Records Management Policy

1. Purpose

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

2. Scope

2.1 This Records Management Policy applies to all CIT staff whether employees, contractors or any other parties conducting business on behalf of, or acting as representatives of CIT.

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

2.3 This policy, associated procedures and practice are based on CITs legislative responsibilities as a local government Agency, under the TRA, AS ISO 15489 and other applicable standards, guidelines and advices.

3. Principles

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

3.1.2.  The TRA requires CIT to have and to comply with a Records Management Program. This policy is supported by the CIT Records Management Program

3.1.3.  The Territory Records Office (TRO) has promulgated eight Standards and Guidelines which CIT will use in conjunction with the TRA when making decisions in relation to adopting best practice recordkeeping.

3.1.4.  Records containing information that may be of cultural significance, for example information on Aboriginal or Torres Strait Islander heritage, should be considered for preservation.

3.1.5.  The TRA defines a record as information:

1. 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; and
2. in written, electronic or any other form.

3.1.6.  The TRA defines record management to be the creation, keeping, protection, preservation, storage and disposal of, and access to, records of the Agency.

3.1.7.  CIT is required to meet the Australian Skills Quality Authority (ASQA) and Tertiary Education Quality Standards Agency (TEQSA) record keeping requirements, ASQA including those outlined in the Delegation of Scope Agreement.

3.1.8.  Records provide an accurate reflection of what was done, when it was communicated or decided, and they must be created at the time or as soon as practicable after the event to which they relate.

3.1.9.  While the term 'record' has a specific meaning, in practice it can at times be difficult to distinguish between records and other types of information or data. Although the TRA only applies to records, its principles can be applied to all CIT information and data holdings.

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

3.1.11.  Electronic Records are to be captured and maintained by preserving their structure, context and content. In order to maintain their value as evidence, electronic records must be inviolate. That is, they cannot be altered or manipulated for as long as they are retained.

3.1.12.  Electronic Document and Records Management Systems (EDRMS) are a type of content management system used to capture, maintain and provide access to records through their life cycle, from creation to destruction. An EDRMS can manage digital information, control paper records and physical objects. It can also deliver automated business processes, such as workflows and approvals.

3.1.13.  The Hewlett Packard Content Manager (TRIM) application is the authorised CIT EDRMS and should be considered to be the primary system for records management.

3.1.14.  CIT's EDRMS should be utilised as a final default record repository in preference to other available systems. The Single Source of Truth principle should be considered to be a key component in the creation, management and preservation of digital records.

3.1.15.  Only endorsed locations can be used to store records and information to ensure their appropriate management. Endorsed locations are outlined in the associated procedure.

3.1.16.  With security and accessibility by other CIT staff to be the primary consideration for storing records, the use of non-endorsed locations should not be used and should only be utilised in exceptional circumstances (for example the conveyance or transfer of a record to then be placed on a more visible and accessible storage medium).

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

3.2 Responsibilities

3.2.1.  Every CIT employee, contractor and other party 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.

3.2.2.  All staff with management or supervision accountabilities are responsible for monitoring staff under their supervision to ensure that they understand and comply with this policy and must actively foster and continuously promote a culture that encourages sound record management practices.

3.2.3.  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 assisting staff with record classification, titling and retention. The CIT Records Management Unit is responsible for completing the sentencing and disposal of records that are held within the approved EDRMS or known by this unit.

3.2.4.  The TRO is responsible for the production of standards and guidelines and for the provision of recordkeeping assistance and advice to agencies.

3.2.5.  CIT is responsible for providing training to staff and users of the records management systems and this policy.

3.3 Endorsed locations

3.3.1.  For locations to be endorsed, they must be registered with the Records Management Unit to help ensure appropriate record management processes can be applied.

3.3.2.  Locations will be endorsed if they meet the following requirements:

• Physical location either managed by Records Management Unit, or appropriate workplace that permits appropriate storage; or
• System that meets data and record security requirements;
• System that allows CIT to manage storage and disposal requirements; and
• System that allows CIT to manage access.

3.3.3.  New location proposals will be considered by the Executive Management Committee, with support from the CIT Records Management Unit.

3.4 Destruction

3.4.1.  Official records must be disposed of in accordance with the relevant general disposal schedule.

3.4.2.  Transitory or ephemeral records may be destroyed in accordance with normal administrative practice.

3.4.3.  Records that are official CIT records and are not ephemeral or transitory may be destroyed only by the Records Management Unit with the approval from the CEO. CIT staff should contact the Records Management Unit for assistance with the destruction of information.

4. Documentation

• ACTPS Digital Records Policy
• Archives Act 1983
• CIT Records Management Program
• Copyright Act 1968
• Discrimination Act 1991
• Electronic Transactions Act 2001
• Evidence Act 2011
• Financial Management Act 1996
• Freedom of Information Act 2016
• Information Privacy Act 2014
• Public Sector Management Act 1994
• Territory Records Act 2002
• Standards for RTOs 2015
• CIT Delegation of Scope Agreement
• ACT Government Open Government initiatives

5. Definitions

All terminology used in this policy is consistent with definitions in the CIT Definitions of Terms.

6. Policy Contact Officer

CIT Records Management Unit.

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

7. Procedures

This policy is implemented through the associated CIT Records Management Program and TRIM user guides.