches presented for training, professional, community relations or sales purposes. Includes multimedia presentations.

See PUBLICATIONS for publication of addresses presented by University personnel.

See AGENCY RELATIONS – Representations – Council, Senate for addresses or


Reference Number


speeches presented by Pro Chancellor or appointed members of Council, etc.

7.1.1 Addresses and speeches presented by Vice Chancellor and Senior Management Team – master copies or transcripts


7.1.2 Addresses presented by other officers 5 years after last action D

7.1.3 Addresses – preparatory and background material 2 years after last action D

7.2 Alumni Relations The management of relations with University Alumni and associates.

7.2.1 Significant Alumni association promotions, events or activities.



A

7.2.2 Non-significant alumni association promotions, events or activities, not included in 7.2.1. Retain minimum of 5 years after action completed, then destroy

D


Reference Number


7.2.3 Master register of alumni members Retain minimum of 5 years after action completed, then transfer to Archives

A

7.2.4 Membership details including personal alumni details, notification of members details and changes to personal details

Retain minimum of 1 year after action completed, then destroy

D

7.3 Animal (Veterinary) Care Services

The provision of veterinary care services to the general community.

7.3.1 Ground breaking / precedent setting surgery or treatment of animals. Retain minimum of 5 years after action completed, then transfer to Archives

A

7.3.2 The treatment of animals such as client files, consent forms, surgery records, pathology reports and post mortem reports. Includes the prescription of drugs and register of drugs.


D

7.3.3 Appointment registers for veterinary consultations. Retain minimum of 1 year after action completed, then destroy

D


Reference Number


7.4 Awards The establishment, bestowal and administration of awards and honours to members of the community for outstanding achievement or endeavour. Includes Honorary Awards.

See also CELEBRATIONS, CEREMONIES AND SOCIAL FUNCTIONS

See also PERSONNEL - Recognition for awards and recognition of university staff

See also STUDENT ADMINISTRATION - Scholarships, Prizes and Awards for student awards and prizes

7.4.1 The establishment, administration and bestowal of awards to the community by the University. Includes Honorary awards such as Honorary doctorates.


A

7.5 Celebrations, Ceremonies and Social Functions

Celebrations, ceremonies and social functions relating to the University or University personnel. Includes awards or honours presented or received by the University.

Note: where possible, administrative arrangements (see 7.5.7) for any such event should be managed separately from substantive content – programmes, speeches etc.

7.5.1 Celebrations, ceremonies and functions – of national significance for a member country or commemorating a historical anniversary (for administrative arrangements, see 7.5.7)



Reference Number


7.5.2 Celebrations, ceremonies and functions – that are unique, held for a special occasion, or to honour a particular event (for administrative arrangements, see 7.5.7)


7.5.3 Celebrations, ceremonies and functions – other 5 years after last action D

7.5.4 Awards / honours – nominations received or presented by the University, or University personnel (including supporting documentation)


7.5.5 Awards / honours – recipients/winners of awards received or presented by the University, or University personnel (for administrative arrangements, see 7.5.7)


7.5.6 Awards – industrial awards Refer to DSHRM

7.5.7 Administrative arrangements (e.g. catering) 2 year after last action D

7.6 Child Care Services

The provision of child care services to staff, students and the general community.

7.6.1 Personal case file of each child

This includes records relating to the child's personal information

• attendance

Retain a minimum of 25 years after date of birth, then

D


Reference Number


• parental authorisation • special requirements • particulars of treatment to be given to a child or any medication administered to a child

by a member of the service • injuries that require first aid • parent / guardian reports or serious complaints about child care.

Also includes records relating to the death of a child where the child dies while in the care of the child care service.

destroy

7.6.2 Unsuccessful applications for places for childcare. Includes records of interviews, waiting lists etc.


D

7.6.3 Records of documented observations concerning a child’s interactions and developmental progress and learning and developmental plans for individual children etc.


D

7.6.4 Records relating to the administrative and routine operations of the childcare facility, i.e. catering, daily or weekly routines and programmes of activity.


D


Reference Number


7.7 Community Grants The application for and receipt of community grants. Includes funding for community based activities such as festivals, the museums, art galleries and other community related projects.

See also COMMUNITY RELATIONS - Sponsorship Management for funding received from partners and sponsors of the University activities and events

7.7.1 Summaries and reports generated and collated in the course of monitoring community grant related matters. Includes register listing details of applications and projects.


A

7.8 Competitions Activities associated with competitions run by the University.

7.8.1 Register and associated records of winners of significant competitions run by the University.



A

7.8.2 Register and associated records of winners of competitions run by the University deemed as non-significant, not included in 7.8.1.


D


Reference Number


7.8.3 The development of, and arrangements for, competitions run by the University. Retain minimum of 1 year after action completed, then destroy

D

7.8.4 Competition entries received by the University. Retain minimum of 1 year after action completed, then destroy

D

7.9 Conferences, Courses, Seminars

Refers to conferences, courses or seminars arranged and presented by the University. Note: proceedings of external conferences are not records of the University. Where USP staff present papers or a paper is of significant influence on University policy, these may be added to records of the functional area to which they relate.

Refer to the Disposal Schedule for Human Resource Management Records for University staff attendance at conferences, courses or seminars.

7.9.1 Conferences – planning and development 10 years after last action D

7.9.2 Courses or seminars – planning and development 3 years after last action D


Reference Number


7.9.3 Conferences, courses or seminars – published proceedings 1. Retain in University Library, and

2. Provide USP Archive with publication.

A

7.9.4 Conferences, courses or seminars – unpublished proceedings 5 years after last action A

7.9.5 Administrative arrangements (e.g. bookings, catering) 5 years after last action D

7.10 Customer Service The development and delivery of services for customers.

See also STRATEGIC MANAGEMENT – Customer Service for the planning and evaluation of customer service practices.

See COMMUNITY RELATIONS - Enquiries for requests for information.

7.10.1 Customer service practices and programs – development and implementation 5 years after last action D


Reference Number


7.10.2 Customer service facilities (e.g. help desks, interpreters, outreach programs) – management 5 years after last action D

7.11 Donations The donation of non-monetary items, including artefacts and property, to or from the University.

Refer to the Disposal Schedule for Financial and Accounting Records (DSFAR) for monetary donations.

Please note: If donations play a significant role in the University’s functional operations (e.g. Museum), related records should be sentenced in accordance with the University's Disposal Schedule

7.11.1 Donations or bequests – made to University, of long term value, of significance to the University, or of public interest


7.11.2 Donations – made to University, of little public interest 7 years after last action or disposal of donation

D

7.11.3 Donations – made by University 7 years after donation made D

7.11.4 Donations – refused (offered to, or applied for by University) 3 years after last D


Reference Number


action

7.11.5 Donations – monetary (offered to, or applied for by University) Refer to DSFAR

7.12 Enquiries Requests for information from members of the public, about the University and its services.

See INFORMATION MANAGEMENT – Enquiries for enquiries that are serviced by the University’s information resources.

See AGENCY RELATIONS – Enquiries for requests for information from government and external organisations.

See AGENCY RELATIONS – Inquiries for official requests for information, e.g. Commission of Inquiry

7.12.1 Enquiries – detailed or significant information 5 years after last action D

7.12.2 Enquiries – basic or routine information 2 years after last action D

7.12.3 Enquiries – registers 5 years after last action D


Reference Number


7.13 Event Planning The planning and organisation of university events that mark an occasion or honour a person. Includes official openings and ceremonies, public lectures, unveiling's, festivals, farewells and other functions.

See also COMMUNITY RELATIONS - Event Production for records relating to technical management of events and productions.

See also COMMUNITY RELATIONS - Event Programming for research, selection and development of events, performances and programs.

See also STUDENT ADMINISTRATION - Graduation Ceremonies for records associated with the planning and coordination of graduation ceremonies

See also COMMUNITY RELATIONS - Ceremonies - Celebrations and Functions for significant and unique events and addresses delivered at ceremonies, celebrations and functions

7.13.1 Register or master listing of functions held by the University. Retain minimum of 5 years after action completed, then transfer to Archives

A

7.13.2 Transcripts of public lectures given by either University personnel or invited guests. These lectures may or may not be funded by bequest or endowment.

Retain minimum of 5 years after action completed, then transfer to

A


Reference Number


Archives

7.13.3 The coordination of all university events, including logistical arrangements for musical or theatrical productions, open days, sport and leisure activities including the coordination of the Regional University Games, Inter Tertiary Sports and other annual sporting or leisure trips.


D

7.14 Event Production The technical management and delivery of events, functions, ceremonies and festivals held by the University. May include stage development and modification, stage plans created by the University, sets and prop construction records, lighting and sound arrangements and plans.

See also COMMUNITY RELATIONS – Event Planning for arrangements associated with holding an event.

See also COMMUNITY RELATIONS - Event Programming for research, selection and development of events, performances and programs.

See also STUDENT ADMNISTRTION - Graduation Ceremonies for records associated with the production of graduation ceremonies

7.14.1 The technical production of significant events, such as festival, theatrical and musical productions.



A


Reference Number


7.14.2 The technical production of all non-significant events or productions that are not included in 7.14.1.


D

7.15 Event Programming

The process of researching, selecting and developing a series of events, performances and programmes to form an integrated whole. Includes the processes involved in determining the artistic direction, themes and artistic content of events.

See also COMMUNITY RELATIONS – Event Planning for arrangements associated with holding an event.

See also COMMUNITY RELATIONS - Event Production for the technical production of individual events.

See also STUDENT ADMINISTRATION - Graduation Ceremonies for records associated with the programming of graduation ceremonies

7.15.1 Records relating to negotiations with artists, writers, performers, publishers, agents to encourage them to participate or collaborate in significant University events. May include artist and event background information, negotiation of specific agreement conditions, ongoing liaison for the duration of the agreement.


See also COMMON ACTIVITIES - Agreements / Contacting Out / Joint Ventures for negotiations of agreements for non-significant events

Retain minimum of 5 years after action completed, then transfer to Archives A


Reference Number


7.15.2 Records relating to negotiations and liaison with artists, performers, publishers, agents etc. that did not result in a contract, but are to be considered for future participation.


D

7.15.3 Records pertaining to artists submissions that are not included in programme and are not considered for inclusion in future programmes. Includes unsolicited material or copies of originals sent by artists and organisations


D

7.15.4 The concepts, themes and artistic direction as well as the overall planning, selection and structure of each significant event. Includes research into potential themes and strategic programming direction.



A

7.15.5 The concepts, themes and artistic direction as well as the overall planning, selection and structure of each non-significant event, not included in 7.15.4. Includes research into potential themes and strategic programming direction.


D

7.16 Exhibition The development of exhibitions and displays for educational, informational or promotional purposes.

NB: If exhibitions play a significant role in the University’s functional operations (e.g. Art Gallery). related records should be sentenced in accordance with the University’s Disposal


Reference Number


Schedule

7.16.1 Exhibitions of regional or national significance or which commemorate a historic anniversary – planning, development, content and design

Note: the display itself will not normally be preserved; see 7.16.4.


A

7.16.2 Other exhibitions – planning, development, content and design 3 years after last action D

7.16.3 Administrative arrangements (e.g. catering) 2 years after last action D

7.16.4 Display materials - posters, text boards, reproduced images etc. When no longer of value for re-display

7.17 Fundraising Planning and organising fundraising campaigns and other programmes by the University to raise money or a receive benefits through donations.

See also COLLECTION MANAGEMENT – Donations for donations of artefacts and items to University cultural collections such as the art gallery or museums.

See also COMMUNITY RELATIONS - Donations for other non-monetary donations to the University


Reference Number


See also Disposal Schedule for Financial and Accounting Records - DONATIONS for monetary donations to the University

7.17.1 The investigation, planning and organisation of high profile or significant fundraising campaigns, donation schemes or programmes to raise funds.



A

7.17.2 The investigation, planning and organisation of non-significant fundraising campaigns, donation schemes or programmes to raise funds not included in 7.17.1


D

7.18 Greetings Greetings (e.g. cards) sent by the University.

See also EPHEMERAL RECORDS – section 1.8 for cards received that do not have enduring value.

7.18.1 Greetings (e.g. Christmas cards, condolences) - preparation and sending (including address lists)

1 year after last action D

7.18.2 Invitations – received by University 1 year after last action D


Reference Number


7.19 Health & Wellness Services

The provision of health and wellness services to staff, students and the general community. Includes services provided by University students in the course of their studies and under the supervision of professionals, clinical and teaching personnel. Also includes provision of pastoral care and religious / spiritual services and support such as chaplaincies.

See also STUDENT SERVICES - Career Advice for career counselling provided to current and potential students.

See also Disposal Schedule for Human Resource Management Records - COUNSELLING for counselling services provided to employees of the University

7.19.1 Patient case files where the patient was less than 18 years old at the date of last entry in the record (>18 years). May include medical, counselling, fitness assessment or dental records.

Retain a minimum of 25 years after date of birth, then destroy

D

7.19.2 Patient case files where the patient was 18 years or older at the date of last entry in the record (+18 years). May include medical, counselling, fitness assessment or dental records.


D

7.19.3 Psychiatric patient case files. Retain a minimum of 7 years after patient death, then destroy

D

7.19.4 Records relating to the management and provision of drugs/medicines for medical purposes. Includes all drug registers, prescription file copies, orders and requests and other

Retain minimum of 5 years after

D


Reference Number


documentation used by medical personnel to administer the activity. action completed, then destroy

7.19.5 Records relating to advice on religious/spiritual matters. Retain minimum of 2 years after action completed, then destroy

D

7.19.6 Records relating to services and programmes for religious/spiritual support. Retain minimum of 1 year after action completed, then destroy

D

7.19.7 Development and planning associated with health, wellness and fitness programs. Retain minimum of 7 years after action completed, then destroy

D

7.20 High School Programmes

The provision of programmes that offer the tertiary education experience to secondary school students. In many instances these programmes arrange for high school students to visit the campus and participate in lab work, lectures, seminars and workshops as well as providing the opportunity to meet current University personnel and students. The objective of such programmes is to encourage and foster students to complete Form 6 and 7 and pursue tertiary education.

7.20.1 The administration and management of high school programmes. Retain minimum of 3 years after action completed, then destroy

D

7.20.2 Registers of high priority schools, contact details and regular participant details. Retain until reference use

D


Reference Number


ceases, then destroy

7.20.3 Successful application forms from high school students to attend or participate in high school programmes.


D

7.20.4 Unsuccessful application forms from high school students attend or participate in high school programmes.


D

7.21 Liaison Regular ongoing contact between the University and external bodies. Maintaining regular general contact between University "Friends of..." societies and community groups. Includes sharing of advice and discussions, and collaboration where an agreement is not involved.

See also GOVERNMENT RELATIONS – Representations for community-based correspondence (e.g. petitions) requiring a response

7.21.1 Liaison – between the University and:

• community groups, • professional and industry associations, and • private sector organisations.


D

7.21.2 Professional and industry associations – memberships 5 years after last action D


Reference Number


7.21.3 Professional or industry associations – participation in activities 5 years after last action D

7.21.4 Professional or industry associations – invitations to join, promotional material When reference ceases D

7.21.5 Records relating to social groups or “Friends of …” societies. Includes correspondence, social activities, meeting minutes, agenda, reports, newsletters and other records that document the decision making processes etc.

Retain minimum of 5 years after action completed, then transfer to USP Archive

A

7.22 Marketing / Advertising

Activities undertaken to promote and raise the profile of the University.

The records associated with the process of analyzing, promoting and selling the products and services of the University to the wider community. Includes all forms of marketing such as advertising, competitions and other promotion strategies, merchandising, tourism packages and market research.

See also COMMUNITY RELATIONS - Event Programming for records documenting arrangements, negotiations and discussions of individual events with artists, agents and performers

7.22.1 Advertising Advertising in all media, for the purpose of promoting the University and its activities. Refer to the Disposal Schedule for Human Resource Management Records (DSHRM) for


Reference Number


recruitment advertising.

See COMMON ACTIVITIES – Tendering for advertising relating to tender advertising.

See INFORMATION MANAGEMENT – Copyright for records relating to copyright.

See PUBLICATION – Corporate Style for records relating to the presentation of corporate image (e.g. logos, letterheads)

7.22.1.1 Advertising (all media) – preparation, allocation and placement 3 years after last action D

7.22.1.2 Print advertisements – master copies 3 years after last action D

7.22.1.3 Print advertisements – recruitment Refer to DSHRM

7.22.1.4 Promotional films and videos – if published 1. Retain in University Library, and


A

7.22.1.5 Promotional films and videos – not published 7 years after last D


Reference Number


action

7.22.2 Sponsorship

Arrangements for sponsorships of the University or its projects.

See also COMMON ACTIVITIES – Agreements / Contracting-Out / Joint Ventures for binding arrangements.

7.22.2.1 Sponsorship projects – administrative arrangements 7 years after last action D

7.22.2.2 Sponsorship projects – financial records Refer to DSFAR

7.22.3 Publicity material provided by artists as per contractual obligations, for promotional purposes by the University for example, inclusion in event brochures or promotional videos. Includes: Biographical details; photographs and slides, press cuttings, media releases, audiovisual and audio material provided by artists.


D

7.22.4 The management of marketing specific services and/or products produced by the University. Includes research and assessment of products or services for client needs, agency briefs and layout details for advertisements, promotion activities and product. Include open days.


D


Reference Number


7.22.5 Records relating to the obtaining and use of external organisation databases for marketing purposes, for example, mailing lists.

Retain as per agreement requirements

7.22.6 Individual event marketing plans. Retain minimum of 5 years after action completed, then destroy

D

7.22.7 The development and implementation of packages, in cooperation with other organisations, to promote the University.


D

7.22.8 Master copies of packages produced by the University for use by the media or public to promote University events. May include ticket packs for members of the media, schools, VIP. Also includes articles prepared for the media.

Retain minimum of 5 years after action completed, then transfer to USP Archive

A

7.23 Market Research Research undertaken by the University, or for the University, for marketing purposes.

See also COMMON ACTIVITIES - Reporting for final reports created as a result of market research activities.


Reference Number


7.23.1 Statistical summaries and raw data of audience reaction and expectations to significant events and productions managed by or for the University.



A

7.23.2 Statistical summaries and raw data of audience reaction and expectations to non-significant events and productions, not included in 7.23.1, managed by or for the University.


D

7.24 Media Relations The establishment and development of 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.

7.24.1 Footage and/or press cuttings provided by the media as a record of significant University events.



A

7.24.2 Footage and/or press cuttings provided by the media as a record of non-significant University events, not included in 7.24.1.


D


Reference Number


then destroy

7.24.3 Event information provided to the media for promotional and information purposes. Includes media schedules and supporting documentation, itinerary, interview arrangements and contact details.


D

7.25 Merchandise The design, development and distribution of University merchandise.

See also Disposal Schedule for Financial and Accounting Records - ACCOUNTING for financial records relating to merchandise

7.25.1 The design, development and distribution of University merchandise. Retain minimum of 5 years after action completed, then destroy

D

7.26 Overseas Trained Professionals

Records relating to the provision of training schemes including support for overseas trained professionals, who are seeking employment within the University. Includes the setting of conditions.

7.26.1 The planning and management of orientation programmes for overseas trained professionals. Retain minimum of 2 years after action completed, then destroy

D


Reference Number


7.26.2 Material produced to promote orientation and supporting activities such as mentoring and training for overseas trained professionals.


D

7.26.3 The setting of conditions of accreditation for assessing whether an overseas trained person is qualified for employment in that profession in the region where the person is a member of staff at the University.

Refer to Disposal Schedule for Human Resource Management Records – EMPLOYMENT CONDITIONS

7.26.4 The setting of conditions of accreditation for assessing whether an overseas trained person is qualified for employment in that profession in the region where the person is NOT a member of staff of the University.


D

7.27 Public Reaction Letters of complaint, appreciation, or suggestions received from members of the public.

See COMMUNITY RELATIONS - Enquiries for requests for information.

7.27.1 Public reaction or suggestions – setting a precedent, raising legal issues or leading to a change in policy or procedures


7.27.2 Public reaction or suggestions – requiring investigation or a specific response 7 years after last action D


Reference Number


7.27.3 Public reaction or suggestions – requiring a routine response, requiring no response, or regarding an administrative matter


7.28 Sponsorship Management

Establishing, negotiating, managing, servicing and maintaining sponsorships of the University and its events and activities. Includes relationships with public funding bodies and the provision of University sponsorship to external events and activities.

See also COMMUNITY RELATIONS - Agreements for final agreements and contracts relating to sponsorship

7.28.1 The establishment, development, management, maintenance and servicing of all significant sponsorship opportunities.



A

7.28.2 The establishment, development, management, maintenance and servicing of all non-significant sponsorship opportunities not included in 7.28.1


D

7.28.3 Summaries generated and collated in the course of monitoring sponsorship related matters. Includes register listing details of sponsorship.


A


Reference Number


7.28.4 Records documenting targets for sponsorship income and research of potential sponsorship opportunities.


D

7.28.5 Control records for managing sponsorship activities including inventories of items provided by sponsors as part of sponsorship agreement obligations.


D

7.28.6 Rejections of sponsorship and funding requests. Includes potential sponsorship opportunities not proceeded with.


D

7.29 Ticketing The management of tickets for productions, programmes and events organised and conducted by the University.

7.29.1 The establishment and guidelines for ticketing scheme developed in collaboration with sponsors.


D


Reference Number


7.29.2 Records relating to administrative arrangements of ticketing schemes. Includes mail out lists, ticket price allocations for individual events and final proofs for tickets.


D

7.29.3 Ticket booking and allocation arrangements. Includes individual and group booking forms, complimentary ticket allocations and requests for free tickets.


D

7.30 Visits Visits to the University by members of the public, students or other organisations, for public awareness, public relations, or educational programs. Also includes University staff visits to other organisations on educational or promotional business.

See AGENCY RELATIONS – Visits for “official” visits, i.e. where the visitor is a guest of the University.

7.30.1 Visits to USP – members of the public, government and non-government organisations, or casual groups e.g. schools


7.30.2 Visits to the University – requests for visits 1 year after last action D


Reference Number


7.30.3 Visitors books/registers 7 years after last action D

7.30.4 Staff visits to other organisations 7 years after last action D

8 COMPENSATION Compensation provided to personnel, students and visitors by the university.

See also Disposal Schedule for Human Resource Management Records - COMPENSATION

8.1 Appeals The process of appeals against compensation decisions by application to a higher authority.

8.1.1 Appeals made against the level of compensation paid by or to the University. May include compensation for injury claims, etc.


D

8.2 Claims The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or damage to or destruction of property for students and visitors to the university. Includes recompense sought for stolen or lost property.

See also LEGAL SERVICES for claims that result in legal action

See also Disposal Schedule for Human Resource Management Records - COMPENSATION


Reference Number


for claims relating to University employees

See also Disposal Schedule for Financial and Accounting Records - INSURANCE for financial records relating to compensation claims

8.2.1 Listing of compensation claims Retain minimum of 15 years after action completed, then destroy

D

8.2.2 Claims for compensation submitted by members of the public managed by an external insurance provider.

Retain a minimum of 7 years after claim is finalised, then destroy

D

8.2.3 Records relating to traffic accidents which involve injury or damage to property and result in compensation claims and/or litigation.

Use LEGAL SERVICES for legal actions.

Refer to Disposal Schedule for Financial and Accounting Records for financial records relating to insurance.

Retain minimum of 6 years after action completed, then destroy D


Reference Number


9 EQUIPMENT & STORES

The function of acquiring, supplying, maintaining, testing, inspecting, repairing and disposing of equipment and stores stocked and used by the university. Items of equipment include instruments, implements, tools, machines, plant, furniture and furnishings.

Examples of equipment are instruments, tools, machinery, plant and furniture.

Examples of stores are stationery, medical supplies, kitchen and cleaning items and chemicals.

See also TECHNOLOGY AND TELECOMMUNICATIONS for the management of telecommunication and technological equipment such as telephones, facsimile machines and computer hardware and software

See also FLEET MANAGEMENT and FACILITIES MANAGEMENT for related assets.

9.1 Acquisition

The administrative processes associated with acquiring equipment or stores, through means such as purchase, leasing, and requisition.

See COMMON ACTIVITIES – Agreements/Contracting-Out/Joint Ventures for equipment or stores acquired through contracts or tenders.

See FACILITIES MANAGEMENT – Fit-Outs for equipment acquired as part of a fit-out.

9.1.1 Investigations (to determine University requirements for equipment or stores) - for items purchased


9.1.2 Investigations (to determine University requirements for equipment or stores) - for items not purchased


9.1.3 Asset registers Refer to DSFAR


Reference Number


9.1.4 Delivery instructions for items received (e.g. packing slips) Refer to DSFAR

9.1.5 Warranties and guarantees Until item disposed of D

9.1.6 Acquisition – reference material (e.g. catalogues, price lists) When reference ceases D

9.1.7 Acquisition – financial records Refer to DSFAR

9.2 Allocation

The process of assigning equipment to employees or sections of the University.

9.2.1 Allocation and usage – equipment and stores (e.g. bookings logs) 2 years after last action D

9.3 Audit Refer to DSFAR

9.4 Disposal

The disposal of equipment or stores through means such as sale, auction, transfer, exchange or destruction.

See COMMUNITY RELATIONS – Donations for equipment or stores disposed of by means of donation.

