Recordkeeping Manual - Student Files
- Managing Student Files
- Privacy
- Access and Security
- Creating a Student File
- What goes on a Student File?
- What does not go on a Student File?
- Disposal of Student Files
- Contacts
Student files are not maintained centrally by the University unless a specific case requires a central file to be created, such as discipline, grievances etc. Student files are managed within the Division of study/enrolment of the student and are created at the time of acceptance to the Divisions various courses.
Student files are similar in many aspects to Staff files; they contain the personal information about a student and their relationship with the University during their courses of study with the University. As such these files must be treated at all times as being confidential and only authorised staff may access these files.
Within the Divisions there are various methods of who manages and stores the files, but whether the files are managed at Division or School level each student file must be managed securely.
Student Files must remain within the Student Services (or similar purpose area) at all times and should not be removed from these areas unless required for specific purposes such as to deal with other cases such as legal, disciplinary, grievances etc, however once those cases have been dealt with the files must be returned, unaltered to the respective Student Service area.
Student files can be accessed by the student once adequate identification has been produced, but the file must not be removed from the office.
Each of the five Teaching Divisions (Engineering and Science, Health Sciences, Resources and Environment, Curtin Business School, Humanities) have their own student services area, with the exception of the Curtin Business School and Humanities who also have an International Student Services Office, where the International Student applications and enrolments are processed and files are kept.
The Division of Engineering and Science, Division of Health Sciences and Division of Resources and Environment do not have their own International Office and the student applications are processed through the main International Office however, once the enrolments have been processed these divisions then keep individual student files.
The Office of Research and Development also keeps files on students and these cover thesis examinations, graduations and also scholarships.
As a legislative requirement Curtin University of Technology must comply with the Privacy Amendment (Private Sector) Act 2000.
Student files are classed as confidential information and as such these details (including addresses or telephone numbers) cannot be disclosed to any third party or agency without the written consent of the Student. Any written consent obtained from the student should clearly outline the details of the exact information to be disclosed, particulars of the third party that are to have access to this information and the purpose for this disclosure. This written consent must be signed and dated by the student.
Any disclosure of student information without obtaining the student's written consent may expose the University to a "breach of confidence" action.
Staff should also review the Student Charter available on the University Policy and Procedures website ( http://www.policies.curtin.edu.au/).
Only Student Services staff in each Division is to have access to student files. Academic staff that are providing courses to students directly are able to access particular student files to query results, enrolment details and other details of the student for the purposes of teaching.
Access to the student files should be granted to students on request but under supervision at all times. Before access is given more than one form of identification should be used to identify the student.
Student files should not be visible in public areas and should not be left unattended at any time unless they are securely locked away prohibiting unauthorised access.
It is the responsibility of all Divisions to ensure student information is protected at all times from any and all third parties except where required for specific cases such as legal requirements or where the student has provided consent for a third party to have access. Any access provided must be supervised at all times.
Student files should be created for each student that is formally enrolled with the Division at the time of enrolment and acceptance. Student files should be titled with the student ID number first and then Student name in full, surname first is a recommended option. The file number of the file is the students identification (ID) number at all times, the name of a student or even partial name of the student should not be used as the file reference as commonly there will be duplication in students' names.
Any documents being attached to a student file should have the student ID number versified on the document and the file itself, the students' date of birth is always a good second check where the student ID number is not available.
Any information that is entered into Student One (Student management database system) is kept on divisional files (refer to Section 6 - What goes on a Student File)
The files used for student files should be manila files with a minimum of 280gsm thickness at al times. Lever Arch files are not recommended as they take up valuable storage space. When student files are filed in compactus/shelving units, files must be easily identified by placing coloured index labels (also known as alphanumeric labels) down the spine to indicate individual student files. They can then be filed in numeric order according to the student ID number.
The Records and Archives Office can provide advice on file standards and provide examples of file covers.
5. What goes on a Student File?
Student files are an important part of examining and assessing a student and as such files must be complete to allow users of the files to have the complete information about the student.
Interactions with students, such as meetings, conversations, correspondence, emails and any other communication between a student and staff, particularly academic staff must be documented. The information documented will depend on the nature of the communication, simple routine communications may simply require a file note of the discussion highlighting specific advice, agreements, decisions etc that have been made, particularly if this is a verbal communication. However for issues that are more significant there will be a need to ensure accurate records are created and maintained, these may include such issues as to the students' progress, especially if it is unsatisfactory. These matters must be fully documented and placed on file with all relevant documents such as emails, and other written documents.
