Category:
Policy Contact:
Chief Operations Officer
Background:
This policy has been developed to ensure the appropriate maintenance of its student and operational records, including archiving, culling and destruction. It is also intended to recognise the statutory requirements which relate to records maintenance, particularly as they relate to the period of retention of records required by its regulatory and compliance agencies.
Purpose:
This Records Management and Archiving Policy is necessary to ensure the safety, security and confidentiality of its student and administrative records
Scope:
This policy applies to the Chief Operations Officer and the Director of Academic Administration and Quality Assurance and the personnel that they manage.
Statement:
The College is committed to maintaining the safety and security of all its records and ensuring that private and confidential records are viewed only by the personnel authorised to access them on a need-to-know basis. The current records of the College may be categorised as follows:
- Student Records
- Finance and Operational Records
1 Access to student records
Student records may be accessed by the following College personnel:
a) The person whose responsibilities include collection, collation and processing of the record (“the Record Keeper”);
b) the Director of Academic Administration and Quality Assurance;
c) other officers authorised by the College to collect, collate, record and maintain records of personal and academic history of students;
d) members of Academic Staff, under supervision, and by permission of the Record Keeper; and
e) Student Support Officer
1.1 Nature and purpose of student records
Student records may be in hard copy form, or electronic form, but frequently in both forms. The student records currently maintained by the College are described in the following table:
(# Records referenced with # are kept indefinitely. Records referenced with * are completed anonymously and individual students cannot be identified. Records referenced with ^ are directly accessible to students currently enrolled in the relevant course of study.)
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Information typically collected about students
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Authorised Access by
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Purpose for which information is collected
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Archival Period
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Apology for Absence (no longer used)
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(a) (b) (c) (d)
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Used in validation of student’s attendance record, to determine that attendance requirements have been met
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#
|
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Application Form
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(a) (b) (c) (d) (e)
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Provides personal information necessary to assess student eligibility for enrolment and ongoing student contact
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#
|
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Change of Course
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(a) (b) (c) (d)
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Records a students’ request to change course
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#
|
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Commonwealth Assistance Notice (CAN)
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(a) (b) (c)
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Records the loan assistance that is provided to students through the Fee-Help loan arrangements
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#
|
|
Commonwealth Higher Education Student Support Number (CHESSN)
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(a) (b) (c)
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Records the unique national student identifier allocated to students who receive Commonwealth FEE-HELP or HECS-HELP assistance
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#
|
|
Confidential Character Reference Form
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(a) (b) (c) (d)
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This reference is considered in assessing student eligibility for enrolment
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|
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Confidential Interview Form
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(a) (b) (c) (d) (e)
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Records information collected during an initial interview with a faculty member or Academic Administrator
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#
|
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Course Deferral / Withdrawal form
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(a) (b) (c) (d)
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Records request by student to defer or withdraw from a course of study
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#
|
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Declaration by Editor
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(a) (b) (c) (d) (e)
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Records declaration by person providing editorial assistance with an assessment task submitted by student whose first language is not English
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#
|
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Enrolment Form
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(a) (b) (c)
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Records students’ subject selection each semester and provides details for calculation of tuition fees
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#
|
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Enrolment Variation Form
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(a) (b) (c) (d)
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Historical Records application from student to change semester subjects
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#
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Grievance and Complaints Record
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(a) (b)
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Records a students’ complaint or grievance and provides details of investigation and resolution
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#
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Minister’s Confidential Reference Form
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(a) (b) (c) (d)
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Minister’s Reference is considered in assessing student eligibility for enrolment
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#
|
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Miscellaneous Correspondence: College Initiated
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(a) (b) (c)
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Records letters, emails and notes initiated by College Staff
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#
|
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Miscellaneous Correspondence: Student Initiated
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(a) (b) (c)
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Records letters, emails and notes initiated by students
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#
|
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Overseas Student Agreement and payment receipts
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(a) (b) (c), (e)
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Signed agreement between the College and the overseas students undertaking a course of study, describing the student’s and the College’s obligations - ESOS Act 2000 stipulates at least two years retention.