Refer to DSFAR

9.5 Evaluation

Records relating to the evaluation of the University’s equipment.


Reference Number


9.5.1 Evaluation – equipment 2 years after last action D

9.6 Installation Records relating to installation of University equipment.

9.6.1 Installation – equipment 3 years after last action D

9.7 Inspections

Inspections of University equipment.

9.7.1 Inspections – equipment 7 years after last action D

9.8 Insurance Refer to DSFAR

9.9 Inventory

Lists that count the number of items held by the University.

See EQUIPMENT AND STORES – Stocktake for listings used to assess items’ condition and whether to replace them.

Refer to DSFAR

9.10 Maintenance

Records relating to the ongoing maintenance and repairs of University equipment.

See COMMON ACTIVITIES – Agreements/Contracting-Out/Joint Ventures for maintenance contracts and service agreements.

9.10.1 Maintenance and repair of equipment 7 years after last action D


Reference Number


9.11 Stocktake

The listing of items held within the University, for the purpose of examining and valuing.

See EQUIPMENT AND STORES – Inventory for lists of items counted.

Refer to DSFAR

10 ESTABLISHMENT The function of forming and/or changing the organisational structure through establishing and reviewing positions or the forming of University controlled entities and affiliated or associated agencies and companies.

See also Disposal Schedule for Human Resource Management Records.

10.1 Formation Formation of University controlled entities and affiliated or associated agencies and the establishment of University companies.

10.1.1 Foundation records associated with the establishing of controlled entities and affiliated or associated agencies and university companies. Includes business registration, constitution and other associated documentation.


A

11 AGENCY (EXTERNAL) RELATIONS

The University’s relationships and interactions with external organisations.

The function of establishing and administering a formal relationship with a body external to the University, including government, non-government, and professional bodies, etc.

See RESEARCH - Consultancy for consultancy activities (research or otherwise).

11.1 Enquiries Requests for information from external organisations offices.


Reference Number


11.1.1 Enquiries – detailed or significant information regarding the University’s services and programs


11.1.2 Enquiries – basic, general or routine information 2 years after last action D

11.1.3 Enquiries – registers 5 years after last action D

11.2 Inquiries

Official requests for information:-

• Investigations carried out by persons or bodies who are empowered to inquire and report on a subject, including Commissions of Inquiry, Parliaments and Parliamentary Commissioner for Administrative Investigations (Ombudsman), etc.

See AGENCY RELATIONS – Enquiries for general requests for information that come from governments, government agencies, non-government organisations or professional bodies.

See INFORMATION MANAGEMENT – Cases for Freedom of Information requests.

11.2.1 Investigations or inquiries (including evidence) - directly related to University functions, programs or services


11.2.2 Investigations or inquiries (including evidence) -not related to University functions but requiring substantial University input (e.g. submissions, statements)



Reference Number


11.2.3 Investigations or inquiries (including evidence) - requiring little or no action by the University


11.2.4 Inquiry recommendations – implementation 5 years after last action A

11.2.5 Information – distributed from Commission of Inquiry or Government 5 years after last action D

11.3 Representations

Records relating to responses to questions raised in parliaments or other representative bodies of member countries regarding membership, services or relations with USP. Includes community-based representations (e.g. petitions) seeking a formal response.

11.3.1 Representations (including those from the community) – directed to the University that

• result in a change to University policy or procedure, program or service; or

cover significant issues (whether or not the representation results in a change to policy, procedure, program or service)


A

11.3.2 Representations (including those from the community) – directed to the University, that • do not result in a change to University policy or procedure, program or service; and • do not cover significant issues



Reference Number


11.3.3 Ministerials

Priority requests for information that comes to the University from the relevant Ministers office, usually requiring immediate action.

11.3.3.1 Ministerials regarding functional or operational issues where not captured on a subject file 5 years after last action A

11.3.3.2 Ministerials issued for informational purposes only, not requiring a response 3 years after last action D

11.3.3.3 Ministerials register 7 years after last action D

11.4 Reporting

To be used only for formal reporting against business plans.

See COMMON ACTIVITIES – Reporting for other reporting carried out by the University.

See STRATEGIC MANAGEMENT – Reporting for formal reporting against University business, corporate, or strategic plans.

See PUBLICATION for records relating to production of the University’s annual report.

11.4.1 Regular reporting – to other agencies or units, relating to business plans 5 years after last action D

11.4.2 Ad hoc or special reporting – to other agencies or organisations, relating to functional issues


11.4.3 Ad hoc or special reporting – to other agencies or organisations, relating to other issues 5 years after last action D


Reference Number


11.5 Submissions

The preparation and submission of formal statements (e.g. reports, statistics) supporting a case or opinion held by the University, submitted to another organisation or within the University.

See AGENCY RELATIONS – Inquiries for submissions produced by the University in response to Inquiries.

11.5.1 Submissions (internal) – created by the University for any member agency, master copies 5 years after last action A

11.5.2 Submissions (external) – prepared by other organisations and submitted for comment 5 years after last action or When reference ceases

D

11.5.3 University submissions to other organizations or agency, co-ordinated by a central organization (e.g. Prime Minister’s Office or Cabinet) - organizational comments or contributions

Please note: Where a submission relates to the University’s core functions, the submission must be addressed in its functional Retention and Disposal Schedule and designated an ARCHIVE


D

11.6 Visits

Records regarding official visitors, that is, those invited by the University, and University visits to other agencies or Governments.

See COMMUNITY RELATIONS – Visits for visits from the public or non-government organisations.


Reference Number


11.6.1 Official visits – by University personnel to member or other Governments 5 years after last action A

11.6.2 Visits by dignitaries or delegations from member or other Governments 5 years after last action A

11.6.3 Visits to the University – from other organisations’ personnel. 3 years after last action D

11.6.4 Visits – arrangements (e.g. travel, security) 7 years after last action D

12 FACILITIES MANAGEMENT

The function of managing working, storage or living space, and of acquiring, constructing, fitting-out, maintaining, protecting and disposing of property. Includes buildings and land allotments owned, rented or leased by the University, such as office blocks, repositories and workshops. Also includes the removal of pollutants and waste, landscape and grounds management.

See also RESEARCH - Facilities and Support for provision of facilities which assist in carrying out research functions.

See INFORMATION MANAGEMENT – Storage (areas) for premises used for storing records and archives.

Refer to the USP Schedule for Human Resources Management Records for records relating to occupational health and safety in relation to staff.


Reference Number


12.1 Accidents

Records relating to accidents or damage to University property.

See FACILITIES MANAGEMENT – Security for reports of security breaches, including illegal entry to University property

12.1.1 Accidents or damage to property – major 5 years after last action A

12.1.2 Accidents or damage to property – minor 7 years after last action D

12.1.3 Accidents or hazardous situations – records providing proof (including accident or incident registers)

Refer to DSHRM

12.1.4 Accidents involving University staff Refer to DSHRM

12.2 Acquisition The process of gaining ownership of property and other facilities.

See also Disposal Schedule for Financial and Accounting Records - ACQUISITION for other records relating to the acquisition of property and facilities not covered under this function

12.2.1 Property acquisition not proceeded with. Retain minimum of 7 years after action completed, then destroy

D


Reference Number


12.3 Allocation The process of assigning permits or licences to employees or organisational units.

See also RESEARCH - Licensing for licences required in the course of conducting research

12.3.1 Applications for liquor licenses. Includes approval or rejection notification, proof of compliance and all other associated documentation.

Retain minimum of 7 years after expiry or termination of licence, then destroy

D

12.3.2 Applications for licences and permits for radioactive substances, poisons, chemicals, pesticides, carcinogens, and industrial waste. Includes approval or rejection notification, proof of compliance and all other associated documentation.

Retain a minimum of 7 years after licence/permit expires, then destroy

D

12.3.3 The allocation of University parking permits. Retain minimum of 1 year after action completed, then destroy

D

12.4 Appeal The process of managing appeals against parking infringements and property acquisition.


Reference Number


12.4.1 Successful appeals against parking infringements. Retain minimum of 7 years after action completed, then destroy

D

12.4.2 Unsuccessful appeals against a parking infringement. Retain minimum of 2 years after action completed, then destroy

D

12.4.3 Statutory declaration forms completed by vehicle owners stating they were not drivers of a particular vehicle at the time of a parking infringement notice.


D

12.4.4 Appeals against compensation paid in relation to the compulsory acquisition of property Retain minimum of 10 years after action completed, then destroy

D

12.5 Arrangements Measures taken in the selection, preparation and bookings of venues.

See also COMMUNITY RELATIONS - Event Planning for the arrangements made for events and functions

See also STUDENT ADMINISTRATION - Graduation Ceremonies for the arrangements


Reference Number


made for graduation ceremonies

12.5.1 The selection and arrangements of venues for University festivals and events.

Includes:

• Venue layouts, capacities and seating plans • Venue information summaries created by the University • Correspondence regarding venue arrangements.


D

12.5.2 The booking of University venues for weddings, functions, events or any other purpose.

Includes:

• Guest list print outs • Venue seating arrangements • Mail out arrangements.


D

12.6 Compliance Complying with mandatory or optional accountability, legal, regulatory or quality standards or requirements to which the University is subject in relation to Facilities Management. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

12.6.1 Records relating to the compliance with licence or / registration requirements by centres or services operated by or within the University

See also RESEARCH - Licensing for the acquisition of a licence or permit for the purpose of undertaking research.


D


Reference Number


12.7 Conservation

The preservation and protection of University property.

12.7.1 Conservation – significant property, including:

• heritage-listed buildings, • contaminated or potentially contaminated sites.


12.7.2 Conservation orders or notices 5 years after last action A

12.7.3 Conservation – other property 5 years after last action D

12.8 Construction The process of building facilities and / or structures, making alternations and completing renovations, including internal fit-outs (refurbishing).

See also EQUIPMENT AND STORES - Acquisition for the acquisition of a licence or permit for the purpose of undertaking research.

12.8.1 New construction, alteration and renovation activities carried out on properties that have significant value including, architectural and technical plans, drawings and specifications (can include drafts).


Retain minimum of 5 years after action completed, then transfer to Archive

A


Reference Number


12.8.2 Records relating to new construction, alteration and renovation activities carried out on non-significant properties not included in 12.8.1. Includes architectural and technical plans, drawings and specifications, including internal fit-outs (refurbishing).

Retain an minimum of 7 years after property is disposed of or transferred to new owners

D

12.8.3 Construction activities on properties that are not proceeded with, including architectural and technical plans, drawings and specifications.

Retain a minimum of 7 years after decision not to proceed with construction, then destroy

D

12.8.4 Working papers documenting the construction activities on properties. Includes working drawings for non-significant construction.


D

12.9 Disposal

The disposal of University property, by any means.

See FACILITIES MANAGEMENT – Hazards for the disposal of hazardous material.

See FACILITIES MANAGEMENT – Maintenance for the disposal of other waste material.


Reference Number


12.9.1 Disposal – properties of historical or heritage significance, or of major public interest or controversy

5 years after disposal A

12.9.2 Disposal – other properties 7 years after disposal D

12.10 Energy Management

The management of energy resources at the University, including water, gas, electricity and fuel.

See also FACILITIES MANAGEMENT - Installation for the installation of infrastructure to support distribution of energy

12.10.1 Planning, management and administration of energy resources to and on the University campus (including all offsite facilities).


D

12.11 Flora and Fauna Management

Management, handling and relocation of protected and endangered flora and fauna in areas under the control of the University. Includes environmental restorative projects.

12.11.1 The management of declared rare or endangered flora and fauna. Retain minimum of 5 years after action completed, then transfer to Archives

A


Reference Number


12.11.2 The handling, relocation or disposal of flora and fauna. Retain minimum of 7 years after action completed, then destroy

D

12.11.3 The management of native flora reserves and wildlife and native fauna reserves. Retain minimum of 7 years after action completed, then destroy

D

12.11.4 The care and management of animal and agricultural facilities including farms, paddocks and glass houses.


D

12.12 Hazards See FACILITIES MANAGEMENT – Hazards for the disposal of hazardous material.

See also Disposal Schedule for Human Resource Management Records ACCIDENTS & HAZARDS - Hazardous Substances for reports relating to other hazardous substances not relating to bio-safety

For bio-safety hazards see 20.4 Bio-Safety

12.12.1 Hazardous substances or toxic waste – presence and/or removal, including accidents or hazardous situations

Refer to DSHRM

12.12.2 Asbestos – use, presence, neutralisation and removal Refer to DSHRM


Reference Number


12.13 Honouring and Naming

The naming (usually, in honour) of University property, buildings and facilities.

12.13.1 The records relating to naming of University buildings, roads, ovals, reserves and other structures.


A

12.13.2 The records relating to the establishment, design, erection, management and removal of memorial or commemorative plaques, monuments, fountains, art works such as sculptures etc.


A

12.14 Infringements The handling of breaches of traffic rules and regulations which involves issuing of parking fines

12.14.1 The issuing of parking fines, penalties or other traffic offences Retain minimum of 2 years after action completed, then destroy

D


Reference Number


12.15 Installation The placing of equipment in position and connecting and adjusting it for use.

See also TECHNOLOGY & TELECOMMUNICATIONS - Installation for the installation of technological items, equipment and services

12.15.1 The installation of major equipment including lifts, heating, plumbing, air-conditioning, security equipment and cabling for communications networks from a network hub or PABX etc. in buildings, properties or facilities.

Retain a minimum of 5 years after replacement of equipment or 20 years after installation if the date of replacement is not known, then destroy.

D

12.16 Inspections The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives.

See also RESEARCH - Compliance for complying with standards and requirements

See also RESEARCH - Specimen Management for monitoring and review of animal management


Reference Number


12.16.1 The inspection of research facilities and/or equipment. Includes inspections by external agencies or representatives from legislative bodies. Includes official bio-safety inspections by external inspectors and records of inspections of facilities.


D


12.18 Leasing Out Leasing-out items, equipment, accommodation, premises or real estate to another organisation or person for a specified period and agreed price. Also includes subleasing.

See also COMMON ACTIVITIES - Agreements for contracts relating to leasing out

See also FACILITIES MANAGEMENT - Leasing for leasing property from another organization.

12.18.1 Unsuccessful lease applications Retain minimum of 2 years after action completed, then destroy

D

12.18.2 Records relating to the management and administration of fee waivers for the hire of University venues, facilities and accommodation areas.


D


Reference Number


12.18.3 The request, approval and ongoing management of leases for the hiring out of university properties, facilities or accommodation to another organisation or person for a specified period and agreed price.

Retain minimum of 7 years after expiry or termination of lease, then destroy

D

12.19 Maintenance The upkeep, repair, servicing, modification and preservation of conditions of buildings, facilities and grounds owned by the University.

See also FACILITIES MANAGEMENT - Fit Outs for activities associated with fit outs

See also FACILITIES MANAGEMENT - Maintenance

12.19.1 The implementation of fire breaks. Retain minimum of 1 year after action completed, then destroy

D

12.19.2 Maintenance work orders, including orders that have been registered on a maintenance system.


D

12.19.3 Repairs – major, or necessitated through disasters (e.g. fire, flood) 5 years after last action A

12.19.4 Repairs – other than those covered by 12.19.3 7 years after last action D


Reference Number


12.19.5 Maintenance – programs 7 years after last action D

12.19.6 Maintenance – using hazardous substances (e.g. pest control) 30 years after last action D

12.19.7 Waste management (including recycling) 3 years after last action D

12.20 Maps and Signs The preparation and management of University maps and signs, which are used for informational and navigational purposes, such as the orientation maps, the campus map, directional maps and campus navigation signs. Also includes traffic (including bicycle and pedestrian) signs.

See also FACILITIES MANAGEMENT - Construction for architectural plans and drawings

12.20.1 Master copies of maps and signs of the University. Retain minimum of 5 years after action completed, then transfer to Archives

A


Reference Number


12.20.2 Records relating to sign development, arrangements, production and placements. Includes:

• Venue, directional, event specific and sponsor signage • Arrangements with suppliers and co-ordination of signage • Signage schedules • Signage design and proofs • Sign inventories, registers or master lists documenting signage developed by, or on

behalf of, the University.


12.21 Occupational Health and Safety

Refer to DSHRM

12.22 Planning Planning or development activities associated with University property.

12.22.1 Planning and development - properties with historical or heritage significance, or of major public interest or controversy


12.22.2 Planning and development – other properties 30 years after last action D

12.23 Risk management

Records relating to the identification of risks and hazards to University property, including reports of emergencies or disasters.

See STRATEGIC MANAGEMENT – Risk Management for the development and implementation of risk management plans.


Reference Number


12.23.1 Reports of emergencies or disasters – major, or leading to a change in policy or procedure 5 years after last action A

12.23.2 Reports of emergencies or disasters – other 7 years after last action D

12.23.3 Property risk registers Refer to DSFAR

12.23.4 Insurance Refer to DSFAR

12.24 Security Measures taken to protect premises from accidental or intentional damage or from unauthorised access. Includes the investigations of security breaches or incidents.

Security arrangements for University property.

See also COMMON ACTIVITIES - Incident Management for security breaches or incidents

See AGENCY RELATIONS – Visits for security arrangements for dignitaries or high risk individuals visiting the University.

12.24.1 Security arrangements (e.g. issuing of passes or keys, storage, locks, surveillance) 5 years after system or procedures revoked or superseded

D


Reference Number


12.24.2 Security card / pass holders – registers 7 years after last action D

12.24.3 Security breaches – reports and investigations (including illegal entry to property whether or not resulting in damage or theft)


12.24.4 Surveillance tapes – showing evidence of security breaches or other incidents, required as evidence in litigation cases.

Please note: If a surveillance tape forms part of a case file, it should be sentenced in accordance with the related case records.


D

12.24.5 Recordings / tapes/ surveillance tapes from mobile or fixed cameras around buildings or assets or around public open spaces and public access areas where not required for investigations and showing no evidence of security breaches or other incidents

Retain a minimum of 7 days after recording, then erase

D

12.24.6 The administration and distribution of security notifications and information to University staff and the wider community. Usually involves the distribution of Security Bulletins and ad hoc notice of advice to clients.


D


Reference Number


12.24.7 Requests to the Police Service for vehicle licence plate checks. Retain minimum of 2 years after action completed, then destroy

D

12.25 Space Management & Accommodation

The planning, reviewing and allocation of work space within the University. Includes managing and allocating accommodation for organisational units.

12.25.1 Accommodation surveys and review of space management. Retain minimum of 5 years after action completed, then destroy

D

12.25.2 The processing and approval of requests for different or additional accommodation at the University.


D

13 FINANCIAL MANAGEMENT

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.


Reference Number


13.1 Accounting The process of collecting, recording, classifying, summarising and analysing information on financial transactions which reflect the financial position of the university.

See also Disposal Schedule for Financial and Accounting Records - ACCOUNTING

13.1.1 Bank guarantees Transfer to contractor on receipt of certificate of completion.

D

13.1.2 Rate exemptions including applications for exemption from paying rates. Retain minimum of 30 years after action completed, then destroy

D

13.1.3 Tax submissions to jurisdictions outside of the University region. Retain minimum of 7 years after action completed, then destroy

D


Reference Number


13.2 Corruption Disclosure & Prevention

The processes which allow the disclosure of corruption, and strategies for the prevention of corruption. Includes involvement in corruption prevention projects undertaken by the Fiji Independent Commission Against Corruption (FICAC), and other similar agencies in member countries, the education of staff about corruption prevention disclosures and information relating to the disclosure of improper conduct within The University of the South Pacific in compliance with any ‘whistleblower' legislation

See also LEGAL SERVICES - Corruption Disclosure for records relating to corruption disclosures made under related legislation made by or about university personnel and/or university operations.

13.2.1 Records documenting financial management arrangements supporting the agency's fraud control plan.


D

13.3 Fees and Charges Determining and administering the collection of tuition fees and administrative charges.

Includes fees collected by the University on behalf of various organisations such as the staff associations, student associations, unions, amenities and services fees and fines imposed for breaches of rules or regulations.

13.3.1 Conscientious objector form which is submitted so that payments by students are made to a charitable fund in lieu of student association membership.


D


Reference Number


13.3.2 Tuition fees payable by students to the University to study. Includes full fee paying, undergraduate, postgraduate and non-award students.


D

13.3.3 The application, assessment, administration and approval of the waiver (or non-payment) of student tuition fees and other payments for services provided to students by the University


D

13.3.4 The schedule of tuition fees set each year. Retain minimum of 10 years after action completed, then destroy

D

13.3.5 Administrative fees and charges including late payment fee, late enrolment fee, late application for admission/readmission fee, academic transcript fee, reprint of testamur fee, amenities and services fee, replacement student identity card charge and library fines.


D

13.3.6 Advice of Tax Identification Number (TIN), or equivalent After submission of taxation information to a Taxation Office

D


Reference Number


13.3.7 Fee Reports - Computer printout of fees, liabilities and payments. Retain minimum of 2 years after action completed, then destroy

D

13.4 Payments The preparation and payment of money. Does not include salary & wages.

13.4.1 Royalty payments to authors whose work is published by the University Retain a minimum of 7 years after successful audit, then destroy

D

14 FLEET MANAGEMENT

Records relating to the acquisition, supply, usage, maintenance and disposal of vehicles. Vehicles are any means of conveyance owned or used by the University to transport people or items.

14.1 Accidents Records relating to accidents and damage to University vehicles.

Please note: This category does not include injury to University staff or other persons.

14.1.1 Accidents – involving vehicles owned or used by the University (not including injuries to staff or other persons)


14.1.2 Injuries to staff (resulting from accidents) Refer to DSHRM


Reference Number


14.1.3 Compensation (resulting from accidents) Refer to DSHRM

14.2 Acquisition Acquisition of vehicles for use by the University, whether by lease, hires or purchase.

14.2.1 Acquisition (by lease, hire or purchase) – vehicles Refer to DSFAR

14.2.2 Warranties and guarantees – University vehicles Until vehicle disposed of D

14.3 Allocation

Allocation of University vehicles for use by employees.

14.3.1 Allocation of vehicles – management 3 years after last action D

14.3.2 Vehicle bookings records 3 years after last action D

14.3.3 Vehicle log books Refer to DSFAR

14.4 Allowances Allowances associated with the use of University vehicles.

14.4.1 Allowances – vehicles Refer to DSFAR


Reference Number


14.5 Arrangements Arrangements associated with the use of University vehicles.

14.5.1 Arrangements – vehicles (e.g. parking, garaging) 3 years after last action D

14.6 Authorisation The seeking and granting of permission to use University vehicles.

14.6.1 Applications for use of vehicles – successful 7 years after authorisation expires

D

14.6.2 Applications for use of vehicles – unsuccessful 3 years after last action D

14.7 Disposal Disposal of University vehicles, by any means.

14.7.1 Disposal – vehicles Refer to DSFAR

14.8 Infringements Infringements involving University vehicles.

14.8.1 Infringements involving University vehicles (e.g. parking offences, traffic offences) 3 years after action completed D


Reference Number



14.10 Maintenance

Records relating to the maintenance of University vehicles.

See COMMON ACTIVITIES – Agreements / Contracting-Out / Joint Ventures for maintenance contracts.

14.10.1 Maintenance – vehicles (including servicing, repairs, and registration) 7 years after disposal of vehicle

D

15 INFORMATION MANAGEMENT

The function of managing the University's information resources such as records management, archives management, mail management, library management, freedom of information, copyright and intellectual property.

15.1 Acquisition

The administrative processes associated with acquiring information resources. Refer to the USP Schedule for Financial Management Records for financial records relating to acquisition.

See TECHNOLOGY AND TELECOMMUNICATIONS – Acquisition for acquisition of information technology equipment such as computer hardware and software.

15.1.1 Acquisition – external publications or library materials (including subscriptions) 3 years after last action D


Reference Number


15.1.2 Reference material (e.g. catalogues, price lists) When reference ceases D

15.2 Audit The activities involved with checking operational records of information systems to ensure they are being maintained in the appropriate manner

15.2.1 File audits, censuses, or inspections of information systems (includes working papers, audit trails and system reports)


15.3 Authorisation Delegation of power to authorise an action or permit an activity. For example, copyright declarations or other administrative matters.

See also Disposal Schedule for Financial and Accounting Records - AUTHORISATION for records relating to financial delegations

See also Disposal Schedule for Human Resource Management Records - PERSONNEL for records relating to human resources delegations

15.3.1 Copyright declaration forms where the University owns the copyright. These forms contain information about the source to be copied, the copies required, details about the person making the request and a signed declaration.


D

15.3.2 Applications to the University to reproduce material when copyright is held by another party. E.g. reproduction or publication of a thesis.


D


Reference Number


then destroy

15.4 Cases

Requests for information from the University, in accordance with Freedom of Information Acts or other written laws, insofar as they apply to the University.

See AGENCY RELATIONS – Inquiries for requests for information from the Ombudsman or other officials.

See STRATEGIC MANAGEMENT - Reporting for the University's Annual Information Statement

15.4.1 Requests under Freedom of Information or other written laws, that:

• set a precedent, • lead to changes in University policy, • are of considerable public interest, • are submitted to external review by the Supreme Court

Please note: Archived requests must include copies of documents that are the subject of the request.


