15.1. New. EHS RECORDS MANAGEMENT

15.1.1. New. Purpose

The EHS Recordkeeping Requirements is intended to cover operational records created, received and maintained within University departments' (related to Environment Health & Safety). The records covered by this document include both paper and electronic formats.

The EHS Recordkeeping Requirements has been developed to deal with current and future records created within University departments.

The aim of the EHS Recordkeeping Requirements is to provide continuing instruction to all staff on which:

• staff positions have EHS recordkeeping responsibilities;

• records have restricted access requirements;

• records have been identified as having continuing value;

• records are considered to be of temporary value and therefore can be destroyed as soon as there is no longer any administrative use;

• records to transfer to Records Services when they are no longer required by staff.

This ensures :

• proper creation and maintenance of EHS records;

• records shall be legible, identifiable and traceable to the activity, product or service involved;

• appropriate levels of access to the records;

• consistent, lawful and timely disposal of records;

• that papers retained in the office environment are kept to a necessary minimum by discarding periodically those deemed temporary and;

• that records are retained for administrative, legal, financial and archival requirements.

15.1.2. New. Application

The EHS Recordkeeping Requirements is a document issued by the University which lists various classes of records and specifies their recordkeeping requirements. It is not a list of file titles. It is designed to cater for the needs of all departments within the University to satisfy legislative and audit requirements.

Departments are required to identify, maintain and dispose of EHS records under their control. EHS records are identified from records generated by the use of EHSM procedures and the various classes of records detailed in EHS Recordkeeping Requirements. Details of the required maintenance and disposal of specific EHS records identified by departments are provided according to the terminology used in the EHS Recordkeeping Requirements see Section 15.1.4.New. References below.

15.1.3. New. Legislation

Established under Statute, The University of Melbourne is a public institution and accountable to parliament for its actions. Documenting business activity by making transactional records, and capturing them into recordkeeping systems, provides a basis of organisational accountability. A record comprises recorded information in any form, including data in computer systems, created, received and maintained by the University in the transaction of business activities or the conduct of affairs and retained as evidence of such activity. Inadequate records and recordkeeping can contribute to failures to meet accountability and other organisational requirements.

There are various legislative requirements in the areas of Occupational Health and Safety which require specific records to be created and retained. The Occupational Health & Safety Act 2004 requires that records be created and maintained relating to the health & safety of employees, proof of training made available to employees, records of supervision, health monitoring & conditions monitoring as well as proof of the work of the Occupational Health & Safety Committee and action taken to eliminate health risks on-site and on entering & leaving the workplace.

Melbourne University Act 1958

Occupational Health and Safety Act 2004

Environment Protection Act 1970

15.1.4. New. References

The University of Melbourne Records Management Policy and Procedures Manual: http://www.unimelb.edu.au/records/manual.html

Records Disposal Schedule 15 and 18.

Terminology Used In The EHS Recordkeeping Requirements

Subject and Activity

The records are initially listed by broad subject/function, and then further defined into activity types with in each subject/function.

Custody and Transfer

Departmental responsibility for recordkeeping is attributed to the position which has the task of ensuring the creation of the records. If the person in this nominated position chooses to delegate the responsibility for maintaining the records to another position within the department, the prime responsibility still resides with the initial position identified by the EHS Recordkeeping Requirements.

Prime Source

This column specifies the University office responsible for maintaining the prime record within the University, if it is not the department. The University office nominated in this column has responsibility for maintaining the record for a longer period than the department which be in accordance with their own separate legislative, financial, administrative and archival obligations.

Retention / Destruction

This indicates how long records are to be retained by the department before being destroyed or transferred to Records Services. This column uses an expression 'Destroy when superseded', which means that the records can be destroyed when new versions are created . It also uses the term 'Destroy if administrative use has ceased', which means that the records identified can be destroyed when they are no longer needed.

To download and an example of a Records Disposal Schedule click here.

15.1.5. New. Responsibilities

15.1.5.1. New. Head of Department (or delegate)

The Head of Department or delegate is responsible to ensure compliance with all records schedules.

15.1.5.2. New. Supervisors

Supervisors are responsible to ensure that staff adequately document processes.