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#
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Recognition of Prior Learning Application
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(a) (b) (c) (d)
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Records application details for Recognition of Prior Learning
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#
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Register of Disabilities and Interventions
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(a) (b) (d)
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Records details of students’ learning disabilities and interventions
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#
|
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Register of RPL Applications and Approvals
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(a) (b) (c) (d)
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Records application and approval details for Recognition of Prior Learning
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#
|
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Request for Assignment Extension
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(a) (b) (c) (d)
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Records approval/non approval to lodge assessment tasks after due date
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#
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Request for FEE-HELP Assistance
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(a) (b) (c)
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Records a request for FEE-HELP Loan assistance from the Commonwealth Government
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|
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Request for HECS-HELP Assistance
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(a) (b) (c)
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Records a request for HECS-HELP Loan assistance from the Commonwealth Government
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#
|
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Request for Special Arrangement
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(a) (b) (c) (d) (e)
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Records approval/non approval to lodge assessment tasks after due date
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|
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Subject Submissions
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(a) (b) (c) (d)
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Copies of Student’s submitted work eg Assignments, Project Reports
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^ 2 years
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Subject Withdrawal Form
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(a) (b) (c)
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Records students’ withdrawal from subject and provides details for calculation of fee refunds
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#
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Survey - Graduate Destination*
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(a) (b) (c) (d)
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Records feedback from graduates regarding study experience and “achievements” after graduation
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#
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Survey - Graduation Ceremony*
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(a) (b) (c)
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Records feedback from graduands regarding their graduation ceremony experience
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#
|
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Survey - Student Satisfaction*
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(a) (b) (c) (d)
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Evaluates student’s learning experience in college and possible future life direction
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#
|
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Survey - Unit Development and Improvement*
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(a) (b) (c) (d)
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Evaluates student’s perception of the usefulness of the subject unit guide
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#
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Tax File Number and / or Certificate of Application for a Tax File Number
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(a) (c)
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Records TFN, the vehicle by which HECS-HELP and FEE-HELP debt records are maintained by the Australian Tax Office on advice from the College
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#
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Unique Student Identifier
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(a) (b) (c), (e)
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The USI is the student’s individual education number for life, for all courses undertaken in Australia.
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#
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1.2 Students Access to Their Records
Students may request a statement describing the information held in their personal files. On receipt of such a request, the College has the obligation to supply in a timely manner, a statement which describes: -
- the nature of the information held;
- the main purposes for which the information is used; and
- how individuals may go about getting access to personal information which relates to themselves.
Students who wish to access their personal records are required to notify the College and arrange an appointment to view their records. Students will be provided with access to their records, in particular hard copy records and printed versions of softcopy records but the following limitations would apply:
- students who access their records would be supervised, that is, the record keeper would be present while the record is being viewed.
- students may request, and be supplied with, photocopies of any documents in the student’s personal record;
- students would not be permitted to remove any documents from the record; however,
- students may request that incorrect or out of date information in their personal records be removed or updated. The record keeper shall be responsible for taking this action.
- students who are in dispute with the record keeper over any matter shall have the right to take action according to the College’s Complaints & Grievance Procedures (non-academic).
Students may request a copy of their transcript by completing the Request for Transcript or Testamur form on the ECA website. The form provides information on how to pay for, and submit, the request.
2 Financial and Operational Records
The current finance and operational records maintained by the College may be categorised as:
- Staff personal details and remuneration;
- Donors and donations;
- Income and expenditure;
- Finance and Audits;
- Minutes of Meetings-Board, Sub-Committees, Staff;
- Commercial Relationships – Agreements, Memorandums of Understanding, Partnerships
2.1 Access to financial and operational records
The financial and operational records of the College may be accessed by the following College Personnel on a need-to-know basis:
a) Executive Principal;
b) Chief Operations Officer;
c) Finance Officer;
d) Receptionist;
e) Director of Academic Administration and Quality Assurance or Delegate; and
f) Governing Board members, including sub-committee members.
b) Chief Operations Officer;
c) Finance Officer;
d) Receptionist;
e) Director of Academic Administration and Quality Assurance or Delegate; and
f) Governing Board members, including sub-committee members.
