5.3. CQUniversity records and information will be captured and managed within one of the following corporate systems:

Transcription

1 POLICY AND PROCEDURE RECORDS MANAGEMENT 1 PURPOSE This policy and procedure provide a framework for the creation, management, retention and disposal of Train@ CQUniversity records in accordance with the Public Records Act 2002 (Qld) and CQUniversity Australia (parent organisation) Records Management Policy and Procedure. 2 SCOPE This policy and procedure applies to all staff of Train@ CQUniversity who create and maintain records of Train@ CQUniversity students, courses and units of competency. 3 EFFECTIVE DATE 1 April LEGISLATIVE AUTHORITY Central Queensland University Act 1998 (Qld) Public Records Act 2002 (Qld) Standards for Registered Training Organisations POLICY STATEMENT 5.1. Train@ CQUniversity will generate, capture, manage, preserve, provide access to and dispose of records in accordance with the Public Records Act 2002 (Qld) and the Standards for Registered Training Organisations Effective records and information management will provide Train@ CQUniversity with evidence of its actions and decisions, ensure accountability and transparency and promote the effective and efficient management of RTO business Train@ CQUniversity records and information will be captured and managed within one of the following corporate systems: a. Microsoft Sharepoint (including DropBox for Business system to be retired) b. VETtrak (AVETMISS compliant) student management system c. Catapult learning management system 5.4. Access to Train@ CQUniversity records will be provided in accordance with business requirements, privacy obligations and sensitivity caveats such as commercial-in-confidence Train@ CQUniversity provides returns of its client records of attainment of units of competence and qualifications to the National VET Regulator on a regular basis, or as determined by the National VET Regulator Train@ CQUniversity complies with all Commonwealth requirements for the implementation of a national Unique Student Identifier (USI) in all student records, as required Where student undertake activity on campuses not under the direct management of Train@ CQUniversity such as on CQUniversity campuses, the Executive Director Train@ CQUniversity or designee will liaise with the relevant CQUniversity Campus Director to ensure that all hard copy records relating to students are maintained in a locked cabinet within a secure office environment that is accessible by authorized Train@ CQUniversity personnel only. QAC_POL009 Page 1

2 6 PROCEDURE 6.1. A Train@ CQUniversity record is information created, received and maintained by its staff in the course of conducting its business, regardless of its format (paper, electronic, audio-visual). Train@ CQUniversity s business encompasses all forms of its teaching and learning, vocational research, community service, organisational, commercial and cultural activities. All business activities are appraised to identify what records should be created and the life of those records determined in order to: a. Protect the rights and interests of individuals at Train@ CQUniversity b. Explain and justify the actions of Train@ CQUniversity and its employees c. Document and explain the decision-making of Train@ CQUniversity d. Provide the history of an activity e. Determine that the policies and procedures of Train@ CQUniversity were followed during the conduct of that business 6.2. Therefore a record must show: what occurred, when it occurred, how it occurred, what the transaction was, who participated and the outcome A document or an in a physical or electronic form created but not transmitted or submitted is not considered a record. A conversation only becomes a record if a written note of that conversation is made. Staff should use their judgement as to whether a written note of a conversation should be made bearing in mind the above explanation of what constitutes a Train@ CQUniversity record. Access and Security 6.4. Train@ CQUniversity will ensure that records remain accessible to current and past learners with appropriate authority both inside and outside the RTO, for the designated retention period. Train@ CQUniversity also has in place mechanisms to safeguard privacy and confidentiality and prevent unauthorised use or access to its records. a. Learners who hold a verified USI and whose results have been reported into the USI system will be able to access their records through the USI system. b. If a learner s achievements have not been recorded through the USI system, Train@ CQUniversity will ensure that it has processes in place to ensure that this learner can access their records by other means Train@ CQUniversity will ensure that qualifications, statements of attainment and records of results are not issued unless the learner has completed all requirements. To reduce this risk, Train@ CQUniversity should have systems in place to ensure certification is only issued to learners after they have fully demonstrated competence and where evidence of this is in place Train@ CQUniversity will ensure that appropriate, centralised qualification issuance controls are implemented to mitigate records risks given delivery at multiple locations and/or through third party arrangements It is the expectation of Train@ CQUniversity that a member of staff will access only those files and records which are necessary for the proper fulfilment of the duties of that member of staff or that they are lawfully requested to access. Staff handling sensitive classified information will be asked to acknowledge their responsibilities in writing. QAC_POL009 Page 2

