- Governing policy
These procedures give effect to the Records Management Policy and the Privacy Policy, establishing retention timeframes and defining areas of responsibility for formal records within the Institution. The retention and disposal authority serves to identify records created and maintained by the Institution while authorising their destruction once the minimum retention periods have been met. These procedures are guided by the New South Wales government’s General Retention and Disposal Authorities: GA47 and GA28. While the Institution is not legally required to adhere to these instruments, they serve as a valuable best practice framework for shaping these procedures.
- Scope
These procedures apply to all staff, contractors, and affiliates handling records (physical or electronic) including, but not limited to:
- student enrolment, progression, and qualifications
- academic integrity
- governance, finance and human resources
- complaints, misconduct, and critical incidents
- Procedures
Access
3.1. The Institution recognises its obligations under privacy legislation and therefore facilitates access to an individual’ records and personal information upon request and in a timely manner.
3.2. To request access, students must contact Student Services (students) and staff must contact the Vice President (People and Training) via email. Approval is then sought from the responsibility outlined in these procedures.
3.3. Access to records and personal information is authorised as per the responsibility outlined in these procedures.
3.4. Records are provided directly to the individual concerned, only after identity verification through photo identification.
Storage
3.5. All records and personal information created and collected after 2019 are stored in electronic format.
3.6. Records and personal information created and collected prior to 2019 may either be physical or electronic format.
3.7. All physical records are secured using locked filing systems or office security. All electronic records are password protected with encryption.
Retention and disposal
3.8. The tables 1-6 below outline minimum retention periods by record category. Records that exceed specified retention periods may be kept longer periods. Otherwise, they are disposed of in a secure and confidential manner.
Table 1 – Accreditation and governance – primary responsibility – Chief Quality Officer
| Record category | Retention | Responsibility | Compliance requirement / good practice source |
| Curriculum development and approval | |||
Final approved versions of curricula. Includes:
|
Minimum of 10 years | Chief Quality Officer | Good practice source:
GA47: The General retention and disposal authority: higher & further education and research (GA47) |
| Records relating to the development, review and/or approval of the curriculum. Includes correspondence, reference/advisory/industry groups, records of working parties and notes, and committee records. | Minimum of 10 years after superseded | Chief Quality Officer | GA47 |
| Records relating to successful or unsuccessful external accreditation of courses by professional or registration bodies. Includes letter/notification of outcome of accreditation processes. | Minimum of 10 years after expiry of accreditation or until action completed, whichever is longer | Chief Quality Officer
|
GA47 |
| Records generated to support compliance with agreed accreditation obligations. | Minimum of 5 years after action completed | Chief Quality Officer | GA47 |
| Governance | |||
| Final, approved versions of policies, procedures and rules governing the Institution including final approved versions of Governance Charter, Delegations of Authority and the Quality Assurance Framework | Minimum of 5 years after superseded | Chief Quality Officer
|
GA47 |
| Records of final formal committee minutes, agendas and papers | Minimum of 30 years | Chief Quality Officer
and Vice President (Finance) – for Board of Directors only
|
GA47 |
| Records relating to the development and review of internal/processes relating to core and administrative functions including processes, manuals, forms etc developed by business units to facilitate day-to-day operations. | Until administrative or reference use ceases | All through governance reporting | GA47 |
| Records relating to the conduct of elections for membership of governing or student bodies, committees, etc. Includes management of electoral rolls, advertising, balloting, nominations, notices, papers, results, scrutineers, tally sheets, etc. | Minimum of 1 year after action completed | Associate Vice President (Campus and Operations) | GA47 |
| Records relating to human ethics applications, assessment and approval of research. | Minimum of 15 years after action completed, then destroy | Associate Dean (Scholarship) | GA47 |
| Accreditation | |||
| Records relating to the registration of the Institution as an education institute. | Minimum of 7 years after the Institution ceases to operate as an institute of higher education. | Chief Quality Officer
|
GA47 |
Table 2 – Student records – primary responsibility – Pro Vice Chancellor (PVC) (Employability) and Registrar