A

15.4.2 Other requests under Freedom of Information or other written laws, including those:

• submitted for external review, • submitted for internal review by the University


15.4.3 Freedom of Information requests – register 7 years after last action D

15.4.4 Organisation personnel - nominated as Freedom of Information authorised personnel

Refer to DSHRM


Reference Number


15.5 Conservation

Records relating to the conservation and preservation of information materials, and cultural heritage materials (e.g. museum pieces)/

See STRATEGIC MANAGEMENT – Risk Management for the development and implementation of disaster recovery plans.

See FACILITIES MANAGEMENT – Conservation for the conservation of University premises.

15.5.1 Conservation – major activities including major preservation activities carried out on archival material.


15.5.2 Conservation – routine or minor activities. 3 years after last action D

15.6 Control Records relating to the creation, maintenance, development and customisation of control mechanisms such as classifications schemes at the University to ensure maximum control over records and recordkeeping systems. Includes classification (which includes metadata), and indexing.

See INFORMATION MANAGEMENT - Distribution for records relating to mail management.

See INFORMATION MANAGEMENT – Recordkeeping Plans for records relating to all aspects of Recordkeeping Plans (including disposal authorities).

See INFORMATION MANAGEMENT – Disposal for actions taken that relate to the final disposition of records (i.e. archiving or destruction).

15.6.1 Mail correspondence registers 7 years after last D


Reference Number


entry

15.6.2 Classification schemes, thesaurus/lists of authorised subject headings, file plans 5 years after last action A

15.6.3 Recordkeeping systems – development and implementation 5 years after superseded D

15.6.4 Minor control records (e.g. file creation forms, movement of records forms, processing forms)

When reference ceases D

15.7 Customer Service The provision of information to external and internal clients. Includes University library services. See INFORMATION MANAGEMENT – Acquisition for records relating to acquisition of external publications.

See INFORMATION MANAGEMENT – Disposal for the disposal of library materials.

See INFORMATION MANAGEMENT – Enquiries for queries received by the University.

15.7.1 Customer service practices and programs – development and implementation 5 years after last action D

15.7.2 Customer service facilities (including library services) – management 5 years after last action D


Reference Number


15.7.3 Library catalogues (hard copy or electronic) – individual catalogue entries When reference ceases D

15.7.4 Library catalogues (hard copy or electronic) – entire catalogue Until catalogue discontinued or superseded

D

15.8 Data Administration

The maintenance and use of data held in a system, either automated or manual, including data dictionaries.

See TECHNOLOGY AND TELECOMMUNICATIONS – Database Management for the establishment and maintenance of databases.

15.8.1 Recordkeeping information systems - planning 5 years after system discontinued or superseded

D

15.8.2 Maintenance of system data standards (e.g. metadata, data dictionaries) 5 years after system discontinued or superseded

D

15.8.3 Master control records for University records that are registers, lists or indexes that give details of control numbers, titles, date, disposal details etc., that are not captured in the official University records management system or recorded elsewhere.

Maintain as a permanent record in Records Management office

A


Reference Number


15.8.4 Quality control sign off forms for scanning source documentation. Includes scanner test target forms and quality control sign offs.

Maintain as a permanent record in Records Management office

A

15.8.5 The development, maintenance and customisation of university classification schemes and the thesauri, including controlled vocabulary schemes.

See also INFORMATION MANAGEMENT - Control for master copies of classification schemes and thesauri

Retain minimum of 5 years after superseded, then destroy

D

15.9 Disposal

Activities relating to the final disposition of records (i.e. archiving or destruction), and the disposal of library materials.

See INFORMATION MANAGEMENT – Recordkeeping Plans for the development of the University’s disposal authorities.

15.9.1 Lists of records transferred to Records Management office as archives Maintain as a permanent record in Records Management office

A

15.9.2 Lists of records transferred to another organisation Maintain as a permanent record in Records Management office

A


Reference Number


15.9.3 Destruction lists, destruction certificates, and registers of records destroyed Maintain as a permanent record in Records Management office

A

15.9.4 Disposal - records (i.e. destruction or transfer to University archives collection) – arrangements


15.9.5 Disposal – library materials 7 years after last action D

15.10 Distribution

Records relating to disseminating items via internal or external mail.

See COMMON ACTIVITIES – Contracting-Out for service arrangements with mail or courier service providers.

See INFORMATION MANAGEMENT – Control for registers of correspondence.

15.10.1 Mail processing records (e.g. receipts, postage stamp registers, mail lodgement books) Refer to DSFAR

15.10.2 Bulk mail-outs 3 years after last action D

15.10.3 Mailing lists, directories etc. When superseded D


Reference Number


15.11 Enquiries

Records relating to requests for information that use the University’s information resources, e.g. library research.

See INFORMATION MANAGEMENT – Cases for Freedom Of Information requests.

15.11.1 Enquiries – detailed or significant information 5 years after last action D

15.11.2 Enquiries – basic or routine information 3years after last action D

15.11.3 Enquiries – registers 3 years after last entry D

15.12 Evaluation

Evaluation of the University’s information systems.

15.12.1 Information systems of the University – evaluation 7 years after last action D

15.13 Infringements The management of Library infringements and fines.

15.13.1 The suspension of Library access and/or payment of fines for University students which affects their ability to Graduate.


D


Reference Number


15.13.2 The suspension of Library access and/or payment of fines for library members, including students which do not affect their ability to graduate.


D

15.13.3 The administration processing relating to the issuing and delivery of library fines and other penalties.


15.14 Intellectual Property

Records relating to intellectual property held or maintained by the University, including copyright, patents and trademarks.

15.14.1 Intellectual Property - Copyright / patents / trademarks - Copyright, patents and trademarks held by a government/ the crown and administered by the University.

7 years after copyright expires D

15.14.2 Copyright / patents / trademarks – held by the University 7 years after copyright expires D

15.14.3 Requests to reproduce material (where the copyright is held by the University) 7 years after last action D

15.14.4 Applications by the University to reproduce material (where the copyright is held by another party)



Reference Number


15.14.5 Royalties – received by the University 7 years after last action D

15.14.6 Infringements of the University’s intellectual property 7 years after last action D

15.15 Lending Records relating to the University granting the use of items in the collection, borrowing items from the collection as well as borrowing items from external organisations. Records include those that that set out the conditions, rights and responsibilities of both parties (not including formal agreements).

See also COLLECTION MANAGEMENT - Lending Out for correspondence relating to loan of art work and museum artefacts

15.15.1 The provision of Library borrowing and usage rights. Retain minimum of 1 year after action completed, then destroy

D

15.15.2 Records relating to borrowing and use of Library material. Includes request forms, delivery dockets and courier arrangements.


D


Reference Number


15.16 Privacy Records relating to the activities associated with applying the principles of privacy. Includes the process of collection, handling, use and disclosure of records of a private, personal, or confidential nature to maintain that the rights of a living person (or immediate family) so that they are secure from unauthorised disclosure or access to such information.

See also INFORMATION MANAGEMENT - Cases for negotiations between an individual and the University relating to the amendment or alteration of records under a Freedom of Information Act, or equivalent.

See also INFORMATION MANAGEMENT - Security for breaches of security (privacy)

15.16.1 The application of the Information Privacy Principles to the University’s information resources. Includes records relating to the development of access restrictions and the ongoing protection of data to ensure privacy. Includes special procedures for management of personal information.


D

15.17 Recordkeeping Plans

Records relating to Recordkeeping Plans and disposal authorities submitted to the Senior Management Team.

15.17.1 Recordkeeping Plans – development and review 10 years after last action D

15.17.2 Disposal authorities (Retention and Disposal Schedules, Ad Hoc Disposal Schedules, Disposal Lists) - development and review


15.17.3 Recordkeeping Plans and disposal authorities – master copies 5 years after last action A


Reference Number


15.18 Security Records relating to the activities associated with all mechanisms used to manage access to records and information at the University. Includes the security access classification of personnel, requests to alter or amend access, detection of breaches and unauthorised access and all other related documentation.

See also INFORMATION MANAGEMENT - Privacy for the administration of privacy provisions.

See also STRATEGIC MANAGEMENT - Incident Management for critical or major security breaches which may impact on the University as a whole.

15.18.1 Investigations into breaches of privacy including unauthorized access, use, misuse, modification or disclosure of personal information to third parties.


D

15.18.2 Sensitive records – appraisal of records Retain minimum of 10 years after action completed, then destroy

D

15.18.3 Sensitive records – security arrangements (e.g. viewing) 10 years after arrangements are revoked or superseded

D

15.18.4 Sensitive/restricted records – registers While relevant records exist A

15.18.5 Persons with permission to view restricted records – registers After permission is revoked D


Reference Number


15.18.6 Records management systems – security 5 years after last action D

15.19 Storage (Areas)

Areas for storage of records and archives.

See FACILITIES MANAGEMENT for the management of other storage areas.

15.19.1 Onsite records storage areas – usage 3 years after last action D

15.19.2 Offsite storage areas – selection 3 years after last action D

15.19.3 Offsite storage areas – usage (including transfers and retrievals) 5 years after last action D

15.19.4 Storage areas – security 3 years after area ceases to be used

D

16 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 and/or review of legal agreements and the handling of legal action and disputes. Also includes legal advice received from in-house consultants and external sources.

See also Disposal Schedule for Human Resource Management Records INDUSTRIAL RELATIONS for all industrial awards


Reference Number


16.1 Corruption Disclosure

The processes which allow the disclosure of corruption, and strategies for the prevention of corruption. Includes involvement in corruption prevention projects undertaken by the Fiji Independent Commission Against Corruption (FICAC) or other similar member country bodies.

See also FINANCIAL MANAGEMENT - Corruption Disclosure & Prevention for records documenting financial management arrangements supporting the agency's fraud control plan.

16.1.1 Corruption disclosures made under related legislation made by or about university personnel and/or university operations found to have substance.


A

16.1.2 Corruption disclosures made under related legislation made by or about university personnel and/or university operations that are found to have no substance, referred to another authority or discontinued.


D

16.2 Advice (Legal)

Records relating to legal advice or opinion obtained for the University

See also COMMON ACTIVITIES – Advice for non-legal advice received by the University


Reference Number


16.2.1 Legal advice or opinion – received from sources within the University or from external sources


A

16.2.2 Reference material – (assisting in the provision of legal advice) When reference ceases D

16.3 Litigation Records relating to litigation and other legal action taken against the University.

16.3.1 Legal action – of major public interest/controversy, setting or precedent, or resulting in a major change to University policy or procedures

Retain minimum of 5 years after case completed, then transfer to Archives

A

16.3.2 Legal action – other than that covered in 16.3.1 10 years after completed, or expiry of the statute of limitations,

D


Reference Number


whichever is later

16.3.3 Subpoenas – received by the University (includes arrangements for University personnel to attend court)


17 OCCUPATIONAL HEALTH & SAFETY

The function of implementing and coordinating occupational safety and health and associated legislation throughout the University. Includes safety policy and the monitoring of safe work practices, procedures and preventative measures. Includes the establishment of committees to investigate and advise on health and safety issues in the workplace.

See also Disposal Schedule for Human Resource Management Records - OCCUPATIONAL HEALTH AND SAFETY

17.1 Accidents The process involved in dealing with mishaps causing injury or damage. Includes damage or injury to the University's property or member of staff incurred while coming to, at, or leaving work, or to the general public or visitors whilst on the University's premises. Also includes measures to prevent accidents occurring.

See also Disposal Schedule for Human Resource Management Records - COMPENSATION for records of claims relating to the damage or destruction of property caused by accidents

17.1.1 The management of personal injuries to university staff, student or visitors, NOT resulting in claims for compensation. Includes official accident and incident reports.

See Disposal Schedule for Human Resource Management Records ACCIDENTS AND HAZARDS


Reference Number


17.1.2 Records reporting damage to property NOT resulting in claims for compensation Retain minimum of 7 years after action completed, then destroy

D

17.2 Audit The process of officially checking OH&S standards and legislation have been met through the quality assurance of the records held to ensure they accurately reflect the events, processes and business of the University over a specified period.

17.2.1 Official audit reports on compliance of agency programs and operations with accepted OH&S standards


D

17.3 Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements which pertain to occupational health & safety. Includes compliance with legislation and with National and International standards.

17.3.1 Records relating to activities associated with the administration and management of safety inductions for contractor and consultants employed at the University.


D

17.4 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


Reference Number


capable - consistent with pre-injury status. Includes early intervention with appropriate, adequate and timely services, normally through the use of a rehabilitation coordinator.

See also Disposal Schedule for Human Resource Management Records - COMPENSATION for records of rehabilitation as part of a compensation claim

17.4.1 Records documenting the rehabilitation of workers to full employment which are not related to a compensation case. Includes return to work plans.

Retain a minimum of 75 years after employee's date of birth or 6 years after retirement, whichever is later, or 6 years after death, then destroy

D

17.5 Reporting Initiating or providing a formal response to a situation or request (either internal, external or as a requirement of University policies), and to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns.

See also COMMON ACTIVITIES - Reporting for other formal responses not related to Occupational Health & Safety

See also Disposal Schedule for Human Resource Management Records ACCIDENTS & HAZARDS - Hazardous Substances for reports relating to other hazardous substances not


Reference Number


relating to bio-safety

17.5.1 Incident reports relating to bio-safety held on a personal file. Retain a minimum of 75 years after employee’s date of birth or 6 years after retirement whichever is later or 6 years after death, then destroy.

D

17.5.2 Incident reports relating to bio-safety not held on a personal file. Retain a minimum of 30 years after action complete, then destroy.

D


Reference Number


18 PERSONNEL The function of managing all human resources that make-up the University. This includes academic, general and research funded permanent, part time, casual and temporary employees as well as 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 Industrial Relations. Also includes arrangements for staff travel and the provision of childcare by the University.

See also Disposal Schedule for Human Resource Management Records.

18.1 Academic Promotions

Administration of the process of offering academic or research personnel opportunities for promotion based on personal merit rather than a position vacancy. Includes applications, referee reports, recommendations, advice of decision, and records of promotions.

See also COMMON ACTIVITIES – Committees for the management of records produced by the academic promotions and appeals committees

18.1.1 The awarding of an academic promotion. Includes applications, recommendations, approvals and advice of decision.

See also Disposal Schedule for Human Resource Management Records - PERSONNEL

Retain a minimum of 75 years after date of birth, or 6 years after retirement, whichever is later

18.1.2 The unsuccessful applications for academic promotion. Includes appeals against unsuccessful applications for promotion.


D


Reference Number


then destroy

18.1.3 The facilitation of the annual academic promotions process, where documentation is not held on a case file. May include applications, referee reports, line manager & assessor reports, review of applications, scorecards etc.


D

18.2 Appointments Appointments of chaplains (or other religious body representatives) within the University

18.2.1 The appointment of chaplains which are not held on personal files (this includes accepting a recommendation or nomination by a religious body.)

Retain a minimum of 5 years after end of appointment, then destroy

D

18.3 Clubs & Societies The facilitation of University clubs and societies which enable staff and students with common interests to interact and actively participate in campus life. Includes sports and social clubs and associations.

See also PERSONNEL - Representatives for the nomination, appointment or resignation of individuals as official representatives to staff clubs, social clubs and associations

18.3.1 The proposal and establishment of University staff clubs and associations. Retain minimum of 5 years after action completed, then transfer to

A


Reference Number


Archives

18.3.2 Membership arrangements with University staff clubs and associations. Retain minimum of 7 years after action completed, then destroy

D

18.3.3 Activities of University staff social clubs including support given by the University. Retain minimum of 2 years after action completed, then destroy

D

18.4 Counselling Services

Counselling services provided to employees of the University, not held on personal file.

See Disposal Schedule for Human Resource Management Records - PERSONNEL

See also COMMUNITY RELATIONS - Health & Wellness Services for the provision of counselling services to anyone other than University personnel where the service is provided by the University.

See also STUDENT SERVICES - Career Advice for the provision of information, assistance and advice regarding career directions, suitability and pre-requisite qualifications

18.5 Fellowships Successful fellowship applicants who are employed either through internal or external funding


Reference Number


to undertake research and / or teaching at the University

18.5.1 Successful fellowship applications by students/personnel

See also STUDENT ADMINISTRATION - Scholarships, Prizes & Awards for unsuccessful fellowship applications.

Retain a minimum of 75 years after date of birth, or 6 years after retirement, whichever is later

D


Reference Number


18.6 Grievances & Complaints

The handling and resolution of complaints and grievances. Includes handling complaints and grievances over perceived discrimination, or those arising over the work environment, work organisation or distribution, peers, supervisors or subordinates. Also includes complaints and grievances regarding the provision of services, as well as the management and resolution of unlawful or unjust behaviour involving University staff such as bullying, harassment, and misconduct.

Includes the lodgement of the complaint or grievance, resolution, appeals and all other associated correspondence.

See also STUDENT ADMINISTRATION - Grievances for complaints and grievances regarding University students

See also STUDENT ADMINISTRATION - Discipline for matters relating to the handling and resolution of disciplinary matters such as alleged academic and research misconduct and offences

See also Disposal Schedule for Human Resource Management Records - INDUSTRIAL RELATIONS if the grievance results in a formal industrial relations dispute

See also Disposal Schedule for Human Resource Management Records PERSONNEL - GRIEVANCES for grievances and complaints that are not precedent setting

18.6.1 Formal complaints or grievances raised by an employee, which are precedent setting and have resulted in significant change to University policy or procedure.



A


Reference Number


Archives

18.7 Honorary Appointments

The selection, approval and administration for members of the community or staff members bestowed with an honorary appointment by the University.

Includes Senior Honorary Research Fellows, Emeritus Professors and Adjunct and Clinical titles, visiting professor, visiting fellow, visiting research associate, senior scholar-in-residence, artist-in-residence, writer-in-residence, adjunct appointments, affiliate teaching staff. Also includes visiting appointments and academic visitors.

18.7.1 Records relating to all honorary appointments made by the University. Retain minimum of 5 years after action completed, then transfer to Archives

A

18.7.2 Records relating to the selection, approval and administration of academic visitors and visiting appointments at the University.

Retain a minimum of 5 years after appointment ceases or visit made, then destroy

D


Reference Number


18.8 Misconduct Investigations

The investigations of alleged general, academic and/or research misconduct and offences.

See also PERSONNEL - Grievances & Complaints for records relating to the activities associated with the handling and resolution of grievances and complaints for staff

18.8.1 Investigations by a Committee of Inquiry into serious allegations of professional misconduct including academic fraud, misconduct in research matters and serious breaches of ethical practice.

See also STRATEGIC MANAGEMENT - Incident Management for management of serious allegations of misconduct that are proven to be valid


18.8.2 Allegations of professional misconduct against a staff member of a minor nature. Retain minimum of 3 years after action completed, then destroy

D

18.8.3 Infringements or breaches of mandatory standards, rules or statutory requirements that do not proceed to litigation. Includes notifications of breaches and investigations and negotiations.


D

18.8.4 Allegations and notifications of misconduct by individuals to the Fiji Independent Commission Against Corruption (FICAC), or other similar agencies in member countries.


D


Reference Number


then destroy

18.9 Recognition The records associated with being recognized or acknowledged. Includes invitations by external organisations to nominate individuals, workgroups or the University as a whole for recognition of excellence in a given field or profession.

See also Disposal Schedule for Human Resource Management Records - PERSONNEL

See also STUDENT ADMINISTRATION - Scholarships, Prizes & Awards for awards bestowed on students by the University

See also PERSONNEL - Honorary Appointments for the process of appointing an individual to an honorary appointment at the University

See also COMMUNITY RELATIONS - Awards for the bestowing of an honorary award to a member of the public by the University

18.9.1 Successful submissions or applications for awards in relation to Teaching or Research.

See also Disposal Schedule for Human Resource Management Records for business or industry awards and honours.


A

18.9.2 Unsuccessful or applications for awards in relation to Teaching or Research. Retain minimum of 4 years after action completed,

D


Reference Number


then destroy

18.9.3 Recognition of service, including prizes or awards (where the records are not part of the official personnel file). Includes awards such as VC Staff awards.


D

18.10 Security The measures taken to identify and protect people, premises, equipment or information from accidental or intentional unauthorised access.

18.10.1 Photographic images for personnel identity cards. Includes negatives and the management of the digital image.

Destroy once superseded or when employee leaves the University

D

18.11 Staff Benefits The management of incidental benefits received by agency personnel in the course of their employment.

18.11.1 Arranging and management of staff benefits through corporate membership programs, such as frequent flyer programs.


D


Reference Number


18.12 Transfer & Exchange

Administration and management of personnel loaned or temporarily transferred to another organisation or section, including those staff on exchange.

See also Disposal Schedule for Human Resource Management Records - PERSONNEL for records relating to the secondment of employees to and from the university

18.12.1 Correspondence and arrangements with other institutions regarding the management and administration of personnel exchange programmes.


D

19 PUBLICATIONS The function of preparing and publishing works, including original literature, irrespective of format, either for sale or general distribution internally or to the public. Includes receiving, reviewing and accepting or rejecting manuscripts, editing and drafting publications and printing works or publications either by manual or electronic production (design, layout, typesetting, printing, web publishing etc.). Also includes the marketing and supply of internal and external publications and other promotional materials by the University. Publications include multi-media publications, literature, CD ROM, websites and online information services.

See also RESEARCH - Dissemination for the publishing of research findings

19.1 University Publications

Includes publications for an external audience (e.g. articles in professional journals, conference proceedings), internal publications (e.g. induction manuals, staff newsletters), and material intended for promotional purposes (e.g. leaflets).


Reference Number


See also STUDENT ADMINISTRATION - Assessments for Theses

19.1.1 Publications produced by or for the University, including the Annual Report, and publications containing course content such as the University Handbook and Calendar

1. Retain in University Library, and


A

19.1.2 Working and used copies of calendars and handbooks and other University publications Retain minimum of 1 year after action completed, then destroy

D

19.2 Control Creating, maintaining and evaluating control mechanisms such as registers for publications

19.2.1 The allocation and administration of ISBN (International Standard Book Number) for all books and book-like products produced by the University.

Retain minimum of 1 year after reference use ceases, then destroy

D

19.2.2 Register of each publication that has been published by the University or its predecessor agencies. May include records containing bibliographical and publishing information about


A


Reference Number


each title. Archives

19.3 Corporate Style Style requirements (e.g. writing style, graphic design) to be adhered to in the production of University documents and publications.

19.3.1 Style manuals When superseded or when reference ceases

D

19.4 Distribution Arrangements for the dissemination of publications.

19.4.1 Distribution and supply of University publications – arrangements (including subscriptions and distribution lists


D

19.4.2 Distribution and subscriptions – financial records Refer to DSFAR


Reference Number


19.5 Drafting Activities associated with preparing drafts of publications.

See COMMON ACTIVITIES - Policy and COMMON ACTIVITIES - Procedures for drafting of policies and procedures.

19.5.1 Drafts of publications (including notes and reference material) Retain minimum of 3 years after action completed, then destroy

D

19.5.2 Working copies with annotations Retain minimum of 2 years after action completed, then destroy

D

19.5.3 Proposed amendments to publications Retain minimum of 2 years after action completed, then destroy

D

19.6 Evaluation Activities involved in determining the suitability of potential publications to meet the needs of a given situation

See also PUBLICATION - Production for records relating to a manuscript or proposal deemed suitable for publishing


Reference Number


19.6.1 Manuscripts or proposals rejected or deemed unsuitable for publishing. Return to the author or retain a minimum of 6 months after last action completed, then destroy.

D

19.6.2 Advice to an author that a manuscript or proposal has been rejected or deemed unsuitable. Retain minimum of 5 years after action completed, then destroy

D


Intellectual property held or maintained by the University, including copyright, patents and trademarks.

19.7.1 Successful or unsuccessful applications for protection of intellectual property, (includes trademarks, patents, copyright, seal) and subsequent work produced resulting in licensing documentation and agreements.

Retain a minimum of 15 years after action complete or license expires, then destroy

D

19.8 Marketing The process of marketing and promoting publications. Includes market research, sales forecasting, advertising, media releases, promotion, pricing and product evaluation.


Reference Number


19.8.1 The marketing of publications published by the University. Includes research and assessment of products against market trends, sale forecasting, pricing and liaison with retailers.


D

19.9 Production The processes involved in producing materials into an end result or output, e.g. a product or publication. Includes design, layout, typesetting, desktop publishing, printing, binding etc.

19.9.1 The development of publications irrespective of the medium which utilise materials created by the University or that are provided by artists or sources which may be external to the University. These publications are used for promotional or publicity purposes, including:

• Highlights video • Compilation films, videos and audio material • Corporate profile videos • Launch video • Photographs and videos of University events.


A

19.9.2 Master copies of records created by, or on behalf of the University as a record of significant festivals or events run by the university, for example, videos, posters and photographs taken of festival events. Includes published and unpublished material and liaison, negotiations and agreements with the artist or photographer.



A

19.9.3 Master copies of records created by, or on behalf of the University as a record of non-significant festivals run by the university, for example, videos, posters and photographs taken of festival events. Includes published and unpublished material and liaison,


D


Reference Number


negotiations and agreements with the artist or photographer. then destroy

19.9.4 Records relating to the production of a manuscript or proposal that is published by or on behalf of the University, regardless of format. Includes files that document all the production information per publication. This includes the:

• graphic design • indexing • editing • final drafts of publications (electronic/paper version) • proof-reading • printing/binding • preparation of source files • marking-up of document, including applying metadata • quality assurance and testing of final HTML files • creation of master version • production of electronic media products (e.g. CD-ROMs, diskettes) • updating and maintaining information and websites • production script


A

19.9.5 The digital copy of the print ready version of every book published by University publishers. Retain minimum of 5 years after action completed, then transfer to Archives

A

20 RESEARCH The function of managing the investigation or inquiry into a subject of interest in order to discover or apply facts, principles, etc. Research may be funded by a grant, consultancy or scholarship, or may be an unfunded act of academic scholarship undertaken within the


Reference Number


University.

