Recordkeeping Manual - Access and Security
- Who has access to what?
- What records should be securely stored?
- What security measures should we implement?
- What if I note a breach in access or security to our records?
- What do I do if I need access to information not normally accessible?
- Can I access my personal file?
- Can staff access their official or unofficial (area) staff file?
- Can students access their student file?
- Can I access archives?
- Contacts
Access to University records is usually only open to staff of the University but at times access to others is permissible. There is no real general rule to cover all records of the University as there are many different types of records that are available and created every day that have different security levels.
However the University does take privacy seriously and as such the records of people, such as staff, students and even clients must at all times be treated confidential. There are a number of policies and procedures within the University that cover access to specific record types such as Student and Staff records, but there are also other documents that describe access conditions as well, for example the University Enterprise Bargaining Agreements for staff have section within them covering access to records. There is also the Privacy Act, although not obligated to the Act the University does however voluntary adopt its principles to ensure records are protected from unauthorised use.
There are also many committees of the University that will deliberate about many topics, some of these are for open discussion while many others are for closed and member only discussion, at least while the topic at hand is being dealt with.
Staff are simply requested to ensure that they read up on the relevant university polices and procedures to ensure they have the necessary knowledge to understand the access provisions to specific record types.
Staff have a responsibility to ensure information is maintained and kept secure and as part of that process all staff are required on commencement of employment with the University to sign a confidentiality agreement to not disclose information without authorisation, this is part of the access provisions of the University.
In general within each Division/School/Department etc staff are required to ensure all records held are not accessible to anyone that would not normally have authorised access to them. Records should not at any time be left unattended without being able to be locked away or secured in some way to inhibit access to the records.
Within the various sections within this manual access and security is mentioned and should be read and understood particularly in sections that cover records that your area maintains.
2. What Records Should be Securely Stored?
To put it simply all records should be securely stored, however there are specific records that require added or increased security, some of these include (example list only and is not to be taken as a complete list);
- Student Records
- Client Records
- Medical Records
- Staff Records
- FOI Requests
- Grievance Matters
- Legal Matters
- Tender Documents
- Occupational Health and Safety
- Performance Appraisals
3. What Security Measures Should we Implement?
Records should be stored in a location that can be securely locked at any time, especially when staff are not in attendance to the area. Records should not be left (unattended) in plain view on office desks or the like unless the office itself can be locked. However where the area is within a secure location such as a staff only area, this is considered to be a secure area, however there will be records that only specific staff can access and these records must be placed in locked cupboards when not in use by the authorised staff member of whom is using the records, e.g. staff files should be locked in appropriate cupboards at the end of each working day and not left on office desk or shelves that do not have the ability to be securely locked.
There are also records that are considered to be of a vital importance to the University, commonly legal agreements and the like, these require additional security, not necessarily from staff accessing the records but to ensure if a disaster was to occur a backup copy of these records is available. In all cases the original signed documents in any legal matter is to be transferred to the Records and Archives Office for storage in a vault for safe keeping. Areas may take a copy for their own use if necessary.
4. What if I Note a Breach in Access or Security to our Records?
All breaches of access to any area, whether that is to records or any other university area must be reported to University Security as well as your immediate supervisor/manager.
5. What do I Need to do to Access Information not Normally Accessible?
If at any time you require access to records you would not normally have access to you must request access in writing to the relevant owner of the records, a copy of that request for access should be provided to the Records and Archives Office along with the notice of approval or disapproval for access.
6. Can I Access My Personal File?
Staff may access their personal file and should contact Staff Services for more information and to arrange a time to view their file. All access to your personal file will be supervised by relevant Staff Services staff.
7. Can Staff Access Their Official or Unofficial (Area) Staff File?
Wherever a staff file is maintained on a staff member the staff member has the right to request and obtain access to their respective staff file, but obviously only their file and no one else's. Access to your file will be supervised.
8. Can Students Access Their Student File?
Students also have the right to access their student file however this must be done with supervision at all times. Students must request access to the student file to the relevant area that maintains the file.
The University archives is generally out of bounds for all staff with exception of Records and Archives Office staff and Site Services staff when assisting the and Archives Office to deliver and/or transfer boxes to and from the storage areas. Occasionally the Records and Archives Office will arrange tours of these areas for staff to view the storage areas. All requests for retrieval of records must be coordinated through the Records and Archives Office.
The Records and Archives Office can be contacted during business hours in the following ways:
Telephone: 9266 7050
Facsimile: 9266 2255
Email: records@curtin.edu.au