| Record category | Retention | Responsibility | Compliance requirement / good practice source |
| Admissions, enrolment and progression | |||
| Records relating to the admission (including offers), enrolment and subsequent progress of students (including, for example, special considerations affecting enrolment and progression, variations of courses, advanced standing, withdrawals, etc.) | Minimum of 7 years after completion or discontinuation of course by student | PVC (Employability) and Registrar | Good practice source:
GA47: The General retention and disposal authority: higher & further education and research (GA47) |
| Records applications for admission that were unsuccessful or did not proceed (e.g. offers which were not accepted, or have lapsed, and unsuccessful, incomplete, withdrawn applications, etc.) | Until appeal period has expired or minimum of 1 year after action completed, whichever is longer | PVC (Employability) and Registrar | GA47 |
| Working with children check has been completed for staff and students undertaking studies involving contact with children | Minimum 99 years after action completed | Vice President (People and Training) | GA47 |
| Records of all written agreements as well as receipts of payments made by students under the written agreement.
|
Minimum 2 years after the person ceases to be an accepted student | PVC (Employability) and Registrar | ESOS/National Code |
| Records of student details | Minimum 2 years after the person ceases to be an accepted student | PVC (Employability) and Registrar | ESOS |
| Records of all requests from international students for a release to another institute and the assessment of, and decision regarding, the request. | Minimum 2 years after the person ceases to be an accepted student | PVC (Employability) and Registrar | ESOS/National Code |
| Records of the written record of acceptance of advanced standing granted to a student | Minimum 2 years after the person ceases to be an accepted student | PVC (Employability) and Registrar | ESOS/National Code |
| International representatives | |||
| Records for each accepted student if their enrolment was facilitated by an International Representative and retain the details as specified in the ESOS Regulations. | Minimum of 2 years after the person ceases to be an accepted student | PVC (Employability) and Registrar | ESOS/National Code |
| Results and graduation | |||
| Records relating to the grading/marking of individual assessment components of a subject or course and determination of final results/grades. Including examiners/assessor’s reports /records for the review of student assessment results / requests for extension of assessment components for a subject / special consideration arrangements. | Minimum of 2 years after the person ceases to be an accepted student | Vice President (Employability) and Registrar | GA47 |
| Records relating to changes to assessment results as a result of moderation, re-marking or appeal by the student. | Minimum of 7 years after action completed (this includes the end of appeal processes and any subsequent appeal rights) | PVC (Employability) and Registrar | GA47 |
| Records confirming the award/receipt of a qualification. | Indefinite | PVC (Employability) and Registrar | GA47 |
| Finalised results obtained by students, where the results are generated as an outcome of some form of assessment. | Minimum of 30 years | PVC (Employability) and Registrar | GA47 |
| Records relating to arrangements for graduation and determination and notification of students of their eligibility to graduate (including, for example, order of proceedings and uncollected testamurs). | Minimum of 1 year | PVC (Employability) and Registrar | GA47 |
| Student exchange / study abroad | |||
| Records relating to the processing of applications received for exchange student placements or study abroad. | Minimum of 2 years after action completed | PVC (Employability) and Registrar | GA47 |
| Complaints, appeals and misconduct | |||
| Records relating to the management of proven and unproven cases involving allegations of abuse or neglect of children (including, for example, enquiries and investigations, outcomes, and matters referred to external bodies for investigation). | Minimum of 99 years after action completed | Student Success Centre Manager | GA47 |
Records relating to the management of proven and unproven student complaints, appeals misconduct and disciplinary cases. Including:
|
Minimum of 7 years after action completed | Chief Operations Officer | GA47 |
| Records relating to preliminary/fact finding investigations that were not formally proceeded with (i.e. the allegations have been found to be unsubstantiated, false, vexatious or misconceived or could not be proven) and the accusation has not involved a child or a young person. | Minimum of 1 year after action completed | Chief Operations Officer | GA47 |
[1] Refer to the Education Services for Overseas Students Act (21(2)) and the Education Services for Overseas Students Regulations 2019 Regulations for further information on student details.