MAJOR RESEARCH DEFINITION

Records relating to University research projects with outcomes that are or become;

• of high interest, • the subject of widespread debate or contention in the public arena, • have a major national or international significance, • change the commonly held view or approach (paradigm shifting), • alter or vary the typical example, • where the principal investigator has a widely acknowledged influence in the area of

scholarship, • representative case for or epitome of a subject, • projects that involve the use of major or new innovative techniques, • have potential major or long term impact on the environment, heritage, society or

human health, • have a legislative requirement to retain the records permanently, such as research

involving gene therapy & biotechnology. MINOR RESEARCH DEFINITION

Records relating to research that is not deemed major, as outlined above.

DEFINITION OF A CLINICAL TRIAL

A clinical trial is a form of human research designed to find out the effects of an intervention, including a treatment or diagnostic procedure. A clinical trial can involve testing a drug, a surgical procedure, other therapeutic procedures and devices, a preventive procedure, or a diagnostic device or procedure.


Reference Number


20.1 Accreditation Achieving formal approval from relevant accrediting organisations, general external professional bodies or local government authorities, for offering particular research activities at the University. Includes the registration of facilities by professional bodies, review and re-accreditation as required.

See also TEACHING & LEARNING - Course Accreditation for the accreditation of courses offered by the university

20.1.1 The registration of the University as a research and scientific accredited institution. Includes application for registration, the supporting documentation, registration certificate and replacements, and variations/amendments.


A

20.1.2 The accreditation of an institution to conduct biotechnology research, in accordance with statutory requirements.


A

20.1.3 The accreditation or registration of the University of the South Pacific research and testing facilities. Includes obtaining scientific user licences and bio-technology.

See also separate Bio-safety entry (20.4)

Retain a minimum of 7 years after accreditation expires or is revoked, then

D


Reference Number


destroy

20.1.4 Unsuccessful applications for accreditation or registration of University research and testing facilities.


D

20.2 Arrangements The arrangements made in relation to the delivery of research material.

20.2.1 The delivery of hazardous research materials and / or equipment. Retain minimum of 5 years after action completed, then destroy

D

20.2.2 The delivery of non – hazardous research materials and / or equipment. Retain minimum of 2 years after action completed, then destroy

D

20.3 Audit Records relating to official examinations and verifications of research activities. Includes checking of financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the University in a specified period.

See also Disposal Schedule for Financial and Accounting Records


Reference Number


20.3.1 The planning and conducting of internal and external audits relating to the research functions of the university.


D

20.4 Bio-safety The administration and management of all bio-safety research activities that are subject to the gene technology acts and regulations.

This includes all research projects and research facilities that utilise bio-safety agents and other Genetic Modification (GM) dealings.

Documentation includes administrative correspondence between researcher, the USP Research office, a University committee designated to assess and/or monitor bio-safety regimes and/or activities and government departments charged with gene technology regulation.

20.4.1 Breaches of bio-safety ethics and practice relating to major research Retain minimum of 5 years after action completed, then transfer to Archive

A

20.4.2 Breaches of bio-safety ethics and practice relating to minor research for human or animal research that utilises high risk material such a teratogens and carcinogens, ionising radiation or dangerous drugs.

Retain minimum of 50 years after date of publication, or 50 years after

D


Reference Number


conclusion of the project, whichever is later, then destroy

20.4.3 Breaches of bio-safety ethics and practice for minor research projects not covered by other minor research classes. Includes research where non-approved bio-safety activities have occurred.


D

20.4.4 Bio-safety research activities including applications associated with Exempt Dealing and Notifiable Low Risk Dealings projects (i.e. contained research involving very well understood organisms and processes for creating and studying GMOs). Includes licence, annual and final reports, storage records and associated documentation.

Retain a minimum of 7 years after expiry or termination of licence or disposal of GMO, whichever is later, then destroy.

D

20.4.5 The handling, storage, disposal and transport of security-sensitive biological agents. Retain minimum of 7 years after action completed, then destroy

D


Reference Number


20.4.6 Institutional Genetically Modified Organism (GMO) Register. Retain permanently. Once superseded transfer to the Archive.

A

20.5 Commercialisation The development and management of products and services emerging from the University of the South Pacific research activities which have commercial potential. Includes exploring markets for the University’s expertise and research output, conducting product and services analysis, market research and forecasting, and promoting and selling of products and services.

See also LEGAL SERVICES for the registration of patents and other intellectual property belonging to the university.

See also ESTABLISHMENT - Formation for establishment of companies where the university holds shared equity.

20.5.1 The commercialisation of products and services carried out by the University, where the intellectual property is owned by the University.

Retain a minimum of 20 years after last action or 3 years after expiry of patent, whichever is the later, then destroy

D


Reference Number


20.5.2 Unsuccessful commercialisation activities. Retain minimum of 7 years after action completed, then destroy

D

20.5.3 The development of opportunities for commercial ventures. Includes market research and sales forecasting.


D

20.6 Conducting Research

The conducting of research by the University. Includes experimentation, observation, modelling, field trials, data collection, surveys, fabrication and production.

Includes records such as:

• Field books • Laboratory notebooks • Data matrices • Collated data • Modelling drafts and final models • Experiment plans

See also RESEARCH - Dissemination for the distribution of findings and reports through publications and/or presentation.

See also RESEARCH - Data Analysis & Results for the generation of information resulting from research and the assessment of research data to form conclusions.

See also RESEARCH - Ethics Clearance for gaining ethical clearance in relation to research

See also RESEARCH - Grant Administration for administrative management of research grants and funding.


Reference Number


See also RESEARCH - Methodology the planning and selection of research methodologies and processes.

20.6.1 Conducting research with outcomes that are classed as major.

Refer to the scope for RESEARCH for the definition of major research.

Retain a minimum of 5 years after date of publication, or 5 years after completion of the project, whichever is later, then transfer to Archives

A

20.6.2 Conducting minor research involving humans or animals that utilise high risk material such as teratogens and carcinogens, ionising radiation or dangerous drugs.

Retain minimum of 50 years after date of publication, or 50 years after conclusion of the project, whichever is later, then destroy

D

20.6.3 Conducting research with outcomes that are classed as minor, but involving clinical trials. Retain minimum of 25 years after date of

D


Reference Number


publication, or 25 years after conclusion of the project, whichever is later, then destroy

20.6.4 Conducting research with outcomes that are deemed as minor, where the projects involving children (-18 years).

Retain a minimum of 7 years after publication or project completion, or the subject/s have reached 25 years of age, whichever is later, then destroy.

D

20.6.5 Conducting research with outcomes that are classed as minor, not covered by other minor research classes.

Retain minimum of 7 years after date of publication, or 7 years after conclusion of the project, whichever is later, then

D


Reference Number


destroy

20.7 Consultancy The provision of consulting services by university personnel in a specialised field, provided on a fee for service basis. Includes personnel declarations, products of the consultancy, administrative arrangements and all other related documentation.

See also PERSONNEL - Consultancy for declarations by University personnel of consultancy work

20.7.1 Declarations of personal interests and potential commercial conflicts of interest made by members of the University Senate / Council. Includes the Senate / Council Register of Interests.


A

20.7.2 Significant or precedent setting expert witness service by staff. Includes the provision of advice, opinions and testimony to courts, tribunals and to other judicial offices.

Refer to the Introduction, 3.2 for the criteria for significant.


A

20.7.3 Non-significant expert witness service by staff not included in 6.1.2. Includes the provision of advice, opinions and testimony to courts, tribunals and to other judicial offices.


D


Reference Number


20.7.4 Significant products produced as a result of the provision of consulting services by university personnel. Includes expressions of interest, reports, draft and final consultancy proposal, inspection reports and progress reports, working papers, calibration certificates, formal advices, testing data and results, correspondence and all other associated documentation.

Refer to the Introduction, 3.2 for the criteria for significant.


A

20.7.5 Non-significant products produced as a result of the provision of consulting services by university personnel not included in 20.7.4. Includes expressions of interest, reports, draft and final consultancy proposal, inspection reports and progress reports, working papers, calibration certificates, formal advices, testing data and results, correspondence and all other associated documentation.

Retain a minimum of 7 years after conditions have been satisfied, then destroy

D

20.7.6 The establishment and management of consultancies. Includes preliminary correspondence concerning negotiations, agreements, costings, conditions of use and confidentiality, letter of offer, acceptance of offer, work plan and objectives.

Retain a minimum of 7 years after conditions have been satisfied, then destroy

D

20.7.7 Declarations of specialised consultancy activities undertaken by staff. Retain a minimum of 75 years after date of birth, or 6 years after retirement,

D


Reference Number


whichever is later

20.8 Dissemination The distribution of findings and reports through publications and/or presentation.

See also RESEARCH - Conducting Research for the activities involved in undertaking research.




See also RESEARCH - Methodology the planning and selection of research methodologies and processes

20.8.1 Dissemination of research findings to the broader community. Includes dissemination through publication of findings, presentations and general promotions of outcomes.


D


Reference Number


20.9 Data Analysis & Results

The generation of information resulting from research and the assessment of research data to form conclusions. Includes all formatting and manipulation of data, aggregation, calculations, conclusions and the writing up of results.





See also RESEARCH - Methodology the planning and selection of research methodologies and processes.

20.9.1 Research data, analysis and results with outcomes that are classed as major.

Refer to RESEARCH function scope for definition of major research

Retain a minimum of 5 years after date of publication, or 5 years after completion of the project, whichever is later, then transfer to

A


Reference Number


Archives

20.9.2 Research data, analysis and results that are classed minor involving humans or animals that utilise high risk material such as teratogens and carcinogens, ionising radiation or dangerous drugs.


D

20.9.3 Minor research data, analysis and results with outcomes that are classed as minor, but involving clinical trials.


D


Reference Number


20.9.4 Research data, analysis and results with outcomes that are classed as minor, where the projects involving children (>18 years).


D

20.9.5 Research data, analysis and results with outcomes that are classed as minor, not covered by other minor research classes.


D

20.9.6 Research data, analysis and results relating to short-term research projects undertaken by students for assessment purposes.

Retain a minimum of 12 months after the completion of the project, then

D


Reference Number


destroy

20.10 Ethics Clearance Gaining ethical clearance in relation to research and research training activities.

20.10.1 Ethics Clearances for research with outcomes that are classed as major.

Refer to RESEARCH function scope for definition of major research

Retain a minimum of 5 years after date of publication, or 5 years after completion of the project, whichever is later, then transfer to Archives

A

20.10.2 Ethics clearances relating to minor research that utilises high risk material such a teratogens and carcinogens, ionising radiation or dangerous drugs.

Retain minimum of 50 years after date of publication, or 50 years after conclusion of the project, whichever is later, then

D


Reference Number


destroy

20.10.3 Ethics Clearances for research with outcomes that are classed as minor which involve clinical trials.


D

20.10.4 Ethics Clearances for research with outcomes that are classed as minor which involve children (>18 years).


D


Reference Number


20.10.5 Ethics Clearances for research with outcomes that are classed as minor, not covered by other minor research classes.


D

20.10.6 Unsuccessful applications for ethical clearance, including those applications submitted to a University committee designated to assess and/or monitor bio-safety regimes and/or activities.


D

20.11 Grant Administration

The administration of research funding for the inquiry or investigation into a specific subject to discover and/or apply knowledge facts or principles. Includes grants provided by internal or external funding bodies, to individuals, a research team or to a specific area of the University. May also include consultancies undertaken by staff using the University of the South Pacific name which is also considered to be research income.

Includes the submission and approval of research project proposals; the funding of research projects and reporting on activities associated with progress and completion.

See also COMMON ACTIVITIES - Agreements for contracts or agreements relating to research grants


Reference Number


20.11.1 Major research projects that are successful in obtaining funding. Includes project and funding proposals, application forms or tenders, resource allocation, supporting information, referees, agreements with research and grant partners, and internal and external compliance reports.

Refer to RESEARCH function scope for definition of major research.

Retain a minimum 5 years after date of publication, or 5 years after completion of the project, whichever is later, then transfer to Archives

A

20.11.2 Successful applications for funding minor research that utilize high risk material such as teratogens and carcinogens, ionising, radiation or dangerous drugs.

Includes project and funding proposals, application forms or tenders, resource allocation, supporting information, referees, agreements with research and grant partners, and internal and external compliance reports.

Retain a minimum of 50 years after date of publication or after conclusion of the project, whichever is the later, then destroy

D


Reference Number


20.11.3 Successful applications for funding for minor research involving clinical trials.

Includes project and funding proposals, application forms or tenders, resource allocation, supporting information, referees, agreements with research and grant partners, and internal and external compliance reports.

Retain a minimum of 25 years after date of publication or after conclusion of the project, whichever is the later, then destroy

D

20.11.4 Minor research projects that are successful in obtaining funding. Includes project and funding proposals, application forms or tenders, resource allocation, supporting information, referees, agreements with research and grant partners, and internal and external compliance reports.


D

20.11.5 Unsuccessful research grants applications and proposals. Retain minimum of 3 years after action completed, then destroy

D


Reference Number


20.11.6 Records relating to the formulation and/or development of research which do not proceed to a formal research grant application.


D

20.11.7 Guidelines and conditions that external organisations provide to the University for applicants seeking research grant funding.

Retain until reference use ceases, then destroy

D

20.11.8 Master register of successful applications for research grants received from funding bodies. Retain minimum of 5 years after action completed, then transfer to Archives

A

20.11.9 Non-competitive and/or discretionary fund allocation for research. Includes funding allocated through incentives and ad hoc funding.


D


Intellectual property held or maintained by the University, including patents and trademarks.


Reference Number


20.12.1 Successful application for protection of intellectual property, (includes trademarks and patents) and subsequent licensing agreements and documentation.

Retain minimum of 5 years, then transfer to University Archives

A

20.12.2 Unsuccessful applications for protection of intellectual property, (includes trademarks and patents).


D

20.13 Licensing The acquisition of a licence or permit for the purpose of undertaking research.

20.13.1 Successful application for licences relating to the use of flora and fauna for scientific or other prescribed purposes.

Retain a minimum of 7 years after date of license expires or is revoked, then destroy

D

20.13.2 Unsuccessful application for licences relating to the use of flora and fauna for scientific or other prescribed purposes.


D


Reference Number


20.13.3 Successful application for anatomy licences for conducting the research of anatomy. Retain minimum of 1 year after expiry or termination of licence, then destroy

D

20.13.4 Unsuccessful application for anatomy licences (called practice licences) for conducting the research of anatomy.


D

20.13.5 Records relating to the acquisition of a licence to use animals for research teaching or breeding purposes under an organisational scientific licence

See also RESEARCH - Accreditation for records relating to the organisational scientific licence for the University

Retain a minimum of 7 years after licence or permit lapses, then destroy

D

20.13.6 The acquisition of a copy of licence to use animals for research teaching or breeding purposes from other organizations.


D


Reference Number


20.13.7 Genetically modified organism (GMO) licences authorised under the Gene Technology Act 2000


D

20.13.8 The application and use of Regional Quarantine Inspection Service (AQIS) import permits to import materials that require clearance under Regional quarantine specifications and associated legislation.

See also Disposal Schedule for Financial and Accounting Records for the financial records associated with importing materials

Retain a minimum of 7 years after the permit has expired or has been surrendered, then destroy

D

20.14 Maintenance The upkeep, repair, services and preservation of scientific, medical and technical equipment

20.14.1 Specifications designs, plans, manuals, maintenance records, operating instructions and log books of equipment, machinery, plant or facilities used in the conduct of research, which are of high scientific, technological or historic significance.


A


Reference Number


20.15 Methodology The planning and selection of research methodologies and processes to be carried out in order to achieve the objectives of the research project. Includes investigation into existing research and the gaining of required approval for the methodology.




See also RESEARCH - Ethical Clearance for gaining ethical clearance in relation to research


20.15.1 Methodology for research projects with outcomes that are classed as major.


Retain a minimum of 5 years after date of publication, or 5 years after conclusion of the project, whichever is later, then

A


Reference Number


transfer to Archives

20.15.2 Methodology for minor research projects involving humans or animals that utilise high risk material such as teratogens and carcinogens, ionising radiation or dangerous drugs.


D

20.15.3 Methodology for research projects with outcomes that are classed as minor, but involving clinical trials.


D


Reference Number


20.15.4 Methodology for research projects with outcomes that are classed as minor, where the projects involving children (>18 years).


D

20.15.5 Methodology for minor research projects not covered by other minor research classes. Retain minimum of 7 years after date of publication, or 7 years after conclusion of the project, whichever is later, then destroy

D

20.16 Reporting Mandatory statements or findings of the results of research projects or investigations, not including publications.

See also RESEARCH - Dissemination for the publishing of research findings


Reference Number


20.16.1 Reporting on research projects with outcomes that are classed as major. Includes progress reports, inspection reports and reports on expenditure.


Retain minimum of 5 years, then transfer to University Archives

A

20.16.2 Reporting on minor research projects involving humans or animals that utilise high risk material such as teratogens and carcinogens, ionising radiation or dangerous drugs. Includes progress reports, inspection reports and reports on expenditure.


D

20.16.3 Reporting on research projects with outcomes that are classed as minor, but involving clinical trials. Includes progress reports, inspection reports and reports on expenditure.


D


Reference Number


20.16.4 Reporting on research projects with outcomes that are classed as minor, where the projects involving children (>18 years). Includes progress reports, inspection reports and reports on expenditure.


D

20.16.5 Reporting for minor research projects not covered by other minor research classes. Includes progress reports, inspection reports and reports on expenditure.


D

20.16.6 Annual Research activity reported to government (where required). Retain minimum of 7 years after action completed, then destroy

D


Reference Number


20.17 Research Facilities & Support

The provision of facilities which assist in carrying out research functions such as the setting up and maintenance of Research Centres, Institutes and other facilities. Includes submissions for funding to acquire research equipment and facilities.

20.17.1 Applications by University researchers to conduct research activities at external organisations. Includes applications and approvals to use specimens (i.e. animals) at external facilities.


D

20.17.2 The acquisition and management of funding for equipment and facilities such as laboratory equipment to support the research activities of the University.


D

20.17.3 Unsuccessful applications that are submitted to funding bodies for research infrastructure funding. May include supporting documentation.


D

20.17.4 Guidelines and conditions that external organisations provide to the University for applicants seeking funding for research equipment and facilities.


D

20.17.5 The application, approval and maintenance of quarantine approved premises on campus. Retain a minimum of 7

D


Reference Number


years after the permit has expired or has been surrendered, then destroy

20.17.6 Video surveillance records for facilities handling security-sensitive biological agents. Retain minimum of 2 years after action completed, then destroy

D

20.18 Specimen Management

The care, use, protection and disposal of specimens for teaching and research purposes in accordance with statutory requirements. Specimens may include human cadaver material, animals, drugs, medicines, soil samples, organisms and biological agents such as bacteria.

See also RESEARCH - Bio-safety.

20.18.1 The acquisition or donation, storage, maintenance, management and disposal of human cadaver material. Includes registers of human cadaver material held by licensed schools of anatomy.


A

20.18.2 The acquisition, management, maintenance, breeding and care of animals, including farm animals for research and/or teaching purposes. Includes animal register, transport, quarantine, care, handling, housing/storage documentation, disposal of animal remains or


D


Reference Number


specimens and all other related correspondence. then destroy

20.18.3 The monitoring and review of animal management including official inspections, offences, orders, appeals, reviews, and reports.


D

20.18.4 The management and maintenance of inorganic or organic specimens used for research or other teaching purposes.


D

20.18.5 The acquisition, storage and disposal of radioactive substances and radiation equipment. Retain a minimum of 50 years after disposal of substance or equipment, then destroy

D

20.18.6 Records relating to registration under relevant animal welfare acts authorising the University to use animals for scientific purposes


D


Reference Number


20.18.7 The management of animals or specimens on campus that require clearance under quarantine specifications and associated legislation. Includes notifications that the quarantine period has concluded.


D

20.18.8 Approvals for lethality tests Retain minimum of 7 years after action completed, then destroy

D

21 STAFF DEVELOPMENT

The function of encouraging staff to develop their skills and abilities (through participation in activities, programmes and events) to maximise their potential and increase their productivity. Includes identifying and implementing all aspects of training needs and programmes (internal and external) available to staff.

See also Disposal Schedule for Human Resource Management Records

21.1 Professional Development Leave

The process of offering personnel the opportunities to use study leave or development to enhance their professional experience. Also referred to as sabbatical (academic personnel) or professional development leave (professional personnel). Includes study leave application forms, authorisations, study leave reports and all associated correspondence where the records are not part of the official University personnel file.

21.1.1 Successful applications for study or professional development leave including acceptances and reports that are not retained on the official personnel file.


D


Reference Number


then destroy

21.1.2 Unsuccessful applications for study or professional development leave that are not retained on the official personnel file.


D

21.1.3 Study leave reports by staff that are not retained on the official personnel file. Retain until reference use ceases, then destroy

D

21.2 Subsidies Arranging and managing money paid to employees in addition to salary to cover expenses incurred in the course of employment, e.g. travelling allowances. The type of allowances and the maximum amounts payable are defined by the Policies and Guidelines of the University.

21.2.1 Applications and approvals for payments or waivers of study fees for staff. Includes documentation where the University contributes towards the fees associated with a recognised course of study


D

22 STRATEGIC MANAGEMENT

The function of applying broad systematic management planning and monitoring for the long term strategy and direction of the University. Includes the development of the:


Reference Number


• corporate mission, • strategic objectives, • continuous improvement processes, • quality assurance, • risk frameworks, • audit and certification, • and the formulation and amendment of legislation which may provide the legislative

basis for the University in a member country

22.1 Appeals A comprehensive investigation of significant incidents that occur on or off campus that may affect staff, students, contractors, visitors or the property of the University.


22.1.1 Grievances or other sensitive or contentious matters that are referred to an external tribunal or other authority to resolve. Includes those matters that are referred to the University Visitor


A

22.2 Audit Records relating to internal and external audits of the University


Reference Number


22.2.1 University functions or activities, resulting in changes to policy or procedures Retain minimum of 5 years after action completed, then transfer to Archives

A

22.2.2 University functions or activities, not resulting in changes to policy or procedures Retain minimum of 7 years after action completed, then destroy

D

22.2.3 Audits – accounting Refer to DSFAR

22.2.4 Audits – Occupational Health and Safety Refer to DSHRM

22.3 Authorisation Delegations that authorise actions or permit a high level University activity. Includes nomination or request for delegation or authority, non-approval or endorsement of authority, conditions of delegated authority and all other related correspondence.

See also Disposal Schedule for Financial and Accounting Records AUTHORISATION for records relating to financial delegations

See also Disposal Schedule for Human Resource Management Records - PERSONNEL - Authorisations for records relating to human resources delegations


Reference Number


22.3.1 Delegations of authority to Vice-Chancellor and officers occupying statutory positions (high level delegations) regarding the functional responsibilities of the University for life of the institution.


A

22.4 Code of Conduct Codes of behaviour that are to be adhered to by employees of the University.

Please note: Codes of Conduct signed by individuals are to be placed on the relevant personal file.

22.4.1 Code of Conduct - development of Retain minimum of 5 years after action completed, then destroy

D

22.4.2 Code of Conduct - if published 1. Retain in University Library, and


A

22.4.3 Code of Conduct – master copy, if not published Retain minimum of 5 years after action completed,

A


Reference Number


then transfer to Archives

22.5 Compliance Complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the University is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

22.5.1 Records relating to institutional accreditation as an educational provider, such as those that determine that the University is licensed to be a teaching and educational institution. Includes registration and application forms, reports, submissions, supporting documents, notification of approval or non-approval and all other related correspondence.

See also TEACHING & LEARNING - Accreditation for the accreditation of courses


A

22.6 Corporate Identity Development and protection of University identity objects such as the name, coat of arms, crest, motto, logo, trademarks or the University seal. Includes item development documentation, letters, patent applications, negatives, photographs and all other related correspondence. Also includes the administration of requests to use university identity objects, notification of approval or non-approval, conditions of use and all other related correspondence. Also includes breaches of use and the resolution.

See also PUBLICATION for corporate style guides

22.6.1 Development of corporate identity objects including their design and format e.g. coat of arms, common seal, logo and the crest.


A


Reference Number


Archives

22.6.2 The application and approval to use the University’s identity objects such as the crest, motto or logo.


D

22.6.3 Falsification or misuse of corporate identity, including fraudulent use of web content, falsified statement of academic record (academic transcript)


D

22.7 Corporate Protocols

The development and implementation of formal etiquette and procedure for a particular occasion or ceremony, in order to be diplomatic and to represent the University ethos and code of conduct. These protocols may be formally or informally stated but support such activities as the use of University titles, the use of flags on campus, the use of the University name, coat of arms and crest and the manner in how University visiting delegations are treated.