15.1.5.3. New. All Staff &/ Students

All staff and students are responsible to complete appropriate documents to record their practices.

15.1.6. New. Procedure and Guidelines

Identification of Records

Records have been identified in broad categories by Records Services, refer to example of Records Disposal Schedule and http://www.unimelb.edu.au/records/manual.html. Each Department is responsible for the identification and collection of records and for filing, maintenance and disposal of records within their control. For assistance in the identification of records contact Records Services.

Traceability, Storage and Availability of Records

Records shall be legible, identifiable and traceable to the activity, product or service involved. Records shall be stored and maintained in such a way that they are readily retrievable and protected against damage, deterioration or loss.

Electronic Records

In relation to electronic records, the appraisal of systems to identify records of continuing value should be undertaken during the system design, upgrade or review. Recordkeeping requirements and preferred methods of 'archiving' should be identified, documented and incorporated into systems management. Further information is available from Records Services.

Electronic records should be securely maintained to prevent unauthorised access, destruction, alteration or removal. Storage media and related technologies and practices for maintaining electronic records must be specified, designed, operated and maintained in such a way that records cannot be altered. All documents should be stored on a networked drive and suitable security and backup measures should be implemented. Websites which document departmental EHS policy and procedures should be updated regularly to ensure currency. A copy of each revision of a departmental website must be maintained to provide evidence of aforesaid policy and procedures which operated at particular points in time.

Programming of Planned Disposal

To ensure effective control of non-current EHS records and to facilitate optimum use of storage space, disposal action should be programmed as an annual activity. It should be conducted at a time when staff resources are available to undertake either destruction or transfer of records to Records Services.

Destruction Authorisation, Notification and Methods

There are broadly two classes of EHS records authorised for destruction which require different methods of disposal:

• restricted access or confidential

• open access or normal routine

Restricted Access or Confidential records contain information about individuals, information given in confidence or records related to investigations. At disposal these sensitive records should be shredded or placed into confidential wheelie bins. The security provided by the shredding of records depends on how fine the paper is shredded. For highly sensitive records, cross shredding may be necessary. If the records have been shredded, then they may be placed in the white paper recycling bins which have been issued to all departments.

• Confidential wheelie bins can be obtained by contacting the Manager, Facilities Services on x48221. Facilities Services has a list of a number of contractors which provide secure destruction services. The confidential wheelie bins, which are lockable, are provided to your department and then collected by the contractor for appropriate destruction. The Manager, Facilities Services will advise of the cost to the department for this service.

Open Access or Normal Routine records can be destroyed using the usual methods of white paper recycling.

* Records Services recommends that a list of all records destroyed in accordance with the EHS Recordkeeping Requirements, be retained within the office filing system, as reference.

Transfer of Records

Once records have been classified by the EHS Recordkeeping Requirements as permanent, Departments should notify Records Services prior to listing and boxing for transfer to Records Services. Records Services will provide archive boxes and Transferring Records to Intermediate Storage instructions. The instructions are also available at http://www.unimelb.edu.au/records/corporate/ehs.html#10

Note: If the Environment Health and Safety Unit is listed as the prime source for a particular record, Departments shall forward a copy of the record to the Environment Health and Safety Unit.

Amendment and Updating

The EHS Recordkeeping Requirements is a reflection of current practice and procedures. Consequently it will need to be updated on a regular basis as the types of records being created by the University will alter over time. Retention periods may need to be altered due to legislative change and additions to the EHS Recordkeeping Requirements may need to be made due to new activities or changes which effect the types of records created and their retention periods.

Suggested inclusions, amendments and reviews of retention periods should be referred to the Environment Health and Safety Unit.

The EHS Recordkeeping Requirements will be regularly reviewed to ensure that it complies with current practice and legislative requirements.

15.1.7. New. Document Control

 Table 70: Document control: 15.1.New. Records Management

Established: 23 November 1999. Reviewed 15 September 2008.  Authorised: OHSC  Next Review: 15 September 2011  © The University of Melbourne - uncontrolled when printed.

Created: January 2000
Last Modified: 13 August 2009
Authorised by: General Manager, Environment Health and Safety Unit.