Director of Territory Records
Transmittal Certificate
Director of Territory Records Transmittal Certificate 2016-17 [PDF 210KB]
Compliance Statement
The Director of Territory Records Annual Report must comply with the 2017 Annual Report Directions (the Directions). The Directions are found at the ACT Legislation Register: www.legislation.act.gov.au.
The Compliance Statement indicates the subsections, under the five Parts of the Directions that are applicable to the Director of Territory Records Annual Report, and the location of information that satisfies these requirements:
Part 1 Directions Overview
The requirements under Part 1 of the Directions relate to the purpose, timing and distribution, and records keeping of annual reports. The Director of Territory Records Annual Report complies with all subsections of Part 1 under the Directions.
In compliance with section 13 Feedback, Part 1 of the Directions, contact details for the Director of Territory Records are provided within the Director of Territory Records Annual Report to provide readers with the opportunity to provide feedback.
Part 2 Directorate and Public Sector Body Annual Report Requirements
The requirements within Part 2 of the Directions are mandatory for all agencies and the Director of Territory Records complies with all subsections. The information that satisfies the requirements of Part 2 is found in the Director of Territory Records Annual Report as follows:
- Transmittal Certificate, see page 295;
- Organisational Overview and Performance subsections 1 and