See also STUDENT ADMINSITRATION - Graduation Ceremonies for records about graduation ceremony protocols, including academic dress protocols

22.7.1 Records relating to the interpretation and implementation of protocol policy and procedures for ceremonies, use of titles and addresses and protocol for visitors to the University.

Retain permanently. Once superseded

A


Reference Number


transfer to the Archive.

22.8 Corruption Prevention

Strategies for the prevention of corruption. Includes involvement in corruption prevention projects undertaken by the Fiji Independent Commission Against Corruption (FICAC), or other similar agencies in member countries, the education of staff about corruption prevention disclosures and information relating to the disclosure of improper conduct within The University of the South Pacific in compliance with ‘whistleblower' legislation.

See also LEGAL SERVICES - Corruption Disclosure for records relating to corruption disclosure

22.8.1 Development and implementation of strategies for the prevention of corruption within the University


D

22.9 Elections Election of office bearers, representatives and other senior positions within the University.

Includes electoral roll creation, maintenance and roll services, call for nominations, advertising the ballot, ballot papers, nominations and tally sheets.

22.9.1 The election of the Pro-Chancellor and appointment of the Chancellor. Retain minimum of 5 years after action completed, then transfer to

A


Reference Number


Archives

22.9.2 Electoral roll creation, maintenance and roll services including the electoral roll itself. Retain minimum of 1 year after action completed, then destroy

D

22.9.3 The conduct of elections. This can include advertising, balloting, nominations, notices, papers, scrutineers and tally sheets.

Retain minimum of 6 months after action completed, then destroy

D

22.9.4 Elections for membership of committees and boards of the University including Guild of Student elections where the University manages the election process. Records include electoral rolls, ballot papers, tally sheets, nominees’ statements, and official notification of results.

Retain a minimum of 5 years after declaration of results, then destroy

D

22.10 Evaluation Activities associated with the evaluation and ongoing monitoring of potential or existing University programs.

See STRATEGIC MANAGEMENT – Audit for formal audits of University functions or programs.


Reference Number


22.10.1 Evaluation – University programs or services Retain a minimum of 5 years after declaration of results, then destroy

D

22.10.2 Evaluation – employees Refer to DSHRM

22.10.3 Performance indicators – development Retain a minimum of 5 years after declaration of results, then destroy

D

22.11 Legislation Records relating to the development of University legislation, as well as comments made by the University regarding other legislation.

See LEGAL SERVICES for legal services provided to the University, including legal advice and the handling of legal action.


Reference Number


22.11.1 Development of legislation (including Acts, Bills, regulations and amendments) forming the legislative basis for the University, including:

• proposals, • consultations, • reviews, • submissions, • drafts, and explanatory notes


A

22.11.2 Legislation – requests for interpretation (e.g. legal advice) Retain minimum of 5 years after action completed, then transfer to Archives

A

22.11.3 Other legislation affecting University functions – significant comments and contributions Retain minimum of 5 years after action completed, then transfer to Archives

A

22.11.4 Other legislation affecting University functions – minor comments and contributions Retain minimum of 10 years after action completed, then destroy

D


Reference Number


22.11.5 Other legislation, not affecting University functions – comments and contributions Retain minimum of 10 years after action completed, then destroy

D

22.12 Performance Management

Activities relating to the strategic-level development of practices for identifying, evaluating and developing corporate and employee work performance.

See also STRATEGIC MANAGEMENT – Evaluation for the evaluation of the University’s programs or services, including the development of performance indicators.

Refer to the USP Schedule for Human Resource Management Records for records relating to performance management as applied to individual University personnel

22.12.1 Performance management practice – development Retain minimum of 5 years after action completed, then destroy

D

22.13 Planning Records relating to planning to achieve University objectives. Includes contributions to university planning.

See FACILITIES MANAGEMENT – Planning for planning and development related to property or land.

See STRATEGIC MANAGEMENT – Risk Management for records relating to risk


Reference Number


management and disaster recovery plans.

22.13.1 University strategic, corporate and business plans – development, final plan and implementation

Retain minimum of 5 years after action completed, then Archive

A

22.13.2 Operational or administrative plans, including sectional or unit plans derived from University-wide plans – development, final plan and implementation

Retain minimum of 5 years after superseded, then destroy

D

22.13.3 University planning – significant organizational contributions Retain minimum of 5 years after action completed, then Archive

A

22.13.4 University planning – non-significant organizational contributions Retain minimum of 5 years after action completed, then destroy

D


Reference Number


22.13.5 Plans – financial (e.g. budgeting) Refer to DSFAR

22.13.6 Reference materials used in developing plans Destroy when reference ceases D

22.14 Reporting Formal reporting against University business, corporate, operational, or strategic plans.

See COMMON ACTIVITIES – Reporting for records relating to statistics and surveys.

22.14.1 Reports – functional activities, not reproduced elsewhere Retain minimum of 5 years after action completed, then transfer to Archive

A

22.14.2 Retain minimum of 5 years after action completed, then destroy Retain minimum of 7 years after action completed, then destroy

D

22.14.3 (Reports – financial and accounting e.g. Treasurer’s reports, financial statements) Refer to DSFAR


Reference Number


22.14.4 Reporting – other activities Retain minimum of 5 years after action completed, then destroy

D

22.15 Risk Management The identification of risk and the implementation of appropriate practices to reduce the impact of material and economic loss arising from an incident, and allow the University to continue providing essential services.

See also INFORMATION MANAGEMENT – Conservation for the conservation and preservation of information resources.

22.15.1 Risk management plans (including disaster recovery) – development, final copy and implementation

Retain minimum of 7 years after plan superseded, then destroy

D

22.15.2 Risk management plans (including disaster recovery) – implementation of plan following major disasters or serious incidents


A

22.15.3 Risk management plans (including disaster recovery) – implementation of plan following other incidents


D


Reference Number


then destroy

22.16 Standards Implementing industry or organisational benchmarks for services and processes to enhance the quality and efficiency of the University. Also includes quality assurance activities.

22.16.1 Supplementary records relating to quality assurance activities i.e. working papers, drafts and administrative arrangements.


D

22.16.2 The instigation and conduct of quality assurance activities by the University. Retain minimum of 5 years after action completed, then transfer to Archives

A

23 STUDENT ADMINISTRATION

The function of managing students through process of recruitment, applications, admission, enrolment, progression through courses and final accreditation by the university, including qualification for and awarding of degrees. Also includes planning, administering and setting procedures for, exchange programs, misconduct and graduation of undergraduate and postgraduate students.

Please note: Where records are created and maintained by regional and/or international campuses, there may be instances where the records may need to be retained over and


Reference Number


above the minimum retention outlined in this document due to local legislation.

23.1 Academic Record The complete record of a student studies including final grades, details of the courses completed, the awards conferred and the majors, minors, program, and streams completed as part of each course, awards conferred and prizes awarded.

23.1.1 Academic Record - The official record of the marks or grades achieved by a student during the course of the degree, diploma or other award.


A

23.1.2 Letters of completion which is notification that a course of study has been completed. Retain minimum of 10 years after action completed, then destroy

D

23.1.3 Records relating to the authority to release results. Retain minimum of 7 years after action completed, then destroy

D

23.1.4 Results - Computer printout lists/reports run from the student records system to assist Faculties in making decisions regarding the progression of students each semester. Lists are also used to confirm graduation status of students. Includes course assessment lists - print outs of grades awarded to students in courses and examination collation sheets.


D


Reference Number


23.1.5 Printouts from the student record system of Academic Records that support decision-making other than the University Academic and Standards and Quality Committee and Faculty Academic and Standards and Quality Committee results.

Retain minimum of 1 year after reference use ceases, then destroy

D

23.1.6 Written requests for a formal statement of academic record (academic transcript) and/or confirmation of completion of studies.

Retain minimum of 6 months after action completed, then destroy

D

23.1.7 The management of testamurs awarded by the University.

Includes uncollected or unclaimed testamurs, the acknowledgement or receipt of delivery, testamur replacements, surrendering testamurs when awarded a corresponding degree.


D

23.1.8 Documentation from the Faculty or School recommending the student for the award of degree or diploma.


D

23.2 Academic Appeals The process of appeal against a decision by application to a higher authority.

See also STUDENT ADMINISTRATION - Grievances for appeals against decisions relating to grievances and complaints


Reference Number


See also STUDENT ADMINISTRATION - Discipline for appeals against disciplinary actions

23.2.1 Appeals against an assessment result. Includes appeals and applications for special consideration against the final grade awarded in a unit, and against the result of examination of a doctoral, masters or honours thesis.


D

23.2.2 Appeals against the denial of requests for deferred assessment, retrospective withdrawal from a unit, advanced standing, and the non-award of a scholarship


D

23.2.3 Appeals against any finding of, or imposition of penalty for academic misconduct or general misconduct including penalisation of an assessment mark and temporary suspension of enrolment


D

23.3 Admission The process of applying for entry into a course of study offered by the University.

Includes liaison with the Student Administrative Services (SAS) and USP International, the admission of international students and those who have gained entry under special admission schemes such as mature age entry. Also includes the management of transfer of students between programmes, deferment of offer as well as reviews and appeals against non-admission.

See also STUDENT ADMINISTRATION - Enrolment for matters dealing with enrolment to


Reference Number


the University.

23.3.1 Successful applications for admission to a course of study offered by the university. Includes:

• Undergraduate & honours courses • Masters by coursework • Postgraduate certificate • Postgraduate diploma • Equity entry programs and offers


23.3.2 Successful applications for Masters by research and PhD places.

See 23.3.1 for Masters by course work.


D

23.3.3 Unsuccessful applications for admission to a course of study offered by the University,

Including:

• Undergraduate & honours courses • Masters by coursework • Postgraduate certificate • Postgraduate diploma • Equity entry programs and offers


D

23.3.4 Unsuccessful applications for higher degree research places. Retain minimum of 3 years after action completed,

D


Reference Number


then destroy

23.3.5 Prospective students withdrawing their application to be admitted to the University Retain minimum of 1 year after action completed, then destroy

D

23.3.6 Cut-off scores and tertiary entrance ranks. Retain minimum of 7 years after action completed, then destroy

D

23.3.7 Student Administrative Services (SAS) list of applicants by course preference or course statistics and list of applicants for University place aggregate totals.


D

23.3.8 Ranking of students by which the Faculties indicate their preference of students for admission to study at the University, including ranking of entrance interviews .


D

23.3.9 Summer School admissions including applications, medical forms and any associated documentation.

Retain minimum of 1 year after action completed,

D


Reference Number


then destroy

23.4 Advanced Standing (Credit & Exemptions)

The assessment of applications for advanced standing by eligible prospective students who have undertaken post-secondary or tertiary studies at a recognised institution. Also used for assessment for recognition or specific units or courses of an institution for a particular purpose. Includes recognition of relevant work experience.

23.4.1 The assessment of applications for credit toward a course of study. Includes the assessment of previous study and/or professional experience usually for advanced standing once enrolled in a course.


D

23.5 Assessment The evaluation of student performance in terms of knowledge acquired, understanding developed and skills gained in order to progress towards a degree or other academic achievement.

23.5.1 Practicum reports produced through student work placements, for courses of study where the number of hours completed and proof of satisfactory performance may be required for professional accreditation purposes.


D

23.5.2 Student generated reports based upon professional experience in an educational environment.


D


Reference Number


23.5.3 Supervision records of successful higher degree research students Retain minimum of 75 years after action completed, then destroy

D

23.5.4 Supervision records of unsuccessful higher degree students Retain minimum 2 years after appeal period, then destroy

D

23.5.5 Work submitted or completed by students for the purposes of assessment or evaluation, including assignments and presentations but excluding examination scripts, practicum, and theses.

Return to the student, or retain minimum 6 months after appeal period, then destroy

D

23.5.6 Log Books recording the receipt, dispatch or grade / mark of students assignments Retain minimum of 2 years after action completed, then destroy

D

23.5.7 Higher degree by research theses and selected notable honours thesis where the student successfully completed the course.

Retain in agency A


Reference Number


23.5.8 Honours theses or other notable work where the student successfully completed the course but the work is not selected for permanent retention by the University.


Retain minimum 5 years after date of marking or examination, then destroy

D

23.5.9 Theses where the student did not successfully complete the course. Retain minimum of 1 year after appeal period, then return to student or destroy.

D

23.5.10 Thesis submission register. Retain until reference use ceases, then destroy

D

23.5.11 Examiners’ Reports of Theses for Master’s by research, PhD or equivalent level. Retain minimum of 75 years after action completed, then destroy

D

23.5.12 Examiners’ Reports of Honours & Graduate Diploma degree students. Retain minimum of 10 years after action completed,

D


Reference Number


then destroy

23.5.13 Examiners / Assessors reports on non-Theses examinations Retain minimum of 3 years after action completed, then destroy

D

23.5.14 Written reports on the academic progress of candidates enrolled in postgraduate research degree and professional doctorate courses


D

23.5.15 Register of Examinations held. Retain minimum of 5 years after action completed, then transfer to Archives

A

23.5.16 Marking key used to assess examination script. Retain minimum of 5 years after action completed, then transfer to Archives

A


Reference Number


23.5.17 Examination results working sheets including working papers, distribution of class results, score sheets, oral or performance examination sheets and “raw score” used by examiners to calculate grades and marks.


D

23.5.18 The grading or marking of student work for assessment including essays, assignments etc. which contribute to the student final grade


D

23.5.19 Results achieved by students enrolled in short course or non-award courses to students such as intensive English language programmes or bridging programmes prior to admission or in association with their studies.


D

23.5.20 The grading or marking of student work for assessment including essays, assignments etc. which do not contribute to the student final grade.


D

23.5.21 Amendments to final grade to the academic record subsequent to an appeal. Retain minimum of 5 years after action completed, then transfer to Archives

A


Reference Number


23.5.22 Assessment Reports - Reports relating to the compilation of assessments. Retain minimum of 10 years after action completed, then destroy

D

23.5.23 Unsatisfactory progress including warning letters, replies from students, and approvals to repeat units.


D

23.5.24 Conscientious objection where students have a conscientious belief that is in conflict with teaching and/or assessment practices. Includes interview notes, forms, correspondence, decisions taken, and appeals.


A


Reference Number


23.6 Discipline Disciplinary processes where a student is charged with alleged misconduct for breach of the Student Discipline Statute or the University’s Regulations, By-laws, or Rules.

Examples include:

• dishonesty in assessment such as plagiarism and unauthorised collusion; • falsification of an academic record or research results; • misconduct in an examination; • misconduct in or in relation to the Library; • non-payment of a fine or debt to the University; • misconduct in or in relation to the University’s computing and networking facilities; • willful damage to university property; and • abusive or violent behavior, etc.

23.6.1 Handling and resolution of disciplinary matters where the alleged offence is dismissed or no disciplinary act is taken. Also includes unsubstantiated allegations that have been found to be false.


D

23.6.2 The handling and resolution of disciplinary matters where a penalty is imposed for academic misconduct or general misconduct. Examples of penalties include issuance of a caution, requirement to resubmit an assessment component, penalisation of an assessment mark such as awarding a fail grade, temporary suspension of rights and privileges, and temporary suspension of enrolment


D


Reference Number


23.6.3 The handling and resolution of disciplinary matters such as alleged misconduct where disciplinary action is taken which results in the student being permanently barred from admission to a degree or course or a student being permanently barred from University facilities including the library. Includes any subsequent appeals against the decision. Records relating to the permanent suspension of Library access


D

23.7 Enrolment The process of enrolling students in a course or unit of study.

23.7.1 The enrolment of students into a course or subject (or unit of study) Retain minimum of 10 years after action completed, then destroy

D

23.7.2 Enrolment offer. Retain minimum of 10 years after action completed, then destroy

D

23.7.3 Records where the student is declining the offer of admission to the University Retain minimum of 2 years after action completed, then destroy

D


Reference Number


23.7.4 The enrolment approvals from Faculties that endorse a period of study undertaken by either by an inbound or outbound student on exchange.

Note: these records are not filed on the official student file.


D

23.7.5 Registers of Student Enrolments. Retain minimum of 5 years after action completed, then transfer to Archives

A

23.7.6 Administrative arrangements for enrolments, including the preparations for and management of the enrolment process.


D

23.7.7 Students concurrently enrolled in units at other universities for credit towards their degree (cross-institutional enrolment).


D

23.7.8 Police clearances records where the clearance is required as a prerequisite to enrolment. Retain minimum of 10 years after action completed, then destroy

D


Reference Number


23.7.9 Applications, agreements and associated correspondence for students undertaking supervised course work study of a subject that is not available as a formal unit of study (independent study contracts).


D

23.7.10 Overload forms. Retain minimum of 10 years after action completed, then destroy

D

23.7.11 Pre-requisite forms. Retain minimum of 10 years after action completed, then destroy

D

23.7.12 Enrolment in a program of study or course not leading to an award (non-award courses). Includes enrolment in University Extension and English Language Teaching courses


D

23.7.13 Notices to students advising of enrolment details. Retain minimum of 1 year after action completed, then destroy

D


Reference Number


23.7.14 Variation of student details i.e. changes of name or address. Retain minimum of 2 years after action completed, then destroy

D

23.7.15 Successful applications for placement in a student exchange programme, including letters of offer, acceptance forms, confirmation of enrolment letter, interview notes, correspondence, and documentation.


D

23.7.16 Unsuccessful applications for placement in a student exchange programme. Retain minimum of 1 year after action completed, then destroy

D

23.7.17 Deferment of an offer of an undergraduate place, suspension (intermission) of enrolment, retrospective withdrawal, leave of absence, or withdrawal of enrolment from a course of study (discontinuation of studies).


D

23.8 Examinations The processes associated with the development of examinations and the arrangements in place to conduct them.

23.8.1 Records relating to the appointment of examiners, assessors or supervisors. Retain minimum of 2 years after action completed,

D


Reference Number


then destroy

23.8.2 The process for the preparation and approval of examination papers. Retain minimum of 5 years after action completed, then destroy

D

23.8.3 Master Copy (or 'set') of Examination Question Papers, including supplementary / deferred exams


A

23.8.4 Records relating to examination/assessment attendance. Examples of records: Attendance Lists, attendance cards


D

23.8.5 Special arrangements for individual students during examinations or assessment (for example to assist with a disability or language need), and/or special arrangements for distance education, and remote sites. Excludes timetables.


D

23.8.6 Examination scripts (blank/unmarked exam papers) – duplicates of exam papers. Retain until reference use

D


Reference Number


ceases, then destroy

23.8.7 Examination Scripts / answer booklets (papers completed by students). This includes written, performance or oral examination, presentation or any other attempt completed by students as part of their examination component for a particular subject or unit.


D

23.8.8 Applications for deferred assessment and associated correspondence for students unable to sit examinations or submit work for assessment because of serious illness or other exceptional personal circumstances.


D

23.8.9 List of examinations being provided Retain minimum of 1 year after date of list, then destroy

D

23.8.10 Granting of supplementary assessment and associated correspondence Retain minimum of 10 years after action completed, then destroy

D

23.8.11 Administrative arrangements for examinations. Includes supervision/invigilation arrangements, eligibility lists, examination timetables and venues.


D


Reference Number


then destroy

23.8.12 Application to sit examination elsewhere Retain minimum of 10 years after action completed, then destroy

D

23.9 Exchange Programs

Programs organising the exchange and placement of students between educational institutions.

23.9.1 The development of schemes between the University and other institutions. Retain minimum of 2 years after action completed, then destroy

D

23.9.2 The establishment of student exchange programmes with other universities. Retain minimum of 7 years after expiry or termination of agreement, then destroy

D


Reference Number


23.9.3 Registers or lists of students who are on incoming or outgoing exchange programmes. May include name and contact details, next of kin, home University, payment arrangements, payment details, list of course/units taken, period of exchange and academic results.


D

23.9.4 Exchange program universities evaluation forms completed by exchange students. Retain minimum of 5 years after action completed, then destroy

D

23.10 Graduation Ceremonies

The arranging and managing the University graduation ceremonies. Includes all correspondence and associated documentation produced to organise and manage an occasion.

See also COMMUNITY RELATIONS - Addresses for master copies, "as read" versions or transcripts of addresses presented by Executive and senior officers of the University at University events, functions, ceremonies and celebrations.

See also COMMUNITY RELATIONS - Celebrations, Ceremonies and Social Functions, the arranging and managing a special occasion such as an Honours ceremony.

23.10.1 Register of graduates. This is the master list of students who graduate (including those who graduate in absentia).


A


Reference Number


23.10.2 Records relating to academic dress protocol, including policy relating to and descriptions of official regalia.


A

23.10.3 Regalia orders for graduations, including regalia return cheques form Retain minimum of 7 years after action completed, then destroy

D

23.10.4 Master copies of Graduation Ceremony Programme. Includes order of proceedings, list of student names and awards received.


A

23.10.5 Audio visual recordings of graduation ceremonies; photographs; and transcripts of speeches including occasional addresses, valedictory addresses, and citations for honorary degrees.

Retain in Agency A

23.10.6 The notification of and attendance at graduation ceremonies Retain minimum of 1 year after action completed, then destroy

D


Reference Number


23.10.7 Application to graduate, including official records of conferral of award and eligibility to graduate


D

23.10.8 Administrative arrangements for the graduation ceremony, including arranging venues, speakers, catering, seating, special access etc. Also includes the arrangements associated with attendance of University personnel at ceremonies.


D

23.11 Grievances The handling and resolution of individual cases relating to complaints about the study environment, study organisation or distribution, peers, supervisors or subordinates.

See also PERSONNEL - Grievances & Complaints for complaints about personnel

23.11.1 Formal complaints or grievances raised by a student, which are precedent setting cases and have resulted in significant change to University policy or procedure.



A

23.11.2 Formal complaints or grievances and where the matter has been referred to an outside agency.


D


Reference Number


23.11.3 Non-significant formal grievances not included in 23.11.1, raised by a student which are not precedent setting and do not result in a change to policy or procedure.

Does not include formal complaints or grievances referred to outside agencies


D

23.11.4 Grievances that were raised informally and were not proceeded with. Retain minimum of 2 years after action completed, then destroy

D

23.12 Planning Planning about student administration

See also STRATEGIC MANAGEMENT - Planning for high level planning to achieve corporate objectives

23.12.1 Routine records relating to the development and administration of student load intake (quotas) into programmes and/or courses.


D

23.12.2 Records relating to the calculations relating to Effective Full Time Student Units (EFTSU). Retain minimum of 5 years after action completed, then destroy

D


Reference Number


23.13 Reporting Records relating to the processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of University policies), and to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns.

23.13.1 Records relating to student enrolment error reports generated by the student records system. Retain minimum of 1 year after action completed, then destroy

D

23.14 Scholarships, Prizes & Awards

The establishment, promotion, selection, awarding and administering of scholarships, bursaries, prizes or fellowships, which are funded either internally or externally. These can take the form of money, medals, certificates or the waiving of fees.

See also PERSONNEL - Personnel Case Files for successful fellowship applications

23.14.1 Successful applications/nominations for university sponsored scholarships, prizes, awards and bursaries.


A

23.14.2 Successful applications/nominations for externally sponsored scholarships, prizes, awards and bursaries.


D


Reference Number


then destroy

23.14.3 Unsuccessful applications / nominations, regardless of how the award is funded, for scholarships, prizes, award and bursaries.


D

23.14.4 Unsuccessful fellowship applications.

See also PERSONNEL - Fellowships for successful Fellowship applications


D

23.14.5 Records relating to the establishment and management of rules and conditions of internally funded scholarships, prizes, awards, bursaries and fellowships.


A

23.14.6 Records relating to the establishment and management of externally funded fellowships. This can include terms and conditions for the fellowship.


D

23.14.7 Registers of recipients of awards, bursaries, prizes, fellowships, and scholarships Retain minimum of 5 years after action completed,

A


Reference Number


then transfer to Archives

23.14.8 Records relating to the decision making process to receive scholarships, prizes, awards, bursaries and fellowships


D

23.14.9 Administrative arrangements for the delivery or presentation of awards. Retain minimum of 2 years after action completed, then destroy

D

23.14.10 Successful applications and associated correspondence for Rhodes Scholarships and other significant scholarships and awards, e.g. Fulbright Scholarships.


A

23.14.11 Unsuccessful applications and associated correspondence for Rhodes Scholarships and other significant scholarships and awards, e.g. Fulbright Scholarship, etc.


D


Reference Number


23.14.12 Records relating to the administration and management of the Rhodes Scholarship application process.


A

23.15 Student Files The activities associated with maintaining a range of student related documentation on a file. Files are sentenced in accord with the longest retention period specified for any record contained on a file.

23.15.1 Student files maintained for students enrolled in, and who complete, a Higher Degree by Research (Doctor of Philosophy, Master’s by Research), Higher Doctorate, or Professional Doctorate

Alumni who attain prominence in their field or become recognised for distinguished achievement or notoriety may have their student file selected for permanent retention


23.15.2 Student files maintained for students enrolled in, and who complete, an undergraduate course of study, honours course, or Postgraduate Coursework qualification (includes Masters by Coursework and Postgraduate Diplomas and Certificates).


D

23.15.3 Students who discontinue or withdraw from their course of study Retain minimum of 10 years after action completed, then destroy

D


Reference Number


23.16 Student Recruitment

Records associated with the recruitment of students to courses of study in the University.