The following is an example of the records that should be placed on a student file, this list is not exhaustive and is provided as a guide only;
- Applications for Admission (both Postgraduate and Undergraduate studies)
- Applications for Australian Resident Postgraduate Coursework Studies
- Applications for Advance Standing
- Enrolment/Amendment Forms
- Extension Forms
- Leave of Absence Forms
- Special Late Withdrawal Forms
- Deferrals
- Withdrawals
- Financial Assistance forms and documents
- Change of Result/s
- HECS (Higher Education Contribution Scheme) and PELS (Postgraduate Education Loans Scheme) Application Forms.
- Medical Certificates
- Work Experience Certificates
- Student Placements
- First Aid Certificates
- Applications to Graduate Form
- Routine correspondence between the university and the student (see what does not go on a student file below)
Historical amendments are sent from the Divisions to the main Student Services for direct entry into Student One, which have not been received either through TISC (Tertiary Institutions Service Centre) or IO (International Office). These are assessed and processed and letters of offer sent out to Student Services, and then sent back to the Divisions for filing.
Research and Development Student Files are files kept on thesis examination of higher degree by research students. All information (see list below) is entered directly by Research and Development Staff into the Student One database. Information kept on their files are:
- Progress Summary Sheet (see picture below)
- Student One profile sheet showing students history of courses, enrolment start and finish dates
- Nomination of examiners form made out by Thesis committee approved by Division of Graduate Studies Committee (DGSC) which is sent to Research and Development (R&D)
- Thesis examination reports and payments for each examiner
- Costs and payments for the binding of student thesis.
- Routine correspondence between the student and the university.
International Office Student Files are kept for International Students and are comprised of the following:
- Letter and conditions of offer
- Confirmation of enrolment (COE)
- Copies of qualifications and test results
- Copies of academic transcripts and similar from other institutions
- Copies of passports and visas
- Copies of receipts of payment of tuition fees and overseas student health cover.
- Application to enrol
- Correspondence/communications by email/letter/facsimile between the International Office (IO) and the student or agent acting for the student.
- Copy of invoice acceptance of offer
International Office sends out student applications to the appropriate schools for assessment, who then return them to the International Office to let them know if the student has been accepted or rejected.
6. What does not go on a Student File?
The following are not kept on the Divisional Student Files but are instead kept within the main Student Services area, or in individual departments.
- Non-Standard variations, such as Disciplinary matters and complaints are kept within the Universities main Student Services area.
- Centrelink information is held at the CSU (Customer Service Unit) in the Main Student Services area for the University.
- Admissions are also held at the main Student Services area.
- Exams and Appeals are held at the main Student Services area.
Student files can only be disposed of after the retention period has expired according to the approved University and/or State Disposal Authority. Currently the approved Disposal Authority requires that:
- General and Honours student files must be kept for twenty five (25) years after the date of the students last enrolment with the University.
- Masters and Doctorate student files must be kept for seventy five (75) years after the date of last enrolment with the University.
The student files are to be retained in the creating office while active then transfered to the Records and Archives Office two years after last action. Student files will be held by the Records and Archives office for thier retention period. General and Honours student files will be reviewed after 25 years before seeking approval for destruction. Masters and Doctorate student files will be reviewed after 75 years before seeking approval for destruction. (Note Masters and Doctoral Theses are University archives and are retained permanently)
Please refer to Part 12: Retention and Disposal, of the University Recordkeeping Manual to explain how to use the schedules, how to apply the retention codes etc.
Please refer to Part 11: University Archives, of the University Recordkeeping Manual for the process and management of archives.
The Records and Archives Office can be contacted during business hours in the following ways:
Records and Archives Office
Telephone: 9266 7050
Facsimile: 9266 2255
Email: records@curtin.edu.au
To contact individual areas relating to student information the following contact details are provided:
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Examination and Appeals Admission Information |
Centrelink Information |
Divisional Student Services Office (Individual Student File information): |
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| For general enquiries contact:
Student Central Curtin Business School, Bentley Campus Curtin Business School, Engineering, Science and Computing Health Sciences, Bentley Campus Humanities, Bentley Campus Resources and Environment |
Centre Regional Education - Kalgoorlie Centre Regional Education - Esperance Centre Regional Education - Geraldton Centre Regional Education - Northam Muresk Institute, Northam Campus Muresk Institute, Bentley Campus West Australian School of Mines, Kalgoorlie Miri Sarawak |