Records Management – School Records

Policy

The purpose of this policy is to assist schools to understand and meet requirements for creating, storing and disposing of school records.

Summary

• Schools are responsible for creating, managing and disposing of school administration and student records.
• Records must only be disposed of with written approval of the school’s principal, after the minimum retention period has been met. (Note: short-term information created through normal administrative practice can be destroyed without needing the written approval of the principal).
• Schools should also review the School records retention guide (XLSX) (staff login required) which provides information on common school records and their minimum retention periods.

Details

Schools are responsible for creating, managing and appropriately disposing of public records in accordance with the Public Records Act 1973 (Vic), standards issued by the Public Record Office Victoria (PROV) and policy and guidance issued by the department.

Record creation

Schools must create full and accurate records of school functions and activities, including records relating to:

• school governance
• operations
• the handling of incidents, complaints and investigations
• student management.

This includes both hardcopy (paper) and electronic records.

Permanent and temporary records

Schools are responsible for creating and managing temporary and permanent records.

A temporary record is a record that must be retained for a certain period of time (ranging from 12 months to 65 years) and can only be destroyed once that period has expired with the written approval of the school’s principal.

Permanent records must be transferred to the State Archives when no longer needed for day-to-day activities at the school.

Contact Records and Digitisation Services on 1800 359 140 or archives.records@education.vic.gov.au if you would like assistance to transfer permanent value records at your school.

Common school records and minimum retention periods

The School records retention guide (XLSX) (staff login required) outlines how long common types of school records need to be kept, to assist schools in assessing if records are ready for destruction. Instructions on how to use the guide is included in the guide on the 'How to use this guide tab'.

The information in this guide is regularly updated however if it does not contain a record you would like to know the required retention period of, or you require further advice, contact Records and Digitisation Services on 1800 359 140 or archives.records@education.vic.gov.au

Records storage and access

Schools must have systems and processes for managing electronic and hardcopy records to ensure the authenticity, security, reliability and accessibility of these records.

All records must be stored in safe and secure locations to ensure their integrity and accessibility. Permanent records must be stored in conditions that ensure their long-term preservation. Schools may contact Records and Digitisation Services to arrange the transfer of permanent records and historic records to the State Archives if no longer needed.

Records destruction

Schools must not dispose of:

• any records that are reasonably likely to be required in a legal proceeding
• any record that may be required for a current Freedom of Information request
• permanent records or records that are of historic value (for example, records created in the 1800s or school anniversary publications).

Schools may dispose of temporary records that have reached the required retention period (the minimum period the records must be kept for before they can be legally destroyed). The principal must approve the disposal in writing to provide evidence of the disposal activity.

Some records created through normal administrative practice may be destroyed without approval once administrative use has ended. These records include:

• working papers
• drafts
• duplicate copies of records stored elsewhere
• short-term facilitative records (such as phone messages)
• unsolicited ‘junk mail’.

Schools must securely dispose of records and ensure electronic and hardcopy records are destroyed in a way that ensures the records are unreadable and irretrievable. The department recommends the use of secure disposal bins for hardcopy records.

The School Records Retention Guide outlines how long different types of records need to be kept to assist you in assessing if records are ready for destruction.

Definitions

Normal Administrative Practice
Working papers, drafts, duplicate copies of records stored elsewhere, short-term facilitative records (such as phone messages), and unimportant records such as unsolicited ‘junk mail’ which may be destroyed without approval once administrative use has ended.

Permanent records
A public record with enduring value to the Victorian community that must be transferred to the State Archives when no longer needed by the school.

Public records
Work-related records in any format or media made or received by staff or volunteers in Victorian government schools.

Temporary records
A public record that is required to be kept for a specific period of time for legislative or other requirements, before it can be destroyed.

Related policies

• Freedom of Information
• Privacy and Information Sharing

Relevant legislation

• Accident Compensation (OHS) Act 1996 (Vic)
• Crimes Act 1958 (Vic)
• Child Wellbeing and Safety Act 2005 (Vic)
• Child Wellbeing and Safety (Information Sharing) Regulations 2018 (Vic)
• Education and Training Reform Act 2006 (Vic)
• Equal Opportunity Act 2010 (Vic)
• Evidence Act 2008 (Vic)
• Family Violence Protection Act 2008 (Vic)
• Family Violence Protection (Information Sharing and Risk Management) Regulations 2018 (Vic)
• Financial Management Act 1994 (Vic)
• Freedom of Information Act 1982 (Vic)
• Health Records Act 2001 (Vic)
• Privacy and Data Protection Act 2014 (Vic)
• Public Administration Act 2004 (Vic)
• Public Records Act 1973 (Vic)

Records Management Guidance for Schools

This guidance contains the following chapters:

• Common school records and retention periods
• Records that do not need to be archived — Normal Administrative Practice
• Best practice archiving — hardcopy records
• Destruction of ‘time-expired’ records
• Records management support for schools

Common school records and retention periods

For a list of common school record types and their minimum retention periods, refer to:

• School records retention quick reference guide (staff login required)

For a full list of school record types and their minimum retention periods, refer to:

• School records retention guide (staff login required)

Records that do not need to be archived – Normal Administrative Practice

Not all records need to be archived. Some records can be destroyed without following your school’s formal destruction process to obtain approval from your principal. These records fall under a category known as Normal Administrative Practice (NAP).