23.16.1 The marketing of courses offered by the University to encourage prospective students to apply for admission to the University. Activities include exhibitions, advertising, and promotional material including booklets and pamphlets.


D

23.16.2 The appointment of and arrangements with recruitment / advertising agencies who undertake the marketing of courses offered by the University


D

23.17 Study Abroad The activities involved in arranging opportunities for enrolled students to undertake study with an overseas higher education institution, or for students enrolled at an overseas higher education institution who wish to study for one or two semesters at USP.

23.17.1 Successful applications for enrolment in a Study Abroad program. Includes application forms, letters of offer, enrolment forms, confirmation of enrolment letters, and any associated correspondence and documentation such as academic transcripts and photocopies of passports.


D


Reference Number


23.17.2 Unsuccessful applications for enrolment in a Study Abroad program. Retain minimum of 1 year after action completed, then destroy

D

23.17.3 Records relating to successful applications for Study Abroad travel bursaries. Retain minimum of 5 years after action completed, then destroy

D

23.17.4 Records relating to unsuccessful applications for Study Abroad travel bursaries. Retain minimum of 1 year after action completed, then destroy

D

24 STUDENT SERVICES

The function of providing support and services to students by either the University or another entity for the personal and academic development of students

See also COMMUNITY RELATIONS for non-academic services offered by the University to students, staff and the general public

24.1 Accommodation Providing places of residence for students, where the residence is managed by or is affiliated with the University. This excludes privately controlled or owned accommodation.


Reference Number


24.1.1 Students in residential college accommodation. Includes successful applications, acceptances, personal details of each student, any student contracts, breaches of code of conduct relating to in-house codes of conduct and subsequent disciplinary action.


D

24.1.2 Unsuccessful applications for student accommodation. Retain a minimum of 6 months after semester commenced, then destroy

D

24.1.3 Schedule of fees for accommodation services. Retain a minimum of 5 years after superseded, then destroy

D

24.1.4 The provision of accommodation through matching students with private accommodation options such as boarding houses.


D


Reference Number


24.2 Arrangements Preparations undertaken to ensure students have identification and evidence of their eligibility to receive student concessions.

See also COMMON ACTIVITIES - Arrangements for the activities involved in arranging a journey or trip, catering, room bookings, usage of vehicles, equipment or space

24.2.1 The issuing of student identification cards, e.g. student cards and library cards. Includes application forms and the re-issuing of lost or replacement cards.


D

24.2.2 The arrangement and management of concessions for students, including the issuing of concession cards (E.g. travel and movie theatre concessions). This includes consultation with the organisation providing the concession.


D

24.2.3 Photographic images for student identity cards. Includes negatives. Retain until superseded or when student leaves University, then destroy

D

24.3 Career Advice Provision of information and assistance to students relating to student and graduate employment, career management and job search. Includes the interaction with providers and employers, employment opportunities, seminars and mentoring, careers directions, suitability


Reference Number


and pre-requisite qualifications.

24.3.1 The provision of information, assistance and advice regarding career directions, suitability and pre-requisite qualifications. May include case files.


D

24.3.2 The collection and dissemination of careers information. Includes interaction with providers and employers, employment opportunities, information relating employment seminars and mentoring opportunities.


D

24.4 Clubs & Societies The facilitation of University clubs and societies which enable staff and students with common interests to interact and actively participate in campus life. Includes sports and social clubs and associations.

24.4.1 Records relating to the relationship between the University and student associations such as the sporting clubs, special interest groups and student guild etc. Includes minor complaints or grievances in relation to their activities.


D

24.4.2 Significant matters, disputes or similar relating to the relationship and interaction between the university and the student associations.



A


Reference Number


Archives

24.5 Orientation The planning and management of activities intended to introduce new students to the University and its amenities, services, facilities and activities.

24.5.1 The planning and management of student orientation activities. Includes activities and events organised for Orientation Week, pre-departure briefings and orientation for international students, programmes conducted by Faculties, Schools and Central Administrative Offices, and the training of student volunteers.


D

24.6 Student Support The provision of advice and study skills support and employment services to students whilst studying at the University. Also includes confidential documentation about the students during the period of study such as summaries of advice, case notes and other supporting documentation.

See also STUDENT SERVICES - Financial Assistance for records associated with financial support for students

24.6.1 Confidential data about students and their support requirements. This includes notes of confidential interviews, summaries of advice given to the student, case notes and supporting medical documentation as evidence to support claims.


D

24.6.2 Provision of specific study skills and support programmes. These programmes teach skills such as language skills, time and project management, reading, researching, writing and


D


Reference Number


presentation skills. then destroy

24.6.3 Client records which includes the identification and assessment of current skill levels. Retain minimum of 5 years after action completed, then destroy

D

24.6.4 Facilitating employment opportunities for students. Includes students registering for employment and employers seeking workers.


D

24.6.5 The provision or coordination of services for students with disabilities or medical conditions, permanent or temporary, that may affect various aspects of a student's life while at university. Services may include advice and information, liaison with staff, library services, alternate examination conditions, access to some aids and equipment, note taking and transcription services and interpreting services.


D

24.7 Financial Assistance

The provision of financial support to students by the University including emergency cash loans and zero or low-interest short-term loans.

24.7.1 The establishment and development of University student loans schemes. Retain minimum of 5 years after superseded, then destroy

D


Reference Number


24.7.2 The management of loans provided to students. Retain a minimum of 7 years after expiry of the loan, then destroy.

D

24.7.3 Successful applications for financial assistance. Retain minimum of 7 years after action completed, then destroy

D

24.7.4 Unsuccessful applications for financial assistance. Retain minimum of 1 year after action completed, then destroy

D

25 TEACHING & LEARNING

The function of formulating and delivering the teaching curricula and facilitating the learning process. Includes course planning and development, course accreditation and delivery, assessment, teaching materials, evaluation and reviewing.

See also RESEARCH - Specimen Management for records associated with the care, use, protection and disposal of specimens for teaching and research purposes in accordance with statutory requirements

25.1 Arrangements The preliminary measures and preparations undertaken to ensure that the University teaching calendar and timetable is scheduled and managed appropriately.


Reference Number


See also COMMON ACTIVITIES - Arrangements for the activities involved in arrangement a journey or trip, catering, room bookings, usage of vehicles, equipment or space.

25.1.1 Structure of the University academic year. Including semester and other teaching period dates, key administrative and committee dates.

Retain minimum of 1 year after calendar expires, then destroy.

D

25.1.2 The development and amendment of the University teaching timetable. Includes staff unavailability forms and all other documentation used to develop the University timetable.


D

25.1.3 Records relating to the allocation of teaching workloads for teaching personnel. Retain minimum of 2 years after action completed, then destroy

D

25.2 Course Accreditation

Achieving formal approval from relevant accrediting organisations, general external professional bodies or local government authorities, for offering particular courses of study or research activities at the University. Includes the registration of courses or facilities by professional bodies, review and re-accreditation as required. Also includes the process of gaining and retaining accreditation of facilities and laboratories for teaching and research activities.

See also RESEARCH - Accreditation for accreditation of the University as a research


Reference Number


institution

See also TEACHING & LEARNING - Course Approval for the internal approval of courses and units delivered by the University.

25.2.1 Successful applications for gaining accreditation of courses of study from external professional bodies or accreditation authorities.

Retain a minimum of 10 years after curricula superseded, then transfer to Archive

A

25.2.2 Unsuccessful applications for gaining accreditation of courses of study from external professional bodies or accreditation authorities.


D

25.2.3 Working papers associated with the accreditation of courses of study from external professional bodies or government accreditation authorities. Includes evidence of assessments and examination grades used for determining student competencies.

Retain minimum of 2 years after accreditation expires or superseded, then destroy

D

25.3 Course Approval The approval of courses and units delivered by the University. Includes records associated


Reference Number


with the approval of amendments and the consultation processes.

See also COURSE ACCREDITATION for the accreditation of university courses by external bodies

25.3.1 Records of the consultation process carried out during the approval of courses. Includes review documentation prepared for review panels, submissions, recommendations, responses, final reports and resolutions passed by the relevant committees.

Retain a minimum of 10 years after curricula superseded, then destroy

D

25.3.2 Courses and units developed, submitted and approved for curriculum within the University, including master copies of course and unit outlines.


A

25.3.3 Proposals for courses and units that have not been approved for curriculum within the University


D

25.3.4 The administration and allocation of course codes.

Note: This information will be published in the Faculty Handbooks or in Course Management

Retain until reference use ceases, then

D


Reference Number


Systems. destroy

25.4 Course Delivery Delivery of a course of study for students enrolled in academic or non-award courses. Includes resources and materials used in course and subject delivery.

25.4.1 The planning, development and formulation of teaching methods, practices, pedagogy and strategies to enable course delivery at the University.


D

25.4.2 Supplementary material used for teaching purposes to enable course delivery such as academic working papers.


D

25.4.3 Attendance records including class lists. Retain minimum of 1 year after action completed, then destroy

D

25.4.4 Resources and materials including copies of course outlines, study guides, reading lists, self-assessment exercises, audio- visual teaching aides, assignment lists, lecture notes, distance education materials.

Retain a minimum of 2 years after reference ceases, then destroy.

D


Reference Number


25.5 Course Development

The development and planning of the structure, assessment requirements and content of University courses.

25.5.1 The development of new courses of study, including those developed in conjunction with other institutions.


A

25.5.2 Working papers related to the development of University courses and units. Retain until reference use ceases, then destroy

D

25.5.3 Approved amendments to existing courses and units Retain a minimum of 5 years after course superseded or discontinued, then Archive

A

25.6 Evaluation The evaluation and ongoing monitoring of University courses and / or units. Includes information collected for quality assurance purposes such as questionnaires, surveys, and other feedback mechanisms


Reference Number


See also STRATEGIC MANAGEMENT - Standards for high level quality assurance activities

25.6.1 Assessments/evaluations outcomes and final reports relating to university courses and their delivery.


A

25.6.2 Raw data collected and used in the evaluation of University courses and their delivery. May include student feedback forms, surveys, questionnaires, interviews and other data and background material


D

25.6.3 Confidential feedback received from postgraduate students about their supervisors Retain minimum of 7 years after action completed, then destroy

D

26 TECHNOLOGY & TELECOMMUNICATIONS

The function of developing or acquiring, testing and implementing applications and databases to support the business needs of the University or to capture, store, retrieve, transfer, communicate and disseminate information through automated systems.

Includes the evaluation of software and hardware and the acquisition, tendering, leasing, licensing and disposal of systems. Also includes communication network systems such as video conferencing, voice communications and electronic mail and the technical aspects of the Internet, Intranet and Websites.


Reference Number


See also INFORMATION MANAGEMENT for records relating to the management of information resources.

26.1 Acquisition Acquisition of technology or telecommunications equipment, systems, or applications.

Refer to the USP Schedule for Financial and Accounting Records for financial records relating to acquisition.

26.1.1 Systems or applications that become operational – non-financial records relating to:

• feasibility studies, • investigations, • selection, • analysis, • modification, and • purchase.

Retain for 7 years after system discontinued or superseded, then destroy D

26.1.2 Systems that do not become operational – non-financial records relating to:

• feasibility studies, • investigations, and • analysis


D

26.1.3 Acquisition – equipment, communications systems, software (including software licences and upgrades)

Refer to DSFAR


Reference Number


26.1.4 Warranties and guarantees – equipment, communications systems, software Retain until item disposed of D

26.2 Allocation The process of assigning permits, equipment, or items of technology or telecommunications to employees or organisational units.

26.2.1 The allocation of University internet domain names and URL addresses. Retain minimum of 7 years after action completed, then destroy

D

26.2.2 The allocation of hardware, software and other information technology items of equipment. Retain minimum of 2 years after action completed, then destroy

D

26.2.3 The arrangements for the transfer or integration of technology and telecommunications systems and assets following administrative change.


D

26.3 Application Development

Developing or modifying and maintaining software and programming codes to run business applications. Includes specifications, testing, pilots, prototyping and metadata requirements.


Reference Number


26.3.1 Records documenting results of application testing activities. Retain minimum of 7 years after action completed, then destroy

D

26.4 Control The creation, maintenance and evaluation of control mechanisms and change requests for systems.

26.4.1 System control mechanisms (e.g. authenticity, version control) -development and maintenance

Retain for 7 years after system discontinued or superseded, then destroy

D

26.4.2 System logs – showing history of access or changes to data Retain minimum of 7 years after action completed, then destroy

D

26.4.3 System logs – not showing history of access or changes to data Retain minimum of 3 years after action completed, then destroy

D

26.4.4 Metadata – allocation and maintenance Retain minimum of 3 years after action completed,

D


Reference Number


Please note: This category refers to records about metadata, NOT the metadata itself. then destroy

26.4.5 Lists (e-mail, telephone etc.) – maintenance When reference ceases, destroy D

26.5 Database Management

Records relating to the building, prototyping, and testing of databases.

See INFORMATION MANAGEMENT – Data Administration for activities associated with the maintenance of data in a system (electronic or manual

26.5.1 Databases – development (including usage protocols), modification and design 7 years after database discontinued

D

26.5.2 Database management – routine reports (on matters such as testing, monitoring and backups of data)

Please note: This category refers to reporting on database management only, and does NOT include backup tapes.


D

26.6 Data Migration The process of transferring data between storage types, formats or computer systems.

See also INFORMATION MANAGEMENT - Data Administration for the planning and mapping of metadata from one system to another


Reference Number


26.6.1 The migration of records between electronic systems and from one electronic medium to another.

Retain a minimum of 7 years after system closed or superseded, or successful migration, then destroy

D

26.7 Disposal Records relating to disposal of technology or communications equipment.

26.7.1 Disposal – hardware, software or communications equipment 7 years after disposal of equipment

D

26.8 Evaluation The process of determining whether systems or applications meet the needs of the University.

See TECHNOLOGY AND TELECOMMUNICATIONS – Reviewing for the re-evaluating of systems or equipment held by the University.

26.8.1 Systems or applications investigated and purchased – feasibility studies, investigations, analysis

Retain for 7 years after system discontinued

D


Reference Number


26.8.2 Systems or applications investigated but not purchased – feasibility studies, investigations, analysis


D

26.9 Implementation Implementation of applications or systems in the University.

26.9.1 Implementation of applications or systems (including monitoring and post-implementation reviews)

Retain a minimum of 7 years after system closed or superseded

D

26.10 Installation Records relating to installing technology and telecommunications equipment

26.10.1 Installation – hardware and software Retain minimum of 5 years after action completed, then destroy

D

26.11 Leasing Out The activities involved in leasing-out items and equipment to another person or organisation for a specified period and agreed price. Includes formal documentation setting out conditions, rights, responsibilities of both parties.

See also Disposal Schedule for Financial and Accounting Records - ACQUISITION for


Reference Number


financial records relating to leasing

26.11.1 The activities associated with the administration and management of the leasing of IT equipment to external organisations.

Retain a minimum of 7 years after lease expires or is terminated, then destroy

D

26.12 Maintenance Repairs or maintenance carried out on the University’s information technology or communications equipment.

See also COMMON ACTIVITIES – Contracting-Out/Tendering for maintenance contracts or service agreements.

26.12.1 Repairs – major Retain minimum of 7 years after action completed, then destroy

D

26.12.2 Repairs and maintenance – minor or routine Retain minimum of 2 years after action completed, then destroy

D


Reference Number


26.13 Modelling The processes involved in designing, testing and evaluating sample model profiles of systems under analysis.

26.13.1 The development of business or technical models or prototypes used to support the technology and telecommunication function. This includes the development of IT products to meet the business, teaching and research needs of the University.


D

26.14 Network Management

The building, prototyping, testing and maintaining of databases, networks, servers and voice communications. Includes the development, management and administration of system specifications, configurations and network diagrams, schemas and plans.

26.14.1 The development, management and administration of system specifications, configurations and network diagrams, schemas and plans.


D

26.14.2 Requests for amendments and changes to system specifications configurations and network diagrams, schemas and plans.


D

26.15 Operations The day-to-day operation of systems.

See COMMON ACTIVITIES – Contracting for maintenance contracts.


Reference Number


26.15.1 Systems support mechanisms – management Retain minimum of 5 years after action completed, then destroy

D

26.15.2 Support services records (e.g. help desks, fault reports) Retain minimum of 2 years after action completed, then destroy

D

26.15.3 Operation manuals and documentation After system or application is discontinued or superseded

D

26.15.4 System usage records (e.g. Internet services logs) Retain minimum of 2 years after action completed, then destroy

D

26.16 Reviewing The process of re-evaluating of systems or equipment held by the University.

See TECHNOLOGY AND TELECOMMUNICATIONS – Evaluation for the process of determining whether systems or applications meet the needs of the University.


Reference Number


26.16.1 Reviewing – systems or equipment Retain minimum of 5 years after action completed, then destroy

D

26.17 Risk Management The identification of technology and telecommunication risks, the likelihood and consequences of those risks, and the implementation of appropriate practice and procedures to treat the risks.

26.17.1 The technology and telecommunications risk registers, if not included in the university Risk Management documents.

Retain a minimum of 7 years after next risk assessment, then destroy

D

26.18 Security The measures taken to protect systems or information from accidental or intentional damage or from unauthorised access.

See FACILITIES MANAGEMENT – Security for the security of University property (access to premises, etc.)

26.18.1 Security arrangements of systems 5 years after arrangements revoked or superseded

D


Reference Number


26.18.2 Arrangements for the sanitisation of technology equipment prior to disposal. Retain minimum of 1 year after action completed, then destroy

D

26.18.3 Security restrictions (for different levels of access and use of system, e.g. user IDs, passwords, codes)

5 years after revoked or superseded

D

26.18.4 Security breaches – reports and investigations 7 years after last action D

26.18.5 Applications for user accounts (electronic mail, etc.) 2 years after suspended or revoked

D

PART II - Disposal Schedule for Financial and Accounting Records The University of the South Pacific Retention and Disposal Schedule 255 Records Management

Notes


Notes


PART II

DISPOSAL SCHEDULE FOR

FINANCIAL AND ACCOUNTING RECORDS


The USP Disposal Schedule for Financial and Accounting Records The USP Disposal Schedule for Financial and Accounting Records (DSFAR) is an authority for the retention and disposal of finance related files of The University of the South Pacific. It is principally based on a Western Australian schedule which was developed in consultation with a number of key State Government agencies and their assistance is gratefully acknowledged. The schedule has been supplied by our records management partner Edith Cowan University who has contributed to its further development as a schedule for the USP context.

The University creates, receives and maintains a variety of financial and accounting records to fulfil statutory, business and accountability requirements. The Schedule specifies retention and disposal periods to ensure that the accounting records are retained to provide an adequate audit/management trail of financial transactions to facilitate auditing by both internal audit and external auditors and to act as prima facie evidence in a court of law in the event of a legal dispute arising.

The Schedule contains valuable information and guidance to the University in respect of the human resource records it creates, and as such it is an important business tool that assists staff to remain compliant with legal obligations.

Scope and Arrangement of the Schedule This Schedule applies to financial and accounting records in all formats (including those records created using financial management or accounting software packages) that are created or received by The University of the South Pacific, regardless of jurisdiction.

The Schedule is divided into categories, or classes, of records relating to specific financial and accounting transactions and activities. Keywords have been specifically avoided to ensure that the DSFAR focuses on the business activity and therefore has the broadest possible applicability across University financial and accounting activity.


Please note: The scope of these schedules may overlap in certain areas where records might be of an administrative or human resources management nature as well as a financial or accounting nature. Staff are encouraged to contact the Records Management office for assistance and/or guidance.

Use of the USP Disposal Schedule for Financial and Accounting Records When managing records under the provisions of this Schedule the effective disposal of records no longer required and the control of access to those records retained can only be achieved if proper records management policies and procedures are put into place. Such policies and procedures will lead to greater productivity for the University with savings in terms of both time and resources.

Accordingly, Records Managers and Finance Managers are encouraged to consult with each other regularly in order to ensure that this is achieved. It is also recommended that all


finance and accounting files be included in the University’s electronic records management system. This will result in the efficient retrieval of information, reliable tracking of file movements, and enhanced security, as well as providing a variety of reporting mechanisms.

Consideration should be given to the handling of the records whether in paper, microform or electronic format. Often these files contain sensitive information and issues such as storage, security, access and adequate mechanisms to establish an audit trail, should be reviewed regularly.

Please note: In all cases, the disposal actions refer to the main file, not to the duplicate or subsidiary files maintained for current convenience, e.g. in a school or department. Duplicate and/or subsidiary files should be destroyed when the staff member separates from service.

Other Disposal Schedules In addition to PART II - Disposal Schedule for Financial and Accounting Records the following disposal schedules are used as a basis for the retention and disposal of administrative records, human resource management records and cover the functional records created and kept by The University of the South Pacific, including each of the regional campuses. This includes all records covered by the USP Records Management Policy irrespective of the systems to which they belong:

• PART I - USP Functional Disposal Schedule (FDS) • PART III - USP Disposal Schedule for Human Resource Management (DSHRM)


Investigations and inquiries and audits If an Investigation or inquiry or audit is in progress (or likely or imminent), all records relevant to the investigation or inquiry or audit must be identified and preserved until the action and subsequent actions are completed.

Financial and Accounting records not covered by this schedule Where there is University records (individual series or types) related to financial and accounting matters that are not covered by this Schedule, the business unit holding such records must contact the Records Management office to make a separate submission for the legal disposal of those records.

Policies and procedures Records of financial and accounting policies and procedures developed by the University are to be retained permanently as archives. It is essential that all records relating to policy statements, including the background to their development, are separate and identifiable from other administrative and functional records. This will ensure such records are discrete and available for archival retention, not interwoven with operational issues, which might be of short-term value. Records of external policies may be destroyed after the prescribed retention period.


Long term storage Secondary storage, that is a USP temporary records storage facility or commercial repository, may be used for temporary records requiring long-term storage prior to destruction. Microfilming or transfer to optical media may also be considered. It is the University’s responsibility to ensure that the information on these records is accessible for as long as it is required. Staff are encouraged to contact the Records Management office for assistance and/or guidance.


For further information about The University of the South Pacific Disposal Schedule for Financial and Accounting Records, please contact the Records Management office on telephone: (+679) 32 31687 or [email protected]



Reference Number

Description of Records Custody Disposal Action

A=Archive

D=Destroy

PART A EPHEMERAL RECORDS

1 EPHEMERAL RECORDS

Refer to Part A in the Functional Disposal Schedule (FDS).


Reference Number


A=Archive

D=Destroy

PART B FINANCIAL AND ACCOUNTING RECORDS

2 ACQUISITION

The processes associated with acquiring equipment, stores, fleet vehicles, property or other goods or services through means such as purchase, hire, leasing, and requisition.

Use DISPOSAL for the disposal of organization assets.

See also FLEET MANAGEMENT for other records specifically relating to the management of fleet vehicles.

Use REGISTERS for asset registers.

Use TENDERING for records relating to tenders.

Refer to the Functional Disposal Schedule (FDS) for administrative records relating to acquisition.

2.1 Acquisitions – significant

Financial records that relate to the acquisition, such as requisitions, purchase order forms, quotes and orders.

Significant acquisitions include those that:

• were precedent setting; • involved substantial public debate or controversy; • generated wide community interest; • caused major changes to organization policy; • involved places, structures, items or property

considered to have cultural or heritage significance; • involved specialized buildings; • involved buildings or property where contaminated

substances were present; or • involved controversial purchases of buildings or

land.


A

2.2 Acquisitions and services obtained – other than those in section 2.1 Financial records that relate to the acquisition, such as requisitions, purchase order forms, quotes and orders.

Other acquisitions and services may include:

• buildings (general office accommodation and staff

7 years after successful audit

D


Reference Number


A=Archive

D=Destroy

housing); • vehicles; • equipment and stores; • library and reference materials; and • technology and telecommunications systems,

software and hardware, including software development, licences and upgrades.

2.3 Acquisitions by lease - management and/or renewal of ongoing leases

7 years after expiry of lease

D

2.4 Acquisitions schedules 5 years after last action

D

2.5 Receipt and delivery of goods records (e.g. delivery instructions, packing slips)


D

2.6 Arrangements (use of assets, including parking) – including registers


D

2.7 Stores and materials - allocation and usage (e.g. bookings logs)


D

2.8 Quotes for goods or services – where no purchase is made 1 year after last action

D

3 ADVANCES

Money given or lent for a project or activity before its commencement or completion.

3.1 Treasurer’s Advance Account - cash advances and sub-advances including:

• applications; • authorisations; • certificates of disposition of funds; • refunds; • Requisition for Advance; and • approval to open bank accounts to hold advances.


D

3.2 Petty cash advances and stamp account records, including:

• petty cash books / sheets and receipts; • correspondence regarding handovers / takeovers;

7 years after successful D


Reference Number


A=Archive

D=Destroy

• balances and statements; • records of internal checking by internal checking

officers or audit

audit

3.3 Supplementary funding – requisitions for supplementary funding, e.g. Requisition for Excess on Vote and Requisition for New Vote Code.


D

4 AGREEMENTS / CONTRACTING-OUT / JOINT VENTURES

The establishment and management of ALL binding arrangements including:

• agreements (including service agreements); • contracts under seal, deed or special contracts; • joint ventures; and • Memoranda of Understanding (MOUs)

established for any purpose, including: • the provision of services by external contractors /

consultants; • the use of internal or external bureau services; and • the performance of Government projects, programs

and services by outsourced agents. Use TENDERING for records relating to tenders and the tendering process.