3 Naming of Records 6.8. File names should be short but meaningful. Long file names can translate to long file paths which can result in losing meaning in your title. Some words can add length to a file name but don t contribute to the meaning. For example a, the, and, dated, etc. File name 2014 Internal Audit Committee The 2014 Internal Audit Committee 6.9. Avoid using abbreviations and acronyms. Acronyms for business areas can change over the course of an RTO s lifetime, or have more than one meaning. Writing words in full ensures information can always be retrieved in searches regardless of changes over time. File name Victorian Training Guarantee Service Agreement VTG Service Agreement Avoid unnecessary repetition and redundancy in file names and file paths. If information is being stored in a folder that follows a structure path involving Student and Admissions, these two keywords do not need to be repeated in the title. File name...\finance\budget\2012 Submission...\Finance\Budget\2012 Budget Submission Spaces must be used in titles to ensure that each word in the title is searchable. File name Risk Management Audit Report RiskManagementAuditReport When including a number in a file name always use two digits, unless it is a year or other number with more than two digits to ensure that files can be sorted to always display in the correct alphanumeric order. File name Internal Procedures v01 Internal Procedures V Common words such as draft, letter, memo etc. should be placed at the end of file names to allow files to be sorted alphabetically according to subject rather than by information type. File name Leave Policy v05 Draft Draft Leave Policy V The version number of the information should be included in the file name preceded by a v. Clearly marking the versions of information can assist in the retrieval and tracking of the progression of various processes and documents. File name Compliance Submission v02 Compliance Submission_v2 QAC_POL009 Page 3

4 6.15. Do not use the non-alphanumeric characters * : / \ < >? [ ] ; / = & $ in file names as these characters will not be accepted in file names for most operating systems and generally have other functions in large databases. Hyphens can be used when necessary. File name Budget Budget 06/07 Issuing of AQF Qualifications and Statements of Attainment Train@ CQUniversity will ensure that it does not include the learner s Student Identifier on the testamur or the statement of attainment consistent with the Student Identifier Act Train@ CQUniversity will ensure that it: a. Maintain registers of all AQF qualifications and of all statements of attainments it is authorised to issue b. Retains records of AQF certification documentation and statements of attainment issued for a period of 30 years c. Provide reports of its records of qualifications issued and of statements of attainment issued to its VET Regulator on a regular basis, as determined by the VET Regulator. Issuing of AQF Qualifications Train@ CQUniversity will ensure that it meets AQF requirements for issuing of AQF qualifications and the following requirements: Train@ CQUniversity will ensure that it includes the following information on the testamur: a. Train@ CQUniversity entity name, National RTO Code and logo b. Code and title of the awarded AQF qualification c. NRT Logo in accordance with regulatory requirements Train@ CQUniversity will ensure that the following elements are included on the testamur, as applicable: a. State / Territory Training Authority logo (only where use of the logo is directed by State / Territory Training Authorities, e.g. within User Choice contracts) b. Industry descriptor (e.g. Nursing) c. Occupational or functional stream, in brackets Issuing of Statements of Attainment Train@ CQUniversity will ensure that it meets AQF requirements for issuing of Statements of Attainment and the following requirements: RTOs must include the following information on a statement of attainment: a. Train@ CQUniversity entity name, National RTO Code and logo b. List of units of competency (or modules where no units of competency exist) showing their full title and the national code for each unit of competency QAC_POL009 Page 4

5 c. Authorised signatory d. NRT Logo in accordance with regulatory requirements e. CQUniversity seal, corporate identifier or unique watermark f. The words: A statement of attainment is issued by a Registered Training Organisation when an individual has completed one or more accredited units Train@ CQUniversity will ensure that it includes the following elements on the statement of attainment, as applicable: a. State/Territory Training Authority logo (only where use of the logo is directed by State/ Territory Training Authorities) b. The words: These competencies form part of [code and title of qualification(s)/course(s)] c. The words: These competencies were attained in completion of [code] course in [full title] d. Where relevant, the words: these units / modules have been delivered and assessed in <insert language> followed by a listing of the relevant units/modules. Archiving Records Archives provide a record of the corporate memory of Train@ CQUniversity. Archives are inactive records that are deemed to have continuing value, either permanently or temporarily. A record may be considered permanent because of its evidential, fiscal, administrative, legal, informational or historic value To transfer information to Train@ CQUniversity s offsite archive facility for temporary or permanent storage, contact the National Quality and Compliance Coordinator by indicating you have records to be transferred If the records are already boxed, you will need to complete the Archive Box Catalogue form detailing what information is in each box To prepare records for transfer: a. Group like records together based on subject, activity and process b. Any files must have the file number and/or name clearly marked on the file cover c. Place records into official archive boxes after removing all paperclips, bull dog clips, plastic sleeves etc. Each box is to contain files with similar retention requirements and of similar topics only. Boxes must be as full as possible, but weighing no more than 15kg. Boxes are not to be overfilled. d. Complete and print the Archive Box Contents form and place it in the box. Do this for each archive box. e. Write the box number and retention schedule on each box f. Complete the Records Transfer form Once the records are ready for transfer: a. the National Quality and Compliance Coordinator advising that the records are ready for transfer, providing details of the number of boxes for transfer and attaching a scanned copy of the Archive Box Catalogue form/s and Records Transfer form b. Quality and Compliance will arrange for the relocation of the boxes and notify the requester that the transfer has been arranged. QAC_POL009 Page 5