Table 3 – Learning and teaching and student support – primary responsibility – DVC (Learning and Teaching)
| Record category | Retention | Responsibility | Compliance requirement / good practice source |
| Attendance | |||
| Records relating to the management of student attendance for teaching and assessment activities such as examinations, assessment activities, classes, tutorials e.g. attendance lists, sick leave forms and medical certificates. | Until at least until end of appeal period | PVC (Employability) and Registrar | Good practice source:
GA47: The General retention and disposal authority: higher & further education and research (GA47) |
| Course delivery | |||
Records relating to course delivery, including subject resources, material used in course delivery, and quality assurance. Includes:
|
Retain until no longer required for teaching or other purposes | DVC (Learning and Teaching) | GA47 |
| Subject outlines
|
Minimum of 10 years | ||
| Assessment | |||
| Student examination/assessment scripts or items e.g. examination papers completed by students, examination manuscripts and assignments. Includes any work submitted or completed by students for the purposes of assessment or evaluation by examinations (written or oral) /assignments / theses / field work reports / presentation / works of art | Minimum 2 years after the completion date of the subject. | DVC (Learning and Teaching) | GA47 |
| Records relating to the assessment of courses of study such as work integrated learning placements where the number of hours completed and proof of satisfactory performance may be required for accreditation purposes. | Minimum of 50 years after completion of course of study | DVC (Learning and Teaching) | GA47 |
| Assessment committee records and records of reviews of individual assessments | Minimum of 1 year after action completed | DVC (Learning and Teaching) | GA47 |
| Records relating to administrative arrangements for the conduct of examinations and other assessment activities, including supervision, timetabling, eligibility, provision of materials and objections to taking part in an assessment/examination, liaison with placement providers. | Until administrative or reference use ceases | DVC (Learning and Teaching) | GA47 |
| Student examination/assessment scripts or items e.g. examination papers completed by students, examination manuscripts and assignments. Includes any work submitted or completed by students for the purposes of assessment or evaluation by examinations (written or oral) /assignments / theses / field work reports / presentation / works of art | Minimum 2 years after the completion date of the subject. | DVC (Learning and Teaching) | GA47 |
| Student support | |||
Records relating to the establishment, negotiation, maintenance and review of agreements to provide and operate services to students, etc. Records include:
|
Minimum of 7 years after expiry or termination of agreement or after action completed, whichever is later | President and Managing Director (President) | GA47 |
| Records relating to the provision of special needs and accessibility services (e.g. interpreters, reading assistance for sight impaired students, disabled access, etc.,) and other tailored advisory or study support services and assistance to individual students | Minimum of 7 years after a student has completed their course of study | Student Success Manager | GA47 |
| Records relating to unsuccessful applications for student support services. | Minimum of 1 year after action completed | Student Success Manager | GA47 |
| Records relating to the provision and administration of residential accommodation and placement services for students; careers, employment and general services; mentoring, peer networking services, etc. | Retain minimum of 2 years after action completed | Chief Operations Officer | GA47 |
| Records relating to the interaction between the Institution and student associations such as sporting clubs, special interest groups etc. | Retain minimum of 7 years after action completed | Associate Vice President (Campus and Operations) | GA47 |
| Records relating to liaison between the Institution and service providers where the service is not provided directly by the Institution. For example, student accommodation, medical and dental services. | Retain minimum of 5 years after action completed | Student Success Manager
Chief Operations Officer |
GA47 |
| Records relating to the provision of counselling by a professional counsellor (including case files). | Retain minimum of 7 years after action completed or until the person reaches the age of 25, whichever is longer | Student Success Manager | GA47 |
| Library | |||
| Records relating to the provision of library borrowing and usage rights (including the imposition of fines or other penalties) | Minimum of 1 year after action completed | Library Services Manager | GA47 |
Table 4 –Finance – primary responsibility – Vice President (Finance)
| Record category | Retention | Responsibility | Compliance requirement / good practice source |
| Commercial activities and services | |||
Records relating to the management of commercial ventures and services. Includes the provision of consultancies and other professional services. Includes:
|
Retain minimum of 7 years after provision of services ceased or minimum of 7 years after all terms and conditions of contract are satisfied, whichever is longer | President | GA47 |
| Records relating to commercial ventures and services that did not proceed or where the tender/expression of interest, etc., was unsuccessful. | Minimum of 2 years after action completed | President | GA47 |
| Financial records | |||
| Receipts of payments made by a student | Minimum of 2 years after the person ceases to be an accepted student | Vice President (Finance) | ESOS/National Code |
| Records of each accepted student who has paid tuition fees for a course and retain the details as specified in the ESOS Regulations. | Minimum of 2 years after the person ceases to be an accepted student | Vice President (Finance) | ESOS/National Code |
| Records relating to the provision of financial assistance services (loans, FEE-HELP/HECS-HELP, bursaries, etc.), to individual students | For FEE-HELP/HECS-HELP, destroy after 7 years after last action.
For all other financial assistance records, minimum of 5 years after action completed. |
Vice President (Finance) | National Archives and Records Authority- Department of Education, Employment and Workplace Relations |
| Records documenting the organisation’s financial transactions. Includes revenue, expenditure, debt recovery and deposits. | Retain minimum of 7 years after end of financial year in which transaction was completed. | Vice President (Finance) | Good practice source:
GA28: The General retention and disposal authority: administrative records (GA28) |
| Records relating to the establishment and management of bank accounts. Includes the closure of accounts. | Retain minimum of 7 years after account closed. | Vice President (Finance) | GA28 |
| Records relating to bank guarantees/securities. | Retain until matter completed, then return to applicant or bank. | Vice President (Finance) | GA28 |
| Records relating to the management of incidental benefits received by employees in the course of their official duties. | Retain minimum of 7 years after action completed. | Vice President (Finance) | GA28 |
Records relating to the assessment and payment of taxation. Includes income tax, fringe benefits tax (FBT), goods and services tax (GST), payroll tax, and pay as you go (PAYG) withholding. Records include:
Note: If the records form the primary record of the organisation’s financial transactions they should be retained for a minimum of 7 years. |
Retain minimum of 5 years after end of financial year in which record was created. | Vice President (Finance) | GA28 |
| Records containing sensitive cardholder authentication data captured as part of an electronic financial transaction. | Retain until transaction completed, then destroy. | Vice President (Finance) | GA28 |
| Records containing cardholder data captured as part of an electronic financial transaction including information printed, processed, transmitted or stored in any form on a payment. Information may include, but is not limited to, Primary Account Number (PAN), cardholder name, expiry date, service code. | Retain minimum of 3 months after last business, legal and/or regulatory action, then destroy. | Vice President (Finance) | GA28 |
| Records relating to the establishment, negotiation, maintenance and review of agreements regarding management of the organisation’s financial resources e.g. supplier contracts. | Retain minimum of 7 years after expiry or termination of contract or agreement. | Vice President (Finance) | GA28 |
| Registers documenting the assets and/or accountable items in the possession of the organisation. | Retain minimum of 7 years after asset is disposed of. | Vice President (Finance) | GA28 |
| Records relating to audits of the organisation’s accounts or financial management records, systems and processes. | Retain minimum of 6 years after action completed. | Vice President (Finance) | GA28 |
| Records relating to the development and review of budgets. | Retain minimum of 6 years after preparation. | Vice President (Finance) | GA28 |
| Records relating to the organisation’s spending progress or revenue collection against allocations within the budget estimates. | Retain minimum of 2 years after end of financial year in which record was created. | Vice President (Finance) | GA28 |
| Records relating to the organisation’s compliance with mandatory or optional standards or with statutory requirements regarding financial management, e.g. HITS, TPS & PIR. | Retain minimum of 7 years after registration lapses or is superseded, or action completed. | Vice President (Finance) | GA28 |
| Records relating to specific instances of theft, fraud, misappropriation or negligence. | Retain minimum of 10 years after action completed | Vice President (Finance) | GA28 |
| Records relating to the preparation and review of financial statements and summaries. Includes annual statements of assets and liabilities, balance sheets, profit and loss statements, operating statements of financial position and cash flow statements. | Retain minimum of 7 years after end of financial year in which record was created. | Vice President (Finance) | GA28 |
| Periodic interim financial statements and summaries prepared for management on a regular basis, e.g. weekly or monthly. | Retain minimum of 1 year after end of financial year in which record was created. | Vice President (Finance) | GA28 |
| Records relating to the organisation’s policies for the management of financial resources, including policies on treasury management and accounting e.g. refund policies. | Retain minimum of 7 years after policy is superseded. | Vice President (Finance) | GA28 |
| Records relating to manuals, handbooks, directives etc detailing the organisation’s procedures for the management of financial resources, including procedures for treasury management and accounting. | Retain minimum of 7 years after procedures are superseded. | Vice President (Finance) | GA28 |
| Records relating to reports regarding the management of the organisation’s finances, e.g. yearly premium renewals for insurance policies. | Retain minimum of 7 years after action completed. | Vice President (Finance) | GA28 |
| Records documenting the payment of wages to employees.
This includes employee contracts, time sheets and contract variations, leave payments, maternity pay & salary sacrifice records. |
Retain minimum of 7 years after end of financial year in which record was created. | Vice President (Finance) | GA28 |
| Records relating to operations, and individual appropriations, borrowings, investments and loans to other organisations or individuals. | Retain minimum of 7 years after end of financial year in which transaction was completed. | Vice President (Finance) | GA28 |
Table 5 – Scholarships – primary responsibility – Chair ICMS Scholarships
| Record category | Retention | Responsibility | Compliance requirement / good practice source |
| Scholarships and prizes | |||
| Records relating to the management and delivery of scholarships and prizes (including, for example, applications, nominations, acceptances, unsuccessful candidates, rejected or lapsed offers). | Minimum of 7 years after action completed | Chair, ICMS Scholarships | Good practice source:
GA47: The General retention and disposal authority: higher & further education and research (GA47) |
| Summary records of recipients of scholarships and prizes | Minimum of 7 years after action completed | Chair, ICMS Scholarships | GA47 |
| Records relating to the establishment and conditions of scholarships and prizes (including, for example, terms and conditions). | Minimum of 7 years after action completed | Chair, ICMS Scholarships | GA47 |
Table 6 – Human Resources and Work, Health and Safety – primary responsibility – Vice President (People and Training)
| Record category | Retention | Responsibility | Compliance requirement / good practice source |
| Critical Incidents | |||
| Written records of any critical incident and remedial action taken by the Institution | Minimum of 2 years after the person ceases to be an accepted student | Chief Operations Officer | ESOS/National Code |
| Human Resources and Work, Health and Safety | |||
| Records relating to the provision of advice and assistance to employees about employment conditions, career, personal matters, trauma, finances, salaries, superannuation etc. Includes orientation advice for new employees and rehabilitation or return to work assistance not related to a compensation case. Records include notes, reports, etc. | Retain minimum of 7 years after action completed. | Vice President (People & Training) | GA28 |
| Records relating to the implementation of employee assistance/counselling programs or schemes, such as career or trauma counselling programs. Includes program plans and reports. | Retain minimum of 7 years after action completed. | Vice President (People & Training) | GA28 |
| Records documenting formal and informal grievances lodged by an employee, including those referred to an external body. Includes notes of meetings, reports and recommendations. | Retain minimum of 7 years after action completed. | Vice President (People & Training) | GA28 |
Records relating to the management of instances or allegations of misconduct involving abuse or neglect of children. Records include:
|
Retain minimum of 100 years after action completed. | Vice President (People & Training) | GA28 |
Records relating to the management of instances or allegations of misconduct (not involving abuse or neglect of children) where an investigation is conducted. Records include:
|
Retain minimum of 10 years after action completed. | Vice President (People & Training) | GA28 |
| Records relating to the management of instances or allegations of misconduct where no follow-up investigation is conducted. | Retain minimum of 7 years after action completed. | Vice President (People & Training) | GA28 |
| Records relating to the administration and implementation of performance management programs, including recognition schemes for employees. Includes routine or periodic awards to employees in recognition of service. | Retain minimum of 10 years after action completed. | Vice President (People & Training) | GA28 |
| Records relating to the assessment, evaluation and review of an employee’s performance. Includes performance agreements and development plans, reports on performance assessments, evaluations and reviews, performance counselling, etc. | Retain minimum of 3 years after superseded. | Vice President (People & Training) | GA28 |
Records relating to the filling of vacancies. Includes unsuccessful applications for a position or offers of employment which are not accepted. Includes:
|
Retain minimum of 2 years after recruitment finalised. | Vice President (People & Training) | GA28 |
| Records relating to reports regarding the management of personnel, e.g. workforce profile reports e,g. Gender Equality Reports | Retain minimum of 5 years after action completed. | Vice President (People & Training) | GA28 |
Records relating to incidents that result in serious personal injury or incapacity to employees. Records include:
|
Retain minimum of 75 years after action completed. | Vice President (People & Training) | GA28 |
Records relating to incidents that results in the death of employees. Records include:
|
Retain minimum of 25 years after date of death or minimum of 7 years after action completed, whichever is longer. | Vice President (People & Training) | GA28 |
Records relating to incidents involving employees that do not result in death, serious personal injury or incapacity to employees. Records include:
|
Retain minimum of 25 years after action completed. | Vice President (People & Training) | GA28 |
Records relating to incidents involving members of the public, including work experience students and volunteers or other persons who are not employees. Records include:
|
Retain minimum of 15 years after action completed or until expiry of statutory limitation periods, whichever is longer. | Vice President (Finance) | GA28 |
| Copies or details of records of all incidents and/or hazards in an organisation kept or compiled together for occupational health and safety assessment or monitoring purposes. | Retain until administrative or reference use ceases. | Vice President (People & Training) | GA28 |
Records relating to arrangements for employee attendance on training courses for staff development purposes. Records include:
|
Retain minimum of 2 years after action completed. | Vice President (People & Training) | GA28 |
| Notices of assessment or examination results of internally conducted training or sent to the organisation by external training providers. | Retain minimum of 7 years after action completed. | Vice President (People & Training) | GA28 |
| Records relating to participant evaluations of internally and externally conducted courses. | Retain minimum of 1 year after action completed. | Vice President (People & Training) | GA28 |
Final, approved versions of training material for courses run internally by the organisation for their employees, e.g. induction, graduate training, volunteer training. Records include:
|
Retain until course or training material is superseded. | Vice President (People & Training) | GA28 |
| Records relating to the development of training materials for courses run internally by the organisation for their employees. | Retain until administrative or reference use ceases. | Vice President (People & Training) | GA28 |
Records relating to administrative arrangements for conducting training courses, or attendance at workshops, seminars etc. Records include:
|
Retain until administrative or reference use ceases. | Vice President (People & Training) | GA28 |
Approved by EMG on 15 August 2025