Refer to the Disposal Schedule for Human Resource Management Records (DSHRM) for employment contracts.

4.1 Agreements / Contracts / Joint Ventures – Significant

All records relating to the establishment, ongoing management, and finalisation of significant contracts, agreements and joint ventures. Includes entries and records in a Contracts Register.

Significant is defined as a contract, agreement or joint venture that:

• is to do with large-scale infrastructure projects; or • has implications for major liabilities or obligations of

the organization; or • sets a contractual precedent for the University ; or • was established under controversial circumstances


A


Reference Number


A=Archive

D=Destroy

or is concerned with controversial matters; or • otherwise (significantly) impacts on or changes the

organization’s functions

4.2 Agreements / Contracts / Joint Ventures - Under Seal or Deed

All records relating to the establishment, management, and finalisation of contracts, agreements and joint ventures, under seal. Includes entries and records in a Contracts Register

21 years after expiry of contract, and at end of defects liability period, if applicable

D

4.3 Agreements / Contracts / Joint Ventures – Other

Records relating to the establishment, management, and finalization of all other contracts, agreements and joint ventures. Includes entries and records in a Contracts Register

7 years after expiry of contract D

4.4 Contracts Register – where created separately to the contract

Retain in accordance with 4.1, 4.2 or 4.3 as applicable

5 ALLOCATION

The process of assigning money to the organization or within the organization’s units.

5.1 Allocation of funds (including Treasury) to the organization in response to budget requests

7 years after the financial year in which allocation is made

D

5.2 Allocation of funds within the organization – including proposals for funding for specific projects


D


Reference Number


A=Archive

D=Destroy

6 ASSET MANAGEMENT

The process associated with monitoring and assessing the organization’s assets.


6.1 Control and management of assets – reports, including valuation / revaluation and depreciation schedules


D

6.2 Inventories - lists of the organization’s possessions and assets


D

6.3 Stock take - including reconciliations with assets register or similar records


D

6.4 Transfer of assets within the organization or to another government organization, including Asset Movement Forms

(Use DISPOSAL for the transfer of assets outside the university)

7 years after successful audit D

7 AUDIT

The examining of accounts and associated records to ensure legislative and regulatory compliance. Audits may be either internal (instigated by the organization) or external (performed by the Auditor).

Refer to the Functional Disposal schedule (FDS) for audits not related to financial matters.

7.1 Audit investigations - Auditor’s enquiries - resulting in changes to existing organization policy or procedure; or otherwise setting a precedent for the organization (includes reports)


A

7.2 Audit investigations -Auditor’s enquiries – other than those in section 7.1 (includes reports)


D


Reference Number


A=Archive

D=Destroy

7.3 Audit reports - internal 7 years after successful audit

D

7.4 Working papers - internal audits

Section Note: USP Finance Regulation 6.1.01 s.8.2


D

7.5 Planning and conduct of audits 3 years after successful audit

D

7.6 Appointment of auditor/s for internal or external audits 7 years after expiry of auditor’s contract or cessation of appointment

D

7.7 Exemption from internal audit function - approved 7 years after expiry of exemption

D

7.8 Exemption from internal audit function – not approved 2 years after last action

D

8 AUTHORISATION

An accountable officer or authority may authorise other officers to carry out duties which are specified in the Finance Authorisation Policy.

Use ADVANCES for authorisations for advances from the advance account.

8.1 Appointment and delegation records, including:

• collection agencies; • certifying officers; • incurring officers; and • cheque and Electronic Funds Transfer signatories

7 years after delegation superseded or revoked

D

8.2 Authorised signatories - bank accounts 7 years after D


Reference Number


A=Archive

D=Destroy

authorisation superseded or revoked

8.3 Authorised signatories - corporate credit card holders (signatories)

7 years after appointee ceases to be a card holder

D

8.4 Handing over Statements (used by relieving and relieved staff in relation to monetary transactions and forms)


D

8.5 Authorisations to conduct financial transactions on behalf of clients, such as:

• direct debit authorisations; and

• credit card authorisations

6 months after last action

D

9 BANKING AND BANK ACCOUNTS

Records relating to banking transactions and the keeping of bank accounts.

9.1 Bank accounts – establishment 7 years after account closed

D

9.2 Bank deposit records, including:

• deposit books, slips or butts; • receipts, e.g. Bank Receipt; • lists of cheques lodged for collection; and • amounts banked and amounts recorded on bank

abstracts


9.3 Bank Statement and reconciliation records, including:

• Statements or certificates of balance; • interest statements; • dividend statements; and • reconciliation statements


10 BOOKS OF ACCOUNT

Records that systematically document the financial transactions of the organization (e.g. cash books, ledgers,


Reference Number


A=Archive

D=Destroy

journals).

10.1 Cash books, or consecutive records of cash receipts and payments from each account / fund


D

10.2 General or subsidiary journals 7 years after successful audit

D

10.3 General or subsidiary ledgers and ledger accounts in any format, produced for the purposes of preparing certified financial statements


D

10.4 Creditors ledgers and debtors ledgers 7 years after successful audit

D

10.5 Supporting records, e.g. chart of accounts When superseded

D

11 BUDGETTING

The activities associated with managing an organization’s income and expenditure, usually within a specified period, such as the financial year.

Use REPORTING for budget monitoring reports as required by external agencies

11.1 Annual estimates by the organization for Consolidated Funds, to be sent to VC for approval


D

11.2 Annual estimates and budgeting documents for organizations who do not have access to the Consolidated Fund,


D

11.3 Calculations and costings - regular (e.g. annual or quarterly), forward, draft, revised and additional estimates, and working papers for ongoing budget estimate policy and


D


Reference Number


A=Archive

D=Destroy

programs. Includes adjustments due to indexation

12 CAPITAL WORKS AND CONSTRUCTION

The management of capital works and construction relating to organizational property.

Use ACQUISITION for the acquisition of organizational property.

Use DISPOSAL for the disposal of organizational property.

Use INSURANCE for insurance policies and claims for property or construction.

12.1 Construction – Major Works

Major capital works, construction programs, building projects and renovations (including major fit-outs). Includes maps, plans and survey reports.

Major capital works are those which:

• were precedent setting; • involved substantial public debate or controversy; • generated wide community interest; • caused major changes to organization policy; • involved places or structures considered to have

heritage significance; • involved specialized buildings; or • involved buildings or property where contaminated

substances were present.


A

12.2 Construction – Minor Works

Capital works, construction programs, building projects and renovations (including minor fit-outs) other than those in section 12.1


12.3 Title deeds, certificates of title - originals Transfer at settlement. (before transferring: copy and action duplicate as


Reference Number


A=Archive

D=Destroy

per 12.4)

12.4 Title deeds, certificates of title - duplicates 5 years after last action

A

13 CHEQUE MANAGEMENT

The processes associated with preparing and managing of cheques and money orders by the organization.

Use REGISTERS for registers of cheques prepared by the organization.

13.1 Cheques - preparation, including cheque books / butts / counterfoils


D

13.2 Successful recovery or write off actions for cheques, including:

• actions taken regarding stale, lost and cancelled cheques;

• return of irregular cheques; and • post-dated cheques records


13.3 Cancelled, dishonoured, stale, or stopped cheques or payments – notices and associated correspondence


D

14 COMPLIANCE

The organization’s compliance with legislative and regulatory requirements.

14.1 Breaches – serious breaches, serious failures or substantial investigations


A

14.2 Breaches – minor 7 years after last action

D

14.3 Compliance with accountability requirements, such as the Treasurer’s Instructions and Accounting Standards. Includes statements of compliance required within the organization’s annual report under the


D


Reference Number


A=Archive

D=Destroy

15 CORPORATE CREDIT CARDS

The management and use of corporate credit cards by the organization.

Use AUTHORISATIONS for the appointment of credit card holders / signatories.

15.1 Credit card accounts - establishment or cancellation 7 years after account is closed

D

15.2 Corporate credit cards – usage records, including:

• credit card receipts or individual transaction details; • monthly statements; and • payment details


D

15.3 Exemption from obtaining Corporate Card Services from the university’s contracted suppliers – approved applications

7 years after expiry of exemption

D

15.4 Exemption from obtaining Corporate Card Services from the university’s contracted suppliers – unapproved applications


15.5 Corporate credit cards – guidelines – externally produced guidelines for use


D

16 CREDITORS

Parties to which the University owes money.

Use BOOKS OF ACCOUNT for creditors ledgers.

Use REGISTERS for registers of creditors.

16.1 Invoices received by the University and records relating to their payment, including:

• checking of invoices; • correspondence relating to transactions; • issuing of cheques; and • payments of claims



Reference Number


A=Archive

D=Destroy

16.2 Reconciliations, including:

• monthly statements / payments due listings; and • sundry creditors listings


D

17 DEBTORS

Parties that owe money to the organization.

Use BOOKS OF ACCOUNT for debtors ledgers.

Use REGISTERS for registers of debtors.

17.1 Debtors – management records (used by Finance sections) including:

• debtor invoices (organization’s copies); • source documentation used for raising invoices /

debit notes; • correspondence relating to transactions; • reconciliations; • sundry debtor accounts; and • Debtor Maintenance Forms or similar records used

to create new debtors’ details


D

17.2 Debtors reference records including:

• duplicate copies of debtor invoices retained for reference purposes;

• duplicates of source documentation and correspondence; and

• duplicate reports and listings


18 DEFICIENCIES AND LOSSES

Deficiencies and losses of public moneys, other moneys and assets of the organization.

Use CHEQUE MANAGEMENT for recovery or write-off actions for cheques.

Use REGISTERS for registers of amounts or items written off.

18.1 Cases or claims - significant

Cases or claims in respect of public property, equipment, revenue or other debts including:

• actual, attempted or suspected fraud, theft,


A


Reference Number


A=Archive

D=Destroy

misappropriation or negligence; • write-offs; • irrecoverable revenue, debts and overpayments;

and • claims and cases referred to the Council. Significant

cases or claims include those that: o were unusual or precedent setting; o involved substantial public debate; or o caused changes to organization policy or

procedure Includes audit trails to original transactions, individual amounts written off, and details of recovery actions taken.

18.2 Cases or claims - other

Cases or claims in respect of public property, equipment, revenue or other debts - other than those in 18.1, including:

• actual, attempted or suspected fraud, theft, misappropriation or negligence;

• write-offs; • irrecoverable revenue, debts and overpayments; and • small claims and cases referred to the Council.

Includes audit trails to original transactions, individual amounts written off, and details of recovery actions taken.

7 years after successful audit, or 7 years after last action, whichever is later

D

18.3 Reports - losses or deficiencies of accountable forms 7 years after successful audit, or 7 years after last action, whichever is later

D

18.4 Lost, deficient or obsolete stores 3 years after successful audit

D

19 DISPOSAL

The disposal of organization property (land or buildings), equipment, stores and vehicles, through such means as sale, auction, trade-in or transfer outside the University.


Reference Number


A=Archive

D=Destroy

Use ASSET MANAGEMENT for the transfer of assets within the organization.


19.1 Disposal – property (land or buildings) – significant

Significant disposals of property include those that:

• were precedent setting; • involved substantial public debate or controversy; • generated wide community interest; • caused major changes to organization policy; • involved places, structures or property considered to

have cultural or heritage significance; • involved specialized buildings; • involved buildings or property where contaminated

substances were present; or • involved controversial purchases of buildings or

land.

5 years after property disposed of

A

19.2 Disposal – property (land or buildings) – other than those in section 19.1

7 years after property disposed of, or expiry of relevant lease

D

19.3 Disposal - vehicles, equipment and stores 7 years after item disposed of, or expiry of relevant lease

D

20 DISTRIBUTION

The financial activities involved with disseminating items.

20.1 Distribution – organization publications, including subscriptions


D

21 DONATIONS

Monetary donations received, maintained or given by the organization via donations and bequests.


Reference Number


A=Archive

D=Destroy

Refer to the Functional Disposal Schedule (FDS) for the donation of non-monetary items.

21.1 Monetary donations – significant (received by the university) Donations, bequests, trusts and other moneys received by the organization -records relating to successful applications for, receipt of, and management of moneys. Significant donations include those that:

• are precedent setting or unique; or • involve substantial public debate or public interest


A

21.2 Monetary donations – other (received by the university)

Donations, bequests, trusts and other moneys received by the organization – other than those in section 21.1

Includes all records relating to successful applications for, receipt of, and management of moneys.


21.3 Monetary donations – significant (made by the university) Donations and other moneys made by the university.

Significant donations made by the organization, i.e. those that:

• were precedent setting or unique; or • involved substantial public debate or public interest


A

21.4 Monetary donations – other (made by the organization) -other than those in section 21.3


D

21.5 Unsuccessful applications for moneys – requested from or made by the university


D

22 EXPENDITURE AND PAYMENTS

The process of spending cash funds of the organization.

Use CREDITORS for the payment of invoices.

Use REGISTERS for ex gratia, or Act of Grace payment registers.


Reference Number


A=Archive

D=Destroy

22.1 Payments and supporting documentation - records including:

• Payment vouchers, including Cash Payment Voucher (or other invoices and other claims for payment);

• duplicates of claims; • payment by cheque or Electronic Funds Transfer; • returned payments; • credit notes; and • cash payment vouchers


D

22.2 Debit batch register 7 years after successful audit

D

23 FEES AND CHARGES

Fees or charges incurred for the organization’s goods or services.

23.1 Fees and charges – development, management and related correspondence


D

24 FORMS

Finance and accounting documents or forms issued by the departments of Treasury and/or Finance, or developed by the University, used to record financial transactions.

24.1 Missing monetary forms - investigations and approvals for non-production


D

24.2 Monetary forms -cancelled, spoilt, obsolete or surplus and records relating to their management


D

24.3 Monetary forms - Estimated Quarterly Expenditure, or equivalent


D

24.4 Monetary forms - Governor’s Warrant, or equivalent 7 years after successful

D


Reference Number


A=Archive

D=Destroy

audit

24.5 Forms and templates - development 2 years after last action

D

24.6 Forms and templates - blank monetary forms not used When superseded or when reference ceases

D

25 FUNDRAISING

Fundraising activities undertaken by the organization.

25.1 Fundraising – records of funds raised 7 years after successful audit

D

25.2 Fundraising – organization and management of fundraising activities


D

26 GRANT FUNDING

Grants or subsidies received or provided by the university.

26.1 Grants or subsidies – significant (received by the university) Successful applications for, receipt of, and management of moneys.

Significant grants or subsidies include those that:



A

26.2 Grants or subsidies – other (received by the university) Successful applications for, receipt of, and management of moneys -other than those in 26.1


D

26.3 Grants or subsidies – significant (provided by the university) Significant grants or subsidies, including applications and allocation of moneys.

Significant grants or subsidies include those that:

• were precedent setting or unique; or


A


Reference Number


A=Archive

D=Destroy

• involved substantial public debate or public interest

26.4 Grants or subsidies – other (provided by the university)

Grants or subsidies provided by the organization, including applications and allocation of moneys - other than those in 26.3


26.5 Unsuccessful applications for grants or subsidies received or made by the university.


D

27 INSURANCE

Policies taken out by the organization to cover loss or damage to property or assets, or loss, damage or injury to members of the public.

Refer to the Disposal Schedule for Human Resource Management Records (DSHRM) for insurance claims relating to employees.

27.1 Claims - significant, including claims which:

• set a precedent; • relate to controversial matters; • have wide community interest; • result in a major change to policies and procedures; • otherwise (significantly) impact on or change the

organization’s functions or structure; or • relate to contaminated sites


A

27.2 Claims - professional indemnity liabilities insurance 5 years after last action

A

27.3 Claims – public liability 7 years after the claimant reaches age of majority or

7 years after last action, whichever is

D


Reference Number


A=Archive

D=Destroy

the greater

27.4 Claims – motor vehicles, property risk, fire, construction or other assets

7 years after claim is finalized

D

27.5 Claims – not proceeded with (allegations) 7 years after last action

D

27.6 Policies, liabilities and renewals - buildings, property or significant assets

7 years after disposal of building, property or asset

D

27.7 Policies, liabilities and renewals – other than those in section 27.6

7 years after expiry of insurance policy

D

28 PLANNING

The activities involved with the development of financial plans.

Use REPORTING for strategic plans and other information provided as part of Treasury Reports (University Commercial Operations).

Please note: Records relating to planning for a particular functional activity should be scheduled according to the respective functional activity.

28.1 Financial plans – University-wide 7 years after successful audit

D

28.2 Financial plans - business units or cost centres within the University

2 years after plan superseded

D

28.3 Financial plans – working papers 1 year after plan is

D


Reference Number


A=Archive

D=Destroy

adopted

28.4 Reference materials used in developing plans When reference ceases

D

29 POLICY

The development and implementation of policies that affect the University. Also includes organizational contributions to University policies.

29.1 Policies developed by the university (internal) – drafts, working papers, final copies and implementation

Please note: This category refers to policies developed for internal use in the university.


A

29.2 University policies – significant input from university 5 years after last action

A

29.3 University policies – minor or no input from university 3 years after last action

D

29.4 Internal circulars – master copies 5 years after last action

A

30 PROCEDURES

Internal or external methods or instructions detailing how to conduct the university’s financial and accounting activities.

Includes applications to exempt the university from certain Treasurer’s Instructions.

30.1 Exemptions from Treasurer’s Instructions – approved applications


A

30.2 Exemptions from Treasurer’s Instructions – unapproved applications


D

30.3 Accounting manuals – master copies 7 years after superseded

D


Reference Number


A=Archive

D=Destroy

30.4 Other finance and accounting procedures or instructions developed by the university


D

30.5 Treasurer’s instructions/directives/circulars, including:

• working copies of instructions/ directives; • supplements to instructions/directives; • circulars; and • other accounting instructions, procedures, directions

or requirements originated and issued by Treasury for organizational use

When superseded or cancelled

D

30.6 Duplicate or reference copies of organization’s accounting manual or other procedures, instructions or guidelines


D

31 RECEIPTS AND REVENUE

The activities involved with the receipt of money by the university.

See also CORPORATE CREDIT CARDS for credit card receipts.

Use DEBTORS for the management of debtors.

31.1 Receipts and revenue - office copies of:

• official receipts; • licences; • permits; • other money forms; • cash register and computerised imprints/summaries

(also known as Daily Income Summaries or Daily Income payments);

• cash receipts summaries.

7 years after last form issued, action completed, last reading or successful audit, whichever is later

D

31.2 Receipts records, including:

• revenue cash books; • direct credits; • input forms; and • statements of estimated revenue collections, e.g.

Estimated Revenue Collection, or equivalent.


32 REGISTERS


Reference Number


A=Archive

D=Destroy

Registers where financial or accounting information is entered.

32.1 Asset registers controlled by the organization, including those registers required for the identification, management and maintenance of assets

7 years after item disposed of, or if register is bound, 7 years after all entries are disposed of

D

32.2 Postal remittance registers and books (e.g. receipts, postage stamp registers, mail lodgement books)

7 years after successful audit, or 7 years after last action, whichever is later

D

32.3 Tender registers – where created separately to tender Retain in accordance with 39.1, 39.2, 39.3, 39.4 or 39.5 as appropriate

32.4 Gifts registers (including photographs) given or received by the organization to the extent specified in its accounting manual

Retain for the life of the organization and any successors. If no successor is identified contact the University’s Records Management office


Reference Number


A=Archive

D=Destroy

32.5 Registers - required to be retained under the Treasurer’s Instructions (or equivalent), or for other finance or accounting purposes, including:

• accounting / monetary forms; • acquittance; • ex gratia, or Act of Grace payments; • appointments of cheque; • cash order signatories; • Cab charge voucher registers; • Certifying Officers; • cheques or cash orders; • cheques or cash orders - dishonoured or unclaimed; • debtors registers; • exemption register; • guarantees and indemnities; • incurring officers; • investments; • loan indebtedness; • Local Purchase Order/Purchase Order Forms; • property management risk registers; • requisitions; • security documents; • shortages and surpluses of moneys; • unclaimed cash salaries and wages; and • write-offs


D

32.6 Distribution register of accounting manuals When superseded

D

33 REPORTING

The collation and provision of financial information on a regular basis. Includes all University and Management Accounting Reports.

Use EXPENDITURE for batches of accounts.

33.1 Management reports - produced regularly by accounting or financial systems and used for:

• creating output for updating ledgers; • reports for TIN compliance; • preparation of financial statements;



Reference Number


A=Archive

D=Destroy

• preparation of accounts receivable; and • calculation of accounts payable, including cheque

details and management reports

33.2 Transaction and input forms and documents concerned with updating financial information, including:

• Remittances to Treasury; • Repayment of Expenditure; • remittances to bank; • journal/batch headers (debit and credit); • equivalent of payment vouchers; and • supporting documents.


D

33.3 General processing records, including:

• Temporary Authority reconciliation; • banking summaries; and • debit and credit batch registers


D

33.4 Annual Financial Statements

Please note: Four (4) copies to be submitted to Records Management office


D

33.5 Monthly or quarterly financial statements – internal (including balance sheets)


D

33.6 System reports - checking and control daily, weekly and other batch, error control or transaction reports used for checking and control purposes, including:

• advice of journal credits; • audit logs; • batch completion summaries; • consolidated outstanding suspended postings

reports; • lists of postings; and • stale cheques reports


D

33.7 TREASURY REPORTING

University Annual Reporting and University Finance Statistics


Reference Number


A=Archive

D=Destroy

Reports and statistics required by Senate/Council/FIC

33.7.1 University Reporting – Estimates and projected outcomes

Annual projected outcomes to 30 June, forward estimates and 3 forward budget years of statements of Financial Position, Operating statements and statements of Cash Flow items


33.7.2 University Reporting - Provisional annual actual reports of selected statements of Financial Position items


D

33.7.3 University Reporting - Final annual actual reports of:

• Operating statements; • Statements of Financial Performance; • Statements of Financial Position; • Statements of Cash Flows; • Financial statement notes; and • Fixed Asset Schedule items


D

33.7.4 University Reporting - Monthly and quarterly actual reports of:

• Operating statements; • Statements of Financial Performance; • Statements of Financial Position; • Statements of Cash Flows; • Financial statement notes; and • Fixed Asset Schedule items


D

33.7.5 University Reporting - Mid-year review financial estimates 7 years after last action

D

33.7.6 University Reporting - Pre-election Financial Projection Statements


D

33.8 TREASURY REPORTING - University’s Bank Account and Treasurer’s Accounts Reports and statistics required by the Finance and Investments Committee (FIC) regarding the University’s Bank Account and Treasurer’s Accounts.

33.8.1 University Bank Account and Treasurer’s Accounts - 7 years after D


Reference Number


A=Archive

D=Destroy

Payments and/or receipts exceeding $100,000 - reports successful audit

33.8.2 University Bank Account - Drawings and deposits processed, or expected to be processed – daily reports


D

33.8.3 Treasurer’s Accounts - Monthly reports of transactions, including total monthly debits, total monthly credits, end of month closing balance and statements of Cash Position


D

33.9 TREASURY REPORTING - Resource Allocation and Management The allocation of funds to organizations from Treasury.

33.9.1 Resource Allocation - Capital Investment Plan and Concept Approval Reports, including Concept Approval Forms, business cases and submissions for concept approval


33.9.2 Resource Allocation – University Grants Commission – annual updates, comprehensive and one-off reviews reports


D

33.9.3 Resource Allocation - Service Structures - reports on charges

7 years after submitted to Minister

D

33.9.4 Resource Allocation - Social Concessions – concession reports

7 years after information submitted to Treasury

D

33.9.5 Resource Allocation - Annual report of Budget statement information detailing performance information, performance measures and financial resource information


D

33.9.6 Resource Allocation -Budget monitoring reports and review of organization’s cash flow profiles and estimated revenue collections


D

33.9.7 Resource Allocation -Draft and final Bilateral submissions, including reviews of fees and charges

7 years after successful

D


Reference Number


A=Archive

D=Destroy

audit

33.9.8 Resource Allocation - Parameter changes, including:

• consequences of the business environment for own-source revenue;

• error corrections; • changes to accounting policies and practices; and • Cabinet decisions made subsequent to finalisation of

mid-year review estimates


D

33.10 TREASURY REPORTING - University Commercial Operations

Reports required by the Finance and Investments Committee , or Council, etc.

33.10.1 University Commercial Operations - Strategic Development Plan


A

33.10.2 University Commercial Operations - Statement of Corporate Intent


A

33.10.3 University Commercial Operations - Periodic Performance Reports


D

33.11 TREASURY REPORTING - Loan and Contingent Liabilities

Reports required by the Finance and Investments Committee, or Council or SMT regarding:

• borrowing by organizations which are guaranteed by a Treasurer; and

• liabilities of organizations which form a contingent liability of a Treasurer


D

33.12 TREASURY REPORTING - Value

Reports required by departments of Treasury and/or Finance regarding exemptions, as permitted by legislation.


D

34 REVIEWING

The re-evaluation or re-examination of products, processes and systems.