NAP records include:

• working documents consisting of rough notes and calculations used only to assist in the preparation of other records such as correspondence and reports. For example, handwritten attendance rolls subsequently captured in CASES21.
• records of short term, temporary value. For example, a reminder note or list of things to do.
• additional copies of documents, emails and publications maintained for reference purposes. For example, duplicate copies of School Council papers.

Consider the following before you destroy a record:

• Is there any further administrative need to retain the record?
• Are others still using the record?
• If you believe it is just a duplicate copy, locate the original record prior to destroying the copy.
• Use a secure (locked) recycle bin to destroy NAP records that contain personal or sensitive information.

Refer to the chapter on Destruction of ‘time-expired’ records for guidance on how to formally dispose of records that are not considered to be NAP records.

Best practice archiving – hardcopy records

The following steps will help you when archiving your school’s hardcopy (paper) records.

Step 1 – Sort records

Sort records by type. For example

• put all finance records together in one box
• put all school excursion permission slips together in a different box.

This will make it easier to find and dispose of the records.

To help you sort common school records by type, refer to:

• School records retention quick reference guide (staff login required)

This quick reference guide is a poster you can print out and display for easy access. If you print out, be sure to keep updated with the latest version as the content may change from time to time.

Step 2 – Arrange records in boxes

Arrange the records in their box in an order appropriate to each record type. For example:

• arrange finance records by financial year in date order
• arrange student files by year of exit then alphabetically by surname
• arrange parent permission forms for camps and excursions together with other documents related to that event by year
• arrange personnel files by year of exit then alphabetically by surname
• arrange school council meeting papers by month and year.

Step 3 – Label and list boxes

Label the boxes with the record type and relevant year, for example, ‘Finance – batch reports – 2018-19’, or ‘Student files – exit 2019’.

Make a list of your archived boxes, capturing the same information you recorded on the box labels. Keeping a list of your records will help you find records easily when needed and dispose of them in a timely way.

Archiving tips

• Regularly archive records, at least once a year.
• Only archive inactive records, that is, records you no longer need ready access to.
• Only archive single copies of documents – you may dispose of duplicates without formal approval under ‘Normal Administrative Practice’.
• Remove records from binders, clips and plastic sleeves where possible – these take up extra space in archive boxes and make later disposal more time consuming.
• Use paper or manila folders to separate records where necessary.
• Use good quality archive boxes made of sturdy cardboard that include a double layer of cardboard on the bottom to prevent collapse. Use A1, or half-size, archive boxes to prevent boxes becoming too heavy.
• Do not over fill boxes. This can make them unsafe to lift and cause damage to boxes so they do not last as long.

For a list of common school record types that must be archived, refer to:

• School records retention quick reference guide (staff login required)

For a full list of school record types that must be archived, refer to:

• School records retention guide (staff login required)

Destruction of ‘time-expired’ records

Note: School principals must approve destruction of time-expired records.

Step 1 – Identify ‘time-expired’ records

Records become ‘time-expired’ if they have passed the ‘minimum retention period’ and are no longer required by your school. For example, the minimum retention period for finance batch reports is 7 years. Batch reports from the 2012 to 13 financial year ‘expired’ in July 2020. If the school no longer needs them and the principal approves their destruction, they may be securely destroyed.

For a list of common school record types and their minimum retention periods, refer to:

• School records retention quick reference guide (DOCX) (staff login required)

For a full list of school record types and their minimum retention periods, refer to:

• School records retention guide (XLSX) (staff login required)

Step 2 – Prepare records for destruction

Create a list of records for destruction. The list should include a brief description of the records proposed for destruction and the appropriate record classification.

For a full list of school record types, their minimum retention periods and record classification, refer to:

• School records retention guide

Step 3 – Get principal approval to destroy records

Provide the list of records for destruction to your principal and obtain their approval to destroy the records.

Save the principal’s approval to destroy the records. This should be saved with other documents relating to the management of your school’s records, for example, in the same digital folder or location as your records listing/s.

For a pro-forma email to send to your principal, refer to:

• Records destruction pro-forma email (DOCX) (staff login required)

Step 4 – Destroy records

Securely destroy the records using a secure (locked) recycling bin.

Keep a list of all the records you have destroyed, including the date the destruction took place. This should be saved with other documents relating to the management of your school’s records, for example, in the same folder or location as your records listing/s.

Records management support for schools

Advice and services

The department’s Records and Digitisation Services team provides records management advice and services to schools including:

• advice on how to apply the Records Management policy, guidance and resources in your school
• transferring permanent school records to the State Archives
• managing records from closed and merged schools, including transferring records to off-site storage or the State Archives.

Schools Records Management Program

The department’s Records and Digitisation Services team are currently running a Schools Records Management Program to support schools to better manage their records.

Schools that participate in the program receive:

• assistance from specialist archivists and support staff to organise school records
• collection, digitisation and transfer of historic records to the State Archives
• support to dispose of time-expired records.

Places in the program are limited. Contact the Records and Digitisation Services team for information on participating in the program.

Further information

Contact the Records and Digitisation Services team on 1800 359 140 or at archives.records@education.vic.gov.au

Resources

The School records retention guide (XLSX) (staff login required) has been developed to support school staff to understand how long specific records need to be kept for and to support the legal disposal of records that have passed the required retention period. This guide covers all retention requirements schools need to know, based on the various retention and disposal authorities issued by the Public Record Office Victoria.