This policy supports the Community Services Directorate (the Directorate) legislative requirements under the Territory Records Act 2002 (the Act).
Records Management Policy
1. What is this policy about?
1.1 This policy supports the Community Services Directorate (the Directorate) legislative requirements under the Territory Records Act 2002 (the Act).
2. Policy Statement
2.1 The Directorate has requirements under the Act to make, manage and keep records to support its business needs, legal and regulatory obligations and to meet broader community expectations.
2.2 Records created, received or discovered which contain information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage will be protected and made accessible.
2.3 All staff, consultants and contractors must make and keep full and accurate records of their activities to ensure that such records are incorporated into the Directorate’s corporate records systems and to comply with all records management procedures.
2.4 All records made or received by the Directorate are the corporate property of the Directorate.
2.5 All records that staff, consultants and contractors make, receive and maintain as part of their duties belong to the Directorate and no records belong to individual employees.
2.6 The Directorate retains control of all records required for service delivery in accordance with Territory Records Office Standard for Records, Information and data, and ownership of records and/or the intellectual property they contain are clearly specified in every outsourcing contract.
2.7 The Directorate, in consultation with the Territory Records Office undertook a recordkeeping self-assessment maturity examination. Whilst the result did reveal that some elements of the Directorate’s recordkeeping do require further improvement, these elements will be addressed by organisational wide digital transformation project. This process will include consolidation of EDRMS instances and the digitisation of paper records.
3. Who does this policy apply to?
3.1 This policy applies to all Directorate staff, including consultants and contractors.
4.1 The Act requires ACT agencies to have and to comply with a Records Management Program. The policy is Attachment B of the Directorate’s Program.
4.2 The Act obliges the Directorate to manage the creation, keeping, protection, preservation, storage and disposal of its records and ensure that the records are usable and accessible for as long as they are required for official and public purposes.
4.3 Directorate officers, including consultants and contractors must be made aware of their responsibilities to establish, maintain and provide access to records, irrespective of format, in accordance with legislative requirements, the Territory Records Office Standards and the Australian Standard on Records Management AS ISO 15489 (the Standards).
5.1 The Chief Information Officer is the Executive in charge of records, information and data management, including the implementation and regular review of this Records Management Program.
5.2 Managers and supervisors: at all levels are responsible for ensuring that staff under their direction, including consultants and contractors, meet all the requirements of this policy and the associated procedures. Records management is an equally important part of supervisory and management functions as any other part of managers and supervisors’ functional responsibilities.
5.3 Certain staff, consultants and contractors: have specific records management responsibilities mandated in their position duty statements. These staff, consultants and contractors have a responsibility to know the Records Management Procedures in detail, model good records management behaviour and to assist other staff, consultants and contractors in applying the requirements of the policy and procedures.
5.4 All staff, consultants and contractors: have responsibilities in relation to the records of the function they perform. Staff, consultants and contractors should keep full and accurate records in accordance with this Policy.
5.5 Policy Owner: The Deputy Director-General, is responsible for this policy.
6. Monitoring and Review
6.1 The Policy Owner monitors the policy. This includes an annual scan of operation and review. A full review of the policy will be conducted within a three-year period.
7.1 For support contact Records Management Unit on (02) 62054804 or email Community Services Directorate Records Management Unit CSDRMU@act.gov.au
8.1 Any concerns about the application of this policy or the policy itself, should be raised with:
The Records Manager;
contact on (02) 62054804.
online at https://www.communityservices.act.gov.au/home/contact_us.
see also the Quality, Complaints and Regulation on the Directorate’s website.
- Records: are information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business (AS ISO 15489).
- Records Management: is the field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records (AS ISO 15489).
- Records System: is an information system that captures, manages and provides access to records through time (AS ISO 15489).
- Records Management Program: is a document which complies with section 16 of the Act by setting out the means by which an agency will manage its records, and is approved by the agency’s Principal Officer.
- Territory Records Act 2002 aims to ensure Territory records are made, managed and, if appropriate, preserved in an accessible form.
- Information Privacy Act 2014 and Health Records (Privacy and Access) Act 1997 contain principles governing the collection, safeguarding, access to, use and disclosure of personal information and personal health information. These acts protect members of the public from the misuse of information about themselves and give people a right to see records about themselves (subject to any legal requirements on decision makers).
- Public Sector Management Act 1994 which establishes “accountability to the government for the ways in which functions are performed” as a key value of the ACT Public Service.
- Freedom of Information Act 2016 provides a right for individuals to seek access to Territory records including records about themselves and sets out a number of exemption provisions.
- Evidence Act 2011 which provides that a court may need to examine records as evidence of an agency’s decisions and actions and which details requirements relating to the authenticity of electronic records.
- Electronic Transactions Act 2011 which is “an Act to facilitate the use of electronic methods in transactions and record-keeping”.
- Financial Management Act 1996 which requires “that proper accounts and records are kept of transactions and affairs of the department in accordance with generally accepted accounting practice”.
- Work Health and Safety Act 2011 which allows “inspecting or making copies of employee records that are directly relevant to a suspected contravention” of the Act and details records to keep regarding health and safety, including representatives, incidents, activities and entry permits”.
- Working with Vulnerable People (Background Checking) Act 2011 which outlines records associated with the requirements for registration of persons engaged in regulated activity.
- Implementation Documents
- Attachment A - CSD New Records Management Program 2018 [PDF 207KB] [Word 62KB]
- Attachment B - Records Information and Data Management Policy [PDF 216KB] [Word 44KB]
- Attachment C - Records Information and Data Procedures [PDF 938KB] [Word 206KB]
- Attachment D - Records Information and Data Architecture Register [PDF 157KB] [Word 68KB]
- Attachment E - Outsourced Providers [PDF 70KB] [Word 13KB]