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Records Management Policy

1. Purpose

The Records Management Policy (the Policy) provides guidance for ensuring compliance with the Territory Records Act 2002 (TRA).


2. Scope

The Policy applies to all CIT staff members whether employees, contractors and all other parties conducting business on behalf of, or acting as representatives of CIT to which an official record (record) will be required.

CIT is therefore committed to creating, maintaining and managing timely, accurate, relevant and reliable information to meet its broad and specific business objectives whilst concurrently assuring legislative compliance as relates to the management of records.

CIT's Policy, Procedures and practices are based on its legislative responsibilities as a local government agency, under the TRA, AS ISO 15489, applicable standards, guidelines and other forms of advice.

The Policy does not apply to non-official records.


3. Principles

3.1 CIT's information as stored in records, are a significant and non-static corporate asset and the management of the associated information is vital in ensuring legislative compliance and in ensuring the effectiveness of CIT's ongoing business activities. Organisational information and records including intellectual property need to be recognised as valuable corporate assets.

3.2 The TRA defines a record as being an item that is "in written, electronic or any other form." Records are evidence of business activity. The TRA defines them as "information created and kept, or received and kept, as evidence and information by a person in accordance with a legal obligation or in the course of conducting business".

3.3 A record acts as a direct means by which to provide tangible evidence of activities, decisions and the array of associated transactions through its contained information.

3.4 CIT Records are managed within a hybrid hard copy and digital environment.

3.5 The Territory Records (Records, Information and Data) Standard 2016 (No 1) (the Standard) applies to CIT. This Standard established under the TRA sets the minimum standard and principles for records, information and data management in the ACT Public Service.

3.6 Excluding exclusively identifiable non-official information, all records created, altered, received, stored or maintained by CIT staff members are the property of CIT.

3.7 Non-official records include but are not limited to information that bears no significance to the operations of CIT or governments, inter-personal non-business related correspondence, information or data that is private or personal in nature, information that is publically available (e.g. posters, public media broadcasts) and information that is not in the public interest.

3.8 The principle of having a single source of truth should be considered to be a key component in the creation, management and preservation of records. Exceptions to this general rule may be necessary.
The ACT Government Territory Records Office (TRO) is responsible for the production of standards and guidelines and for the provision of recordkeeping assistance and advice to agencies.

3.9 The ACT Government Territory Records Office (TRO) is responsible for the production of standards and guidelines and for the provision of recordkeeping assistance and advice to agencies.

3.10 Seven principles as apply to records management (see ACT Government Territory Records Office Standard for Records, Information and Data) as provided under the Standard are to be adhered to such that ACT Government records, information and data management practices encourage open and accountable government by ensuring that Territory records are managed and preserved in accessible formats to meet business requirements and community expectations.

3.11 Based on the seven records management principles, CIT records should be stored in such a way that represent better or best records management practices including facilitating access to and retrieval upon demand in accordance with as applicable, disposal schedules.

3.12 Information systems are in place to capture maintain and provide access to records over time. While the term is often associated with computer software, recordkeeping systems take other forms and should be managed in accordance with the applicable policies, procedures and practices.

3.13 The Hewlett Packard Content Manager 9 (TRIM) application is CIT's authorised electronic record keeping application and should be considered to be the primary system for records management.

3.14 Where practical, TRIM should be utilised as a final default record repository in preference to other available systems.

3.15 With security and accessibility by other CIT staff to be the primary consideration for storing records, the use of personal or portable storage mediums should not be used and should only be utilised in exceptional circumstances (e.g. for conveyance or transfer or a record to then be placed on a more visible and accessible storage medium). The non-preferred mediums include shared network drives, personal network resident drives, e-mail, hard media (CD's etc.), local device based drives, portable storage devices, hard copy/paper records, etc.

3.16 The CIT Records Management Unit is responsible for ensuring that appropriate resources are allocated to the development, implementation, maintenance and improvement of information and records management related processes and practices. This includes responsibilities for classification, titling, retention, sentencing and disposal of records.

3.17 Every CIT staff member has a responsibility to ensure that information generated within and received by CIT is managed in an efficient and uniform manner. Every staff member is expected to be aware of and observe this Policy and the associated Procedures.

3.18 All employees with management or supervision accountabilities are to monitor and instruct staff members under their supervision to ensure that they understand and comply with the applicable guidance and must actively foster and continuously promote a culture that encourages sound record management practices.

3.19 Appropriate records of all CIT activity and associated undertakings are to be created and stored in accordance with the requirements of the TRA. The TRA defines record management to be "the creation, keeping, protection, preservation, storage and disposal of, and access to, records of the agency."

3.20 In accordance with the TRA, CIT staff members must create, amend and manage records to document its ongoing business and must consistently and actively be mindful of legal and regulatory obligations and broader community expectations. Importantly and as a specific business obligation, CIT is also required to meet Australian Skills Quality Authority (ASQA) and Tertiary Education Quality Standards Agency (TEQSA) record keeping requirements.

3.21 All CIT staff members are to ensure that official records provide an accurate reflection for example of a given event, account, transaction, description, statement, report, undertaking, matter or issue, and the record must be created at the time or as soon as practicable after the observable fact(s) to which they relate. The record must also be maintained, be accessible and be subject if applicable, to sentencing or retention requirements in accordance with the TRA.

3.22 With the guidance of the CIT Records Management Unit, CIT staff members where requested and as may be subject to some exceptions, shall provide access to records under the Freedom of Information Act 1989.

3.23 Records as a source of evidence can be subject to subpoena or court discovery processes and accordingly, must be maintained as ‘admissible' records. An admissible record must be authentic, complete and accurate, and logically sequenced and arranged.

3.24 CIT records if required as evidence are to be supplied on request and consideration of any possible exceptions such as those that may be imposed by legislation (e.g. privacy legislation) should be given.

3.25 To be overseen by the CIT Records Management Unit, regular attention should be provided for the development, implementation and review of appropriate processes and procedures to mitigate risks associated with disasters including for adverse event preparedness, reaction and recovery planning as may affect CIT records.

3.26 Records containing information that may have historical, posterity related content or content that is of cultural significance, for example information on Aboriginal or Torres Strait Islander heritage, should be considered for preservation.

3.27 Where there are queries or where advice or support is required in deciding on a particular course of action as relates to a record or possible record, immediate contact should be made with the CIT Records Management Unit.

3.28 Any actual or possible non-compliance matter or incident of concern should be reported to the CIT Records Management Unit.


4. Documentation


5. Definitions

All terminology used in this policy is consistent with definitions in the CIT Policy Glossary.


6. Policy Contact Officer

For more information or assistance, contact the CIT Records Management Unit.

Contact CIT Student Services on (02) 6207 3188 or email infoline@cit.edu.au.


7. Procedures

This Policy is implemented through the associated procedures. Authority to make changes to the procedures rests with the Policy owner.


POLICY INFORMATION
Policy No: 2019/40701
Approved: September 2019
Next Review: September 2021
Category: Staff Policies, Corporate Policies
Policy Owner: Executive Director, Corporate Services
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