34.1 Reviews – financial programs and operations - final reports 7 years after D


Reference Number


A=Archive

D=Destroy

and recommendations successful audit

34.2 Reviews - financial programs and operations action plans and working papers


D

35 RISK AUDIT

Accounting documentation relating to risk audit processes. Treasurer’s Instruction stipulates that organizations are to ensure that “suitable risk management policies and practices are developed” and “documented in the [organization’s] accounting manual or other relevant policy manuals”.

Refer to POLICIES and/or PROCEDURES for disposal instructions for records relating to such documents.

Use INSURANCE for insurance policies and claims.

Use REGISTERS for property risk registers.

Refer to the Functional Disposal schedule (FDS) for risk management plans.

35.1 Risk audits - accounts 7 years after last action

D

36 SALARIES AND WAGES

The activities associated with paying salaries and wages to organization personnel.

Includes payroll disbursement records and the payment of allowances to employees.

Refer to the Disposal Schedule for Human Resource Management Records (DSHRM) for non-financial records relating to employees.

36.1 Pay sheets, payroll listings and related reports, including:

• commencements and terminations for pay week; • cost history accounting reconciliation summaries; • employees paid by all modes, including

loading/penalty rates;



Reference Number


A=Archive

D=Destroy

• employee master file data; • listing of journal transfer entries; and • year to date (i.e. June 30) payroll expenditure

36.2 Paid cheques and cash orders 7 years after successful audit

D

36.2 Salaries deductions records, including:

• Superannuation (FNPF, etc.); • taxation; • life assurance; • trade union fees; • credit union fees; and • health insurance (includes voluntary deductions).

See also the Disposal Schedule for Human Resource Management Records (DSHRM).


D

36.3 Salary control records, including:

• ledger cards; • summary sheets; • ledger machine salary proof sheets; and • salary control cards


36.5 Prepay / rebank records 7 years after successful audit

D

36.6 Earnings record cards and masterfile data of year to date payroll


D

36.7 Allowances – forms and payment to employees (e.g. travel allowances, vehicle allowances)


D

36.8 Payroll transactions records, including:

• accepted transactions; • alphabetical listings of current employees; • audit list reports; • cost history accounting reconciliation summaries;



Reference Number


A=Archive

D=Destroy

• deduction reconciliations; • departmental earnings and allowances summaries; • earnings and allowances; • earnings and allowances summaries; • employees affected by awards changes; • employees affected by award variations; • employee hours summaries; • employees not receiving normal pay; • increment due warnings; • lists of employees on leave (normal pay); • paid in advance; • pay details warnings; • payroll accounting reconciliation of rebanks; • post payroll exceptions; • ranges of employees; • re-validations; • transaction codes forms; and • variations to earnings and allowances

36.9 Salary variations 2 years after successful audit

D

36.10 Pay distribution sheets 2 years after successful audit

D

36.11 Income tax declarations for staff, including staff Tax Identification Numbers (TINs), or equivalent

2 years after staff member ceases work with organization

D

36.12 Salaries and wages records generated by either manual or computerised systems for human resource management purposes


D

36.13 Attendance books and time sheets 7 years after last action

D

36.14 Group certificates – organization’s copies 7 years after last action

D


Reference Number


A=Archive

D=Destroy

36.15 Salary packaging – administration files relating to internal policies, procedures and conditions


A

36.16 Salary packaging – individual arrangements (where contained within a separate file and not on an employee’s personal file)


36.17 Salary packaging – expressions of interest (unsuccessful) 1 year after last action

D

37 SPONSORSHIP

Arrangements for sponsorship of the organization or its projects, and sponsorships undertaken by the organization.

37.1 Sponsorship projects and related proposals – significant Financial transactions and administrative arrangements for significant sponsorship projects and related proposals.

Significant sponsorship projects or proposals are those that:



A

37.2 Sponsorship projects and related proposals – other Financial transactions and administrative arrangements for sponsorship projects and related proposals

7 years after last action, or 7 years after successful audit, whichever is later

D

38 TAXATION

The activities associated with assessing and paying taxes. Includes records relating to a Value Added Tax (VAT), a Goods and Services Tax (GST), or Service Turnover Tax (STT), or similar.

Use REPORTING for reporting on VAT, GST exemptions or Tax Exemptions as required by FIC.

Use SALARIES AND WAGES for taxation paid from salaries as a deduction.


Reference Number


A=Archive

D=Destroy

38.1 Value Added Tax (VAT) – assessment and payment records, including associated activity statements required by government(s), or similar and tax invoices


D

38.2 Tax Identification No. applications, registration and administration


D

38.3 Fringe Benefits Tax – records relating to calculations and payments


D

38.4 Tax calculations and payments for other taxes 7 years after successful audit

D

38.5 Vehicle log books See section 36.7 for vehicle allowances. 7 years after successful audit

D

39 TENDERING

The receipt and assessment of tenders for the procurement of goods, services, products and works.

Use REGISTERS for tender registers.

See also ACQUISITIONS for acquisitions documentation.

39.1 Successful tenders – significant

Successful tender applications that are significant, i.e. those that:

• affect the University’s function; • affect the transfer of organization responsibilities; • are associated with the privatization functions; • involve Public Private Partnerships; • involve inter-governmental relations; • are to do with large-scale government infrastructure

projects; • require Council approval; • have implications for major liabilities or obligations

of the organization;

5 years after expiry of relevant contract

A


Reference Number


A=Archive

D=Destroy

• set a contractual precedent for the organization; • were established under controversial circumstances

or are concerned with controversial matters; or • otherwise (significantly) impact on or change the

organization’s functions. See also AGREEMENTS / CONTRACTING-OUT / JOINT VENTURES for sentencing of contracts arising from tenders.

39.2 Successful tenders – where contract is under seal or deed Successful tender applications where the subsequent contract is under seal or deed.

See also AGREEMENTS / CONTRACTING-OUT / JOINT VENTURES for sentencing of contracts arising from tenders.

21 years after expiry of relevant contract, and at end of defects liability period, if applicable

D

39.3 Successful tenders – other

Successful tender applications other than those in section 39.1 and 39.2

See also AGREEMENTS / CONTRACTING-OUT / JOINT VENTURES for sentencing of contracts arising from tenders.

7 years after expiry of relevant contract

D

39.4 Successful Tenders - contract not awarded – significant

Receipt and assessment documentation for successful tender applications not resulting in a contract being awarded. See section 39.1 for criteria for significant tender applications.


A

39.5 Successful tenders - contract not awarded – other

Receipt and assessment documentation for successful tender applications not resulting in a contract being awarded, other than those in section 39.4 above.


D

39.6 Unsuccessful tender applications 2 years after contract is let or project has been

D


Reference Number


A=Archive

D=Destroy

discarded

39.7 Tender specifications and documentation – development, including Expression of Interest, Request for Proposal and Request for Tender

7 years after contract is let D

39.8 Tender process – administration, including records relating to receipt, evaluation and advising parties of outcomes

2 years after contract is let

D

39.9 Duplicates / copies of tenders When reference ceases

D

39.10 Tenders – advertising arrangements, copies of advertisements, and enquiries


D

40 TREASURY MANAGEMENT

The process of managing the organization’s funds by ensuring an effective system of internal control is in operation. Includes investments, loans, trust accounts and unclaimed moneys.

40.1 Investments made by the organization – establishment and management

7 years after investment has liquidated or matured

D

40.2 Investments – proposals that do not result in an investment being made


D

40.3 Loans taken out by the organization – establishment and management


D

40.4 Trust accounts of the organization – administration records 7 years after successful audit

D

40.5 Unclaimed moneys – administration and lodgement with departments of Treasury and/or Finance


D


Notes

PART III - Disposal Schedule for Human Resource Management The University of the South Pacific Retention and Disposal Schedule 299 Records Management

PART III

DISPOSAL SCHEDULE FOR

HUMAN RESOURCE MANAGEMENT RECORDS


The USP Disposal Schedule for Human Resource Management Records The USP Disposal Schedule for Human Resource Management Records (DSHRM) is an authority for the retention and disposal of human resource files of The University of the South Pacific. It is principally based on a Western Australian schedule which was developed in consultation with a number of key State Government agencies and their assistance is gratefully acknowledged. The schedule has been supplied by our records management partner Edith Cowan University who has contributed to its further development as a schedule for the USP context.

The Schedule contains valuable information and guidance to the University in respect of the human resource records it creates, and as such it is an important business tool that assists staff to remain compliant with legal obligations.

Scope and Arrangement of the Schedule This Schedule has six functional areas:

• Compensation • Establishment • Industrial Relations • Occupational Health and Safety • Personnel • Staff Development


Policies and procedures Records of human resource management policies and procedures developed by the University, for internal use, are to be retained permanently as archives. It is essential that all files dealing with policy statements, including the background to their development, are separate and identifiable from other administrative and functional records. This will ensure such records are discrete and available for archival retention, not interwoven with operational issues which in most cases are of short term value. Records of external policies may be destroyed after the prescribed retention period.

Use of the USP Disposal Schedule for Human Resource Management Records When managing records under the provisions of this Schedule the effective disposal of records no longer required and the control of access to those records retained can only be achieved if proper records management policies and procedures are put into place. Such policies and procedures will lead to greater productivity for the University with savings in terms of both time and resources.

Accordingly, records managers and human resource managers are encouraged to consult with each other regularly in order to ensure that this is achieved. It is also recommended that all human resource files be included in the University’s electronic records management system. This will result in the efficient retrieval of information, reliable tracking of file movements, and enhanced security, as well as providing a variety of reporting mechanisms.


Consideration should be given to the handling of the records whether in paper, microform or electronic format. Often these files contain sensitive information and issues such as storage, security, access and adequate mechanisms to establish an audit trail, should be reviewed regularly.

Please note: In all cases, the disposal actions refer to the main file, not to the duplicate or subsidiary files maintained for current convenience, e.g. in a school or department. Duplicate and/or subsidiary files should be destroyed when the staff member separates from service.

When files are being reviewed, prior to destruction or transfer to semi-active storage, any records that appear to be of interest as a permanent record, should be referred to the Records Management office for evaluation.

Other Disposal Schedules In addition to PART III – USP Disposal Schedule for Human Resource Management Records the following disposal schedules are used as a basis for the retention and disposal of administrative records, functional, and financial and accounting records and together should cover all records created and kept by The University of the South Pacific, including each of the regional campuses. This includes all records covered by the USP Records Management Policy irrespective of the business systems to which they belong:

• PART I - USP Functional Disposal Schedule (FDS) • PART II - Disposal Schedule for Financial and Accounting Records (DSFAR)


Long term storage Secondary storage, that is a USP temporary records storage facility or commercial repository, may be used for temporary records requiring long-term storage prior to destruction. Microfilming or transfer to optical media may also be considered. It is the University’s responsibility to ensure that the information on these records is accessible for as long as it is required. Staff are encouraged to contact the Records Management office for assistance and/or guidance.


For further information about The University of the South Pacific Disposal Schedule for Human Resource Management Records, please contact the Records Management office on telephone: (+679) 32 31687 or [email protected].


Reference Number


A= Archive

D= Destroy

1 COMPENSATION

Records dealing with the provision of compensation to employees for accidents, injury or disease arising out of, or in the course of, their employment. (See also 4. Occupational Health and Safety).

1.1 Policy

1.1.1 Internal policies and procedures.

6 years after action completed

A

1.1.2 External policies and procedures. 7 years after action completed

D

1.2 Claims

1.2.1.1 Claims - Injury/Accident/Disease

Original records concerning claims for compensation for accident/ injury/ disease held by Risk Cover, Work Cover or an equivalent government department.

75 years after employee’s date of birth or 6 years after retirement, whichever is later, or 6 years after death

D

1.2.1.2 Duplicate copies of records, file notes and routine correspondence submitted to Risk Cover and Work Cover or an equivalent government department.

7 years after claim is finalised

D

1.2.2 Claims - Property Loss/Damage

Records relating to claims for reimbursement for loss or damage to clothing or personal effects.

7 years after claim is finalised

D

1.3 Rehabilitation

1.3.1 Rehabilitation - Individual

Rehabilitation case management files maintained by the University

75 years after employee’s

D


Reference Number


A= Archive

D= Destroy

for individual employees. date of birth or 6 years after retirement, whichever is later, or 6 years after death

1.3.2 Rehabilitation - Group

Records relating to files maintained for employees in group cases


D

1.4 Surveys

Raw data.

2 years after collated and/or audited

D

2 ESTABLISHMENT

Records relating to the number of positions and the organisation and structure of those positions. Includes charts, reports and proposals to create, abolish and reclassify positions.

2.1 Policy

2.1.1

Internal policies and procedures. 6 years after action completed

A

2.1.2 External policies and procedures.


D

2.2 Restructuring


Reference Number


A= Archive

D= Destroy

2.2.1 Records relating to reviews and restructures affecting major functional sections of the University or the University as a whole. Includes amalgamations, classification, corporatisation, organisational charts, privatisation, redeployment and retraining.

7 years after action completed A

2.2.2 Records relating to reviews and restructures affecting only particular sections of the University and having little effect on the overall functioning of the University.


D

2.3 Vacancies

Records relating to the activities associated with managing positions in the University that are currently unoccupied, and with the recruitment of staff for positions.


D

2.3.1 Vacancies - Position Descriptions

Records relating to advertising and appointment to vacant positions. Includes duty statements, selection criteria, interview reports, appeal notices etc.


D

2.3.2 Vacancies - Senior Executive Service

Records relating to senior executive (SMT) appointments including job description, selection criteria, advertisements, etc.


A

2.4 Variations

Records relating to positions (not persons) detailing rationale for creation, duty statements, selection criteria and classification information.

5 years after abolition of position

D

2.5 Retain selected samples permanently. 2 years after action completed

A

3 INDUSTRIAL RELATIONS

All matters relating to the management or study of the relations between the University as employer and unions or associations and employees. 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.

3.1 Policy


Reference Number


A= Archive

D= Destroy



A



D

3.2 Agreements

Records, including correspondence with industrial relations commissions, or equivalent, ministries of employment, productivity and/or industrial relations and unions or associations, relating to cases presented to the with industrial relations commissions, or equivalent to determine awards.


A

3.2.1 Records relating to other cases presented to an industrial relations commission, or equivalent.


D

3.2.2 Copies of awards, agreements, determinations etc. kept for information purposes.


D

3.2.3 Records relating to liaison with employees, staff bodies and unions on significant issues such as:

• advice concerning changes to working arrangements • notes of meetings • information regarding union policies, newsletters etc.

10 years after action completed D

3.3 Claims

Claims lodged specific to the department or schedule or legislation it administers.


A

3.4 Disputes

Records of disputes of a landmark or precedent-setting nature, involving University staff and unions notified under relevant legislation.


A

3.4.1 Records relating to other disputes. 7 years after action completed

D


Reference Number


A= Archive

D= Destroy

3.5 Enterprise Bargaining

Records relating to industrial (enterprise) agreements applying to the University:

• of a precedent-setting nature; • affecting a majority of the University ‘s employees; or • which make innovative/contentious changes to working

conditions.


A

3.5.1 Records relating to situations where enterprise bargaining has not resulted in an industrial agreement.


D

3.5.2 Copies of other agreements and material kept for information purposes.

2 years after action completed or 2 years after expiry of agreement, whichever is longer

D

3.5.3 Records of Workplace Consultative/Negotiating Committees 7 years after action completed

A

3.5.4 Registered (where required) copies of Workplace (staff) Agreements 7 years after action completed

A

3.5.5 University copies of agreements 6 years after action completed

D

3.6 Industrial Action

Records relating to major industrial action (strikes, go-slows etc.) involving University staff and which have a substantial impact on the University.


A

3.6.1 Records relating to minor cases of industrial action (e.g. industrial action related to short-term or easily resolved disputes)


D


Reference Number


A= Archive

D= Destroy

3.7 Surveys

Raw data.


D

4 OCCUPATIONAL HEALTH AND SAFETY

Records relating to the implementation and coordination of occupational health and safety and associated legislation throughout the University. Includes safety policy and the monitoring of safe work practices, procedures and preventative measures.

4.1 Policy

4.1.1 Internal policies and procedures 6 years after action completed

A


D

4.2 Accidents and Hazards

4.2.1 Accident Notification

Records providing proof of notification of an accident or hazardous situation, including accident and incident registers (see also 1. Compensation)


D

4.2.2 Asbestos

Records relating to use, presence, neutralisation and removal of asbestos from buildings, plant and workplaces (including ships, aircraft, locomotives etc.) Also includes files dealing with safety precautions and advice on health risks caused by exposure to asbestos.

Transfer to University Archives when reference ceases

A

4.2.3 Asbestos - Personal History

Asbestos registers and files maintained on staff and contractors which document exposure or potential exposure to asbestos.

75 years after employee’s date of birth or 6 years after retirement, whichever is

D


Reference Number


A= Archive

D= Destroy

later, or 6 years after death

4.2.4 Grievances/Complaints

Complaints and reports (not held on personal file) about occupational health and safety matters; including complaints/objections to:

• having to undertake hazardous duties

• the working environment hazards of - noise, dust, chemicals, heat etc.


D

4.2.5 Hazardous Substances

Assessment reports prepared under regulatory control/requirements and/or reports of monitoring risks associated with hazardous substances health and safe legislative/regulatory requirements.

4.2.5.1 held as part of personal file 75 years after date of birth or 6 years after date of retirement or 30 years after action completed, whichever is latest

D

4.2.5.2 held on a separate file 30 years after action completed

D

4.3 Committees

Agenda, minutes, safety reports and working papers of Occupational Health and Safety committees as prescribed by respective legislative/regulatory requirements (for example; Occupational Health and Safety Acts).


4.4 Health Promotion

Medical or dental records where not kept on a personal file and

75 years after employee’s

D


Reference Number


A= Archive

D= Destroy

excluding compensation or rehabilitation files. date of birth or 6 years after retirement, whichever is later, or 6 years after death

4.5 Inspections

Inspections and investigations and reports relating to significant accidents or incidents and hazards identified at the workplace.


A

Reports of other inspections. 7 years after action completed

D

Records relating to remedial action undertaken as a result of inspections, audits or other action.


D

4.6 Risk Management

Appointment of health and safety representatives, first aid officers, fire wardens and records of fire and evacuation rehearsals etc.


D

4.7 Surveys

Raw data.


D

5 PERSONNEL

Records relating to all persons employed in the University from all divisions/sections/branches and all classifications.

5.1 Policy

5.1.1 Internal policies and procedures. 6 years after action completed

A


D


Reference Number


A= Archive

D= Destroy

5.2 Allowances

See Disposal Schedule for Financial and Accounting Records for records of payment of allowances.

Records dealing with allowances e.g. shift work, higher duty, property, overtime, on call, expenses which are not policy files.


5.3 Authorisations

Schedule of delegation of certain personnel to undertake a function or task.


D

5.4 Counselling

Records (not held on personal file and not associated with performance management/ appraisal) made by professional counsellors.


5.5 Discipline

Records of investigation or where action is taken, in respect to breaches of discipline:

5.5.1 held as part of personal file 75 years after employee’s date of birth or 6 years after retirement, whichever is later, or 6 years after death

D

5.5.2 held on a separate file 7 years after action completed

D

5.6 Employment Conditions

5.6.1 Clothing

Records dealing with clothes collectively - footwear, uniforms etc. Routine matters only.


D


Reference Number


A= Archive

D= Destroy

5.6.2 Fellowships

Correspondence regarding fellowship schemes and nominations.


D

5.6.3 Relief/Acting

Records relating to relieving or acting arrangements including applications, records of interview etc.


D

5.6.4 Secondments

Records of employees seconded to or from other agencies.


D

5.7 Evaluation

5.7.1 Equal Employment Opportunity (EEO)

Equal employment opportunity case files relating to EEO including complaints, meetings and internal instructions.


D

5.7.2 Honours

Documentation regarding various honours and award schemes. Include nominations not proceeded with. See personal file for a major honour bestowed on an individual.


5.8 Grievances

Records of formal grievances lodged by employees, including discrimination or harassment.


D

5.8.1 Informal Resolution. Records of grievances lodged by employees, which do not result in formal proceedings, including discrimination and harassment.


D

5.9 Leave

Leave application forms. Annual leave, sick leave, leave without pay etc.


D

5.10 Performance Management

5.10.1 Performance Appraisal

Employee assessment reports, action plans, counselling on work performance, career paths etc.


D

5.10.2 Performance Monitoring 75 years D


Reference Number


A= Archive

D= Destroy

Documents and reports where formal action is taken in respect to breaches of agreed performance standards.

after employee’s date of birth or 6 years after retirement, whichever is later, or 6 years after death

5.10.3 Substandard Performance

Documents and reports where formal action is taken in respect to substandard performance.


D

5.10.4 Substandard Performance

Documents and reports where no formal action is taken in respect to substandard performance.


D

5.11 Personal

See also 4.2.2 Asbestos (4 Occupational Health & Safety).

5.11.1 Personal History Summary Information

Records relating to appointment, classification, leave, superannuation, award coverage, qualifications etc.

6 years after action completed. Alternatively, following microfilming to approved standards, the original may be destroyed and the

A


Reference Number


A= Archive

D= Destroy

microform format transferred to the USP Archive.

5.11.2 Personal Files of Vice Chancellor

Personal files of Vice Chancellor (VC), the Pro-Chancellor and those who have achieved distinction either in a work related or personal area.


5.11.3 Personal Files

Personal files of permanent, temporary and contract employees including certified record of citizenship, academic qualifications, letter or contract of appointment and details of such items as:

• the schedule (Act) for the appointment • the category and term of appointment • the job held by the employee • if the employee is a Senior executive (SMT) member • the employee’s start date • the employee’s start date in their current job • the industrial award or agreement under which the employee

is employed including the salary scale within the award or agreement

• whether the employee is appointed on a part-time or full-time basis

• the employee’s current work location • performance appraisals and counselling reports (if not on a

separate file) • exit interviews • medical reports • complaints relating to occupational health and safety (if not

on a separate file) • redeployment • leave – extraordinary requests only e.g. sabbatical (if not on a

separate file) • salary packaging expression of interest • details of individual salary packaging arrangements (if not on

a separate file) • travel arrangements • police clearances.

The above represent examples only of those items which may be


D


Reference Number


A= Archive

D= Destroy

included in a personal file.

5.11.4 Indexes/Registers

Indexes and registers of file numbers and titles in either electronic or hard copy format maintained for personnel records, not being part of the University’s central registry system.

Transfer to USP Archive when reference ceases

A

5.11.5 Police Clearances

Where not held on the personal file.


D

5.11.6 Criminal History Records

Records revealing serious criminal histories of applicants for employment.

5 years or once application has been withdrawn or when reference ceases, whichever is the soonest.

D

5.12 Recruitment

5.12.1 Employment

Correspondence and enquiries about potential employment.

1 year after action completed

D

5.12.2 Employment Schemes

Records relating to employment schemes including correspondence with and submissions to employment agencies / funding / selection of participants.


D

5.12.3 Interview Notes

Informal notes taken by the interview panel to be used temporarily e.g. memory prompts.

On expiry of appeal period D

5.12.4 Mass Recruitment

Records relating to entry level mass recruitment including duty statements, selection criteria, advertisements, applications,

3 years after action

D


Reference Number


A= Archive

D= Destroy

assessments, nominations and interview reports. completed

5.12.5 Student Vacation Employment Records 3 years after action completed

D

5.12.6 Work Experience Programmes 3 years after action completed

D

5.12.7 Volunteers

Documentation relating to volunteers (including correspondence, work dates, details of training provided etc.)

1 year after action completed

D

5.13 Rosters Until superseded D

5.14 Salaries

5.14.1 Attendance Books and Time Sheets 7 years after date of last action

D

5.14.2 Deductions

Records dealing with deductions from salaries and wages which are not policy records.


D

5.14.3 Group (PAYE, Tax, etc.) Certificates 5 years after date of last action

D

5.14.4 Payroll

Salaries and wages records generated by either manual or computerised systems.

7 years after date of audit D

5.14.5 Salary Packaging

Administration files relating to internal policies, procedures and conditions.


A

Expressions of interest (unsuccessful) 1 year after action completed

D


Reference Number


A= Archive

D= Destroy

Details of individual salary packaging arrangements (where contained within a separate file and not on the personal file)


D

5.15 Separations

Records (not on personal file) relating to any method of leaving the University. Includes resignation, retirement, dismissal, death, redundancy or retrenchment of all personnel.


5.16 Surveys

Raw data.


D

6 STAFF DEVELOPMENT

Records relating to the development of staff skills and competencies. Includes identifying and implementing training needs and programs (internal and external) available to staff.

6.1 Policy



A



D

6.2 Conferences

Records relating to the arrangement of or attendance at conferences or seminars. Includes registrations, publicity, travel arrangements and reports of participants.


6.3 Surveys

Raw data.


D

6.4 Training

6.4.1 Course Information 7 years after action

D


Reference Number


A= Archive

D= Destroy

Details of courses, seminars, programs attended by personnel either internal or external to the University. Includes capability statements by course providers.

completed

6.4.2 Examinations

To certify competency of staff (e.g. keyboard skills). Results would be recorded separately on personal files.


D

6.4.3 Study Assistance

Records for individual staff members including study assistance, courses attended etc.


D

6.4.4 Staff Awareness Programmes

Records relating to health and personal development e.g. health and wellness programmes, blood donations, etc.


D

6.4.5 Traineeships

Records relating to trainees, assessment reports, course results and related correspondence (separate to personal file).


D


Notes