1. 9 Things you had wished you had known about compliance… Today’s Program 1.Welcome – Stephen Young, Information Services Strategy Office and University Copyright Officer 2.Records retention and disposal (emphasis examination script books) – Catherine Nicholls and Lucinda Davies 3.Internal Audit – Louise Fastuca 4.Crimes Act – Lesley Williams 5.Copyright (emphasis on course packs) – Helen Thomson 6.Conclusion – Catherine Nicholls

2. 9 Things you had wished you had known about compliance… Records retention and disposal (emphasis examination script books) Catherine Nicholls and Lucinda Davies

3. Records Retention and Disposal Update Catherine Nicholls & Lucinda DaviesRecords Services Introduction to Disposal What is disposal? Disposal is a ‘jargon’ word we recordkeepers like to use…essentially it’s the practice of determining what records can be kept (and for how long) and what records can be turfed (and when can they be turfed).

4. Records Retention and Disposal Update Catherine Nicholls & Lucinda DaviesRecords Services What does “Disposal” mean for you? Our disposal schedules are available here http://www.unimelb.edu.au/records/rmp/disposal.html

5. Examination Script Books, Marking Guides and Disposal Changes have been made to two University Disposal Schedules as a result of an external investigation. A situation occurred where an examination script book and supporting material had been destroyed prematurely There were consequences and we have since altered our schedules to provide more clarity Lucinda Davies Records Retention and Disposal Update Records Services

6. 2 Things to remember….. Lucinda Davies Records Retention and Disposal Update Records Services

7. Lucinda Davies Records Retention and Disposal Update Records Services DISPOSAL CLASSDISPOSAL ACTION ENTRYSUBJECT/ACTIVITYRETENTION/ DESTRUCTION CUSTODY/ TRANSFER PRIME SOURCE 38.7Supporting material that documents how assessments recorded on examination script books lead to a student’s final grade in a subject. Includes: Protocols for ensuring consistency of grading approaches in the case of multiple examiners (including the use of marking guides and double- marking regimes) Protocols for ensuring compliance with requirements concerning Fail results in accordance with Statute 12.3.8 and Regulation 12.3.9.R1 Marking guides used in the assessment process Records of original assessment outcomes and any scaling and adjustment processes used to translate raw assessment outcomes into final subject marks. Destroy 6 months after results published, or where the examination result is subject to an appeal, complaint, grievance or investigation; then destroy 6 months after finalisation of appeal, complaint, grievance or investigation. Retain in department or school until destroyed Academic Departments and Schools Records Disposal Schedule No. 18 – Academic Departments and Schools

8. Lucinda Davies Records Retention and Disposal Update Records Services ENTRYCLASS/ACTIVITYDISPOSAL ACTIONCUSTODY/TRANSFER 16.1Exam Script Books - Subject to Appeal, Complaint, Grievance or Investigation Destroy 6 months after results published Destroy 6 months after finalisation of appeal, complaint, grievance or investigation Academic Departments Records Disposal Schedule No. 17 – Student Records

9. Correct way to destroy records Lucinda Davies Records Retention and Disposal Update Records Services

10. 9 Things you had wished you had known about compliance… Internal Audit Louise Fastuca

11. Topics for today –Travel & FBT Requirements –Corporate cards –Research Contracts –Financial Management –Outside Work/Conflicts of interest –Fraud Louise Fastuca Compliance & Internal Audit

12. Travel & FBT requirements Itinerary & Diary Compliance with ATO EHS Risk Assessment http://www.unimelb.edu.au/finops/resources/travel/index.html, for specifics on travel diary requirements http://www.unimelb.edu.au/finops/resources/travel/index.html http://www.unimelb.edu.au/audit/ - contact us for example travel diaries.http://www.unimelb.edu.au/audit/ Louise Fastuca Compliance & Internal Audit – how does it fit?

13. Corporate Card Authorisation Appropriate use Adequate supporting documentation http://www.unimelb.edu.au/FinPPM/12.html Louise Fastuca Compliance & Internal Audit

14. Research Contracts Terms & Conditions Milestones Budgets Compliance with Contract Law http://www.research.unimelb.edu.au/, Melbourne Research Officehttp://www.research.unimelb.edu.au/ http://www.unimelb.edu.au/Statutes/r171r8.html, Code of Conduct for Researchhttp://www.unimelb.edu.au/Statutes/r171r8.html Louise Fastuca Compliance & Internal Audit

15. Financial Management Monitoring & Reporting Invoicing, long outstanding debts leading to write- offs Impact on financial viability http://www.unimelb.edu.au/ExecServ/Statutes/pdf/r171r6.pdf, University Statute re: Management and Good Governancehttp://www.unimelb.edu.au/ExecServ/Statutes/pdf/r171r6.pdf Louise Fastuca Compliance & Internal Audit

16. Outside Work Conflicts of interest Hindrance to correct decision making Reputation of individual Calls into question bias and favouritism http://www.unimelb.edu.au/ppp/docs/13.htmlhttp://www.unimelb.edu.au/ppp/docs/13.html, Outside Work policy Louise Fastuca Compliance & Internal Audit

17. Fraud Internal Audit web site; –http://www.unimelb.edu.au/audit/advice/, provides fraud brochurehttp://www.unimelb.edu.au/audit/advice/ IA can assist Self Assessment – be proactive http://www.unimelb.edu.au/audit/advice/Fraud Risk Template v5.xls, provides a self assessment document.http://www.unimelb.edu.au/audit/advice/Fraud Risk Template v5.xls Louise Fastuca Compliance & Internal Audit

18. Thank you! Contact details:http://www.unimelb.edu.au/audithttp://www.unimelb.edu.au/audit Louise Fastuca Compliance & Internal Audit

19. 9 Things you had wished you had known about compliance… Crimes Act Lesley Williams

20. Lesley F. Williams Crimes Act Records Services Disclaimer The legislation (what is it?) How did this legislation come about? Arthur Anderson / Enron Rolah McCabe v BAT (British American Tobacco) How does the Act apply to the University of Melbourne? Further information and link to: Public Records Office of Victoria, Advice No. 18. Crimes (Document Destruction) Act 2006: Implications for government recordkeeping http://www.prov.vic.gov.au/publications/publns/PROVRMAdvice18.pdf http://www.prov.vic.gov.au/publications/publns/PROVRMAdvice18.pdf

21. 9 Things you had wished you had known about compliance… Copyright (emphasis on course packs) Helen Thomson

22. Copyright Act allows us to reproduce material for educational purposes Textual material such as books, journal articles, sheet music, plays etc. Images – photographs, graphs, diagrams etc. Conditions & limits do apply: Limit amount copied  Books, sheet music, plays etc – 10% or 1 chapter whichever is greatest  Journal Articles – 1 article from a journal issue, 2 or more from the same issue if for the same subject  Images – whole image if not separately available. Ensure copying is for educational purposes Attribute all sources with a full citation - respect author/creator’s moral rights Compile with marking requirements Helen Thomson Creating Course Packs Copyright Office

23. http://readings-online.unimelb.edu.au / Readings Online Copyright Office Academic makes a request Check if available online - if yes link Check if conflicting resource already online SourceDigitizePut online

24. © Copyright The University of Melbourne 2007