Office of Records Management & Archives

Retention & Disposal of University Records

Overview

Staff are responsible for retaining and disposing of the University’s records in accordance with legislative requirements, government regulations, and the University’s Recordkeeping Policy. 

The University’s records must be retained for varying periods of time in order to satisfy various legislative, fiscal and administrative requirements. The retention periods for specific records series are shown in the genericdisposal authorities published by the State Records Office and the University’s functional records disposal authority.

Retention periods are measured in years or semesters following the occurrence of a specified event such as the end of a financial or calendar year, the end of a specified appeal period, the completion of an audit by the Auditor General or the discharge of a loan.

Most records will eventually be destroyed. However, records with long-term, historical value to the University and/or to political scientists, scholars and historians must be retained permanently. The State Records Act 2000 refers to these records as State Archives because of their long-term significance to the State of Western Australia. Archival records are identified in the disposal authorities.

Disposal Authorities

Staff must refer to the General Disposal Authorities published by the State Records Office and the University’s Functional Records Disposal Authority when appraising records for disposal. 

The State Records Office (WA) has developed three General Disposal Authorities that cover administrative, financial and human resource records common to most organisations subject to the State Records Act 2000. These are:

General Disposal Authority for Administrative Records
General Disposal Authority for Financial and Accounting Records
General Disposal Authority for Human Resource Management Records

The Murdoch University Functional Records Disposal Authority is a systematic listing of records series relating to the University’s core functions that are not adequately covered by the General Disposal Authorities listed above.

These disposal authorities provide staff with a legal and authoritative basis to dispose of records. Adherence to them will assist staff in the ongoing management and timely disposal of records and help to ensure the University’s compliance with its legal environment.

Staff involved with disposal activities should be reasonably acquainted with the introductory notes included at the front of each disposal authority.

Disposal of Records

Records may only be destroyed in accordance with the University’s Functional Records Disposal Authority and the General Disposal Authorities listed above. Since these authorities specify the minimum retention periods that must be observed records may be retained for longer than the retention periods shown but they must not be destroyed before the retention periods have been reached.

It is good practice for all Offices to conduct periodic reviews of their recordkeeping systems in order to prevent the accumulation of records and the inappropriate reference to records that are no longer relevant or needed. Besides facilitating the efficient retrieval of relevant documents this also ensures that limited storage space is properly managed.

All records of a confidential and personal nature must be disposed of in confidential waste bins provided by the Office of Commercial Services.

Authority to destroy records

The authority to sign off on the destruction of records resides with the University's Chief Executive Officer, the Vice Chancellor. This authority is delegated to the Manager, Records Management & Archives in accordance with the powers vested in the Vice Chancellor under s.3(a) Statute No. 25 Vice Chancellor.

Copies of records

A copy of a record may be destroyed at any time without reference to the disposal authorities once its administrative reference value to an Office has ceased and where the official version of the record is verified as being already included in a recordkeeping system of the University. For example, copies of official records held on personal files in the Office of Human Resources are often kept in administrative offices. These can be destroyed as soon as their reference value has ceased.

Data held in backup media for disaster recovery purposes is a copy of data held in electronic systems and can be erased once its purpose has been served.

Draft documents and working papers

Where a final version of a document exists, any previous versions and working papers can be destroyed once their reference value has ceased. However, previous versions and working papers that contain significant information not found in the final version of a document should be retained as official records. These should only be destroyed in accordance with the disposal authorities listed above.  

Ephemeral records

Ephemeral records are records that only need to be retained for a very limited period of time. These records have little, if any, value to the University and can be destroyed at any time without reference to the disposal authorities. They include announcements of social events, leaflets, flyers, copies or extracts of documents sent only for reference, personal communications, catalogues, brochures, and copies of publications received from other organisations such as annual reports and newsletters.

Freedom of Information, litigation, investigations, and audits

Procedures for disposal of records

Written authorisation to dispose of records must be obtained from the Manager, Records Management & Archives.

A “Records Disposal Authorisation” form should be completed and forwarded to the Manager, Records Management & Archives for approval. The completed form should include: a description of the records identified for disposal; the dates covered by the records; the format of the records; and reference to the disposal authority applied to the records.

The preparation and authorisation of formal disposal lists is a mandatory requirement of the State Records Office (WA). These lists support organisational accountability and transparency by demonstrating that the University’s records have been disposed of in accordance with authorised disposal authorities and government regulations. 

The following guidelines will assist staff in following correct procedure for the disposal of records:

• Identify records for disposal;
• Set aside any records with potential long-term historical value and liaise with Records Management & Archives as to whether they can be transferred to the University Archives;
• Refer to the General Disposal Authorities and the University’s Functional Records Disposal Authority to determine disposal action for records;
• If a record fits into more than one class of records in the disposal authorities, always choose the longest retention period;
• If the disposal trigger has not occurred for some records do not proceed with disposal for those records but set a future review date;
• Use the “Records Disposal Authorisation” form to prepare a listing of records authorised for disposal in accordance with the disposal authorities;
• Forward the “Records Disposal Authorisation” form to the Manager, Records Management & Archives after it has been authorised by the appropriate Head of Office or School;
• The form will be returned to you once the list has been reviewed and disposal of the records authorised by the Manager, Records Management & Archives. You may then implement the appropriate disposal action for the records.

Scope of disposal authorities

The disposal authorities cover all records irrespective of format. This includes hardcopy and electronic records maintained in computer systems including databases, spreadsheets, websites, records created by electronic mail systems, and records stored on microfiche, CDROM and in electronic filing systems. 

The disposal authorities apply to all records created and received by staff at the Murdoch, Rockingham and Peel campuses, and all Murdoch University Centres and Institutes including Cooperative Research Centres, Divisional Centres & Institutes, Inter-Institutional Centres & Institutes, and Professional Service Centres.

The disposal authorities do not apply to records created by associated organisations of the University or to the Guild of Students. 

Penalties

An employee who destroys a record outside the authorisation of the above disposal authorities commits an offence under section 78(3)of the State Records Act 2000 and risks a (maximum) penalty of $10,000.

Review

The Murdoch University Functional Records Disposal Authority was approved by the State Records Commission on 8 March 2007. It will be reviewed periodically for currency but not later than five (5) years after the last approval date by the State Records Commission (as required by section 28(5) of the State Records Act 2000).