6 6.27. Records can be retrieved from the offsite archive facility when needed. a. Complete the File and Document Retrieval Form and the completed form to the National Quality and Compliance Coordinator. Indicate on the form if the records are required temporarily or permanently. If retrieval is urgent, indicate this in the s subject line. b. The National Quality and Compliance Coordinator will locate records and organise delivery to the requester. Standard requests will be fulfilled within three working days; urgent requests will be managed within one working day When the retrieved records are no longer required, the National Quality and Compliance Coordinator to arrange for collection and return of the records to the offsite archive facility. Records Disposal Train@ CQUniversity will ensure that records of qualifications and statements of attainment issued for 30 years. a. Where Train@ CQUniversity has gathered and retained full AVETMISS data, this will suffice. b. Train@ CQUniversity must retain sufficient data to be able to reissue a qualification or statement of attainment for the 30-year period, regardless of the storage method used. c. If Train@ CQUniversity ceases being an RTO, it will be required to provide this information to ASQA in digital form Train@ CQUniversity will ensure that assessment records are retained for a period of six months If the documentation to be disposed of is of short term value, refer to the Disposing of Normal Administrative Practice Records section below Records must be kept for specified periods of time (called a retention period) which are detailed in relevant legislation and regulation. a. Records for learner AQF certification documentation need to be maintained in accordance with the requirements of Schedule 5 and are accessible to current and past learners Identify records ready for disposal by grouping like records together (i.e. the same subject, activity or process). Ensure that the records are no longer required for reference purposes and are not part of a current legal matter Refer to the National Quality and Compliance Coordinator determine if the records have reached the end of their retention period. Contact the National Quality and Compliance Coordinator for assistance, if required Complete the Request to Dispose form to provide details of who is requesting to dispose of Train@ CQUniversity records, a brief description of the records, the author/s of the documents, any relevant dates, if there are any related records, any Sharepoint reference numbers, location/s of the records and the relevant section of the applicable Retention and Disposal Schedule the completed form to the National Quality and Compliance Coordinator with the subject heading Disposal Request [business area] The National Quality and Compliance Coordinator will evaluate the request against Train@ CQUniversity requirements, legislation and the Retention and Disposal Schedules and provide an response regarding the outcome. QAC_POL009 Page 6

7 6.38. If the request is approved, appropriate disposal of the records can occur through secured confidential bins. If a very large quantity of records is to be disposed of, the National Quality and Compliance Coordinator will provide advice on the appropriate disposal method. Once the records have been disposed, this information to the National Quality and Compliance Coordinator who will then update Sharepoint with this information to meet audit and compliance requirements If the request is denied, the records CANNOT be destroyed and appropriate storage of the records will need to be arranged, or the records will be transferred to the RTO s offsite storage facility. Disposing of Normal Administrative Practice Documentation Documentation created as part of normal administrative practice is able to be disposed of without seeking approval from the National Quality and Compliance Coordinator Normal Administrative Practice documentation is: a. Documents that are short term, transitory or facilitative in nature. For example: Appointment diaries/calendars (however, high level executive s diaries/calendars need to be retained) Unsolicited letters offering goods and services Informal communications (with compliments slips, personal s, phone messages) Copies of mass circulated material (except for internal newsletters where only the MASTER copy should be captured into the corporate record keeping system) b. Reference materials: Copies of articles, reports, memos, minutes etc that have been kept for reference, where the original is stored in Sharepoint Duplicates of University policies, procedures, guidelines, manuals etc. that are used for reference. The master copy should be captured into the corporate record keeping system. c. Published or promotional material: Promotional material received by the RTO External publications to which the RTO has no input such as newspaper or journal articles d. Working papers and rough calculations: Working papers and background notes that will eventually be made into a draft System printouts used to verify data or answer ad hoc queries (these can be regenerated out of the system if needed therefore don t need to be retained) Routine calculations that will eventually be entered into a system or final document such as a submission, report, etc. e. Drafts not intended for further use or reference: Drafts that do not contain significant or substantial changes Drafts that have been edited with minor grammar or spelling corrections. NB drafts that have had major changes in direction, content or revisions will need to be captured in Sharepoint as evidence of the progression of the document. QAC_POL009 Page 7