2.2 Nature and purpose of financial and operational records
The financial and operational records may be in hard copy form, or electronic form, but frequently in both forms. The financial and operational records currently maintained by the College are described in the following table:
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Information typically collected with respect to Finance and Operations
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Authorised Access by
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Purpose for which information is collected
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Archival Period
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Accounts Receivable
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(b) (c) (f)
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Records receipts for services rendered
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7 years
|
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Accounts Payable
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(b) (c) (f)
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Records invoices for services rendered
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7 years
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Active Direct Debit Authorities
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(b) (c) (d)
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Records current, active Direct Debit Authorities
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7 years
|
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Agreements, Memorandums of Understanding
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(a) (b) (c) (e) (f)
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Records details of agreements and MOU’s with respect to educational partnerships and alliances
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#
|
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Approved Annual Budgets
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(a) (b) (c) (f)
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Records budget preparation documents and final approved budget details
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10 years
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Audited Annual Financial Statements
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(a) (b) (c) (f)
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Records details of the Audited Annual Financial Statements
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#
|
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Donations [electronic storage-Reckon, CiViCRM]
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(a) (b) (c) (d) (f)
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Records donations from supporters or confidential donors
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7 years
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|
Donor Details [electronic storage-Reckon, CiViCRM]
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(b) (c) (d)
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Records personal details of financial supporters
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7 years
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|
Institution Payment Summary
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(b) (c) (f)
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Records Income from FEE-HELP, HECS-HELP, CSPs
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7 years
|
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Monthly Cash Flow Reports
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(a) (b) (c) (f)
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Records actual income and expenditure, and budget comparisons
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10 years
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New Employee Details Form
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(a) (b) (c)
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Records details of name, address, contact details, disabilities, allergies, emergency contact Records TFN, Bank Account Details, Superannuation Fund Details
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7 years
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|
Partnership Proposals – related Parties
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(a) (b) (e) (f)
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Records details negotiations with respect to proposed educational partnerships of alliances
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10 years
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Staff Employment Contract
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(b) (c)
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Records individual employment contract details
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7 Years
|
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Student Fees [Electronic Storage -Reckon, Paradigm]
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(b) (c) (d) (f)
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Records student’s personal payments for tuition fees, etc.
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7 years
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(# Records referenced with # are kept indefinitely.)
3. Archival Policy
As the College is a small educational institution, all student records shall be kept permanently. This arrangement exceeds the minimum retention period (30 years) required by accreditation and registration agencies with respect to students’ educational records. Financial Records shall generally be kept for seven (7) years. This arrangement exceeds the minimum retention period (5 years) required by Audit and Government Regulatory Agencies and the Australian Taxation Office.
Other budget, cash flow and Partnership agreement records shall be maintained for a period of ten (10) years.
Culling and destruction of records after the required retention period shall be supervised by the Director of Academic Administration and Quality Assurance with respect to student records, and by the Chief Operations Officer with respect to all financial and operational records. Records identified for destruction shall be secured in locked “confidential wheelie bins” and collected by a corporate records destruction company which guarantees their confidential destruction.
4. Our disclosure practices
We disclose personal information about our students to:
- education providers to administer cross-institution enrolments (where you are a cross-institution student or student enrolled with the College and another provider under an approved arrangement)
- education providers to verify academic information or transcripts
- scholarship providers and student sponsors where there is a written agreement between the student and the provider or sponsor.
The College discloses whether a graduate has completed an award to any member of the general public via requests for verification of qualifications.
The College is required by law to provide personal information about our students to:
The College is required by law to provide personal information about our students to:
- the Commonwealth Department of Education (routinely, statistical information about student enrolment, educational background, etc)
- the Australian Taxation Office (in relation to HECS-HELP, FEE-HELP and other loan schemes where students may defer fee payments through the taxation system)
- the Commonwealth Government on student request for Commonwealth support or financial assistance, and particularly if you request financial assistance by submitting an electronic or paper Commonwealth Assistance Form. You will be asked to consent to personal, identifying data, including your Tax File Number, being provided to the Australian Government for the allocation of a unique identifier - CHESSN (Commonwealth Higher Education Student Support Number) and the management of your Commonwealth assistance
- Centrelink (which requires the University to provide information to monitor domestic student entitlements to Centrelink benefits)
- other governments and private loan schemes where students are granted approved loans
- the Victorian Institute of Teaching for students graduating in relevant education awards.
We also make class lists available to other students enrolled in the same unit.
You may authorise the College to release information to a third party (for example a relative or insurer) or enable someone to collect student information on your behalf, by making a request in writing to the College.
In very limited circumstances, privacy principles permit disclosure without consent or prior notification, for example, if we are asked for the information in connection with a police investigation; if we receive a writ, subpoena or similar document legally requiring us to disclose the information; or if disclosing the information will prevent or lessen a serious and imminent threat to a person's life or health. These circumstances are extremely rare.
You may authorise the College to release information to a third party (for example a relative or insurer) or enable someone to collect student information on your behalf, by making a request in writing to the College.
In very limited circumstances, privacy principles permit disclosure without consent or prior notification, for example, if we are asked for the information in connection with a police investigation; if we receive a writ, subpoena or similar document legally requiring us to disclose the information; or if disclosing the information will prevent or lessen a serious and imminent threat to a person's life or health. These circumstances are extremely rare.