8 6.42. If the information in the documents is covered by legislation or one of the Retention and Disposal Schedules then disposal permission is required (refer Records Disposal section above) If it is unclear whether the information meets the requirements in 6.32, answer the questions below. If the response to ALL of the questions is NO, then information can be disposed of under Normal Administrative Practice. a. Is the information needed to clarify, support or give context to existing corporate information? b. Is the information needed to show how CQUniversity business was conducted? c. Is the information needed to demonstrate how a decision was reached? d. Is the information needed to show when or where a significant event occurred? e. Is the information needed because it indicates who was involved in making a decision or providing advice about Train@ CQUniversity business? f. Is the information likely to be required in the future to support legal proceedings? If it is still unclear if the information can be disposed 7. RESPONSIBILITIES Compliance, Monitoring and Review 7.1. The Administrator is responsible for ensuring compliance with and monitoring implementation of the procedure and to undertake reviews as required All line managers are responsible for ensuring implementation within their area of responsibility All staff are responsible for accurately documenting the records that are to be destroyed and requesting approval from the National Quality and Compliance Coordinator. Staff requesting approval to destroy records are responsible for the confidential destruction of any records approved for disposal All staff requesting a records transfer are responsible for preparing the records to be stored, as per these procedures, and for contacting the National Quality and Compliance Coordinator to arrange approval to transfer. All records to be stored in the RTO s offsite storage facility must not be sent without prior approval All staff requesting the return of records from the offsite storage facility are responsible for contacting the National Quality and Compliance Coordinator to arrange the return of the records All Train@ CQUniversity employees are responsible for ensuring that any information disposed of under Normal Administrative Practice is of short term, transitory nature with no ongoing corporate value to the organisation. Records Management 7.7. All records relevant to this document are to be maintained in a recognised Train@ CQUniversity recordkeeping system. 8. DEFINITIONS Train@ CQUniversity records: any form of recorded information, both received and created, that provides evidence of the decisions and actions of the RTO while undertaking its business activities. Train@ CQUniversity records may be in any form including, paper, electronic, audio, video, data within business systems, photographs, etc. QAC_POL009 Page 8

9 Disposal: the practice of confidentially destroying records and updating the recordkeeping system with the details of destruction (day, schedule used, etc.). Normal Administrative Practice: the practice of routinely disposing of documents and information that is generated in the course of standard operations of the RTO that is of no corporate value to the organization; for example, copies of information, or statistical data that can be sourced from a business system at any point in time. Corporate Information: information that is received, generated and captured to provide support to and evidence of the organisation s business activities and operations. 9. RELATED DOCUMENTS Related Legislation and Supporting Documents Right to Information Act 2009 (Qld) Information Privacy Act 2009 (Qld) Evidence Act 1977 Electronic Transactions (Queensland) Act 2001 Judicial Review Act 1991 Public Sector Ethics Act 1994 (Cwlth) Tertiary Education Quality and Standards Agency Act 2011 (Cwlth) Information Standard 18: Information Security Information Standard 31: Retention and Disposal of Public Records Information Standard 34: Metadata Information Standard 40: Recordkeeping Information Standard 42: Information Privacy Financial and Performance Management Standard 2009 AS ISO 15489: Records Management Best Practice Guide to Recordkeeping, Queensland Government Information Architecture, August 2002 Standards for Registered Training Organisations (RTOs) 2015, Australian Skills Quality Authority Payment Plan Application Form Approval and Review Details Approval Authority Executive Director Advisory Committee to Approval Authority Train@ CQUniversity Senior Management Team Administrator National Training Operations Manager Next Review Date 01/04/2016 Approval and Amendment History Details Original Approval Authority and Date Executive Director Train@ CQUniversity 01/04/2015 Amendment Approval Authority and Date Executive Director Train@ CQUniversity 14/04/2015 Amendment Approval Authority and Date Executive Director Train@ CQUniversity 23/04/2015 QAC_POL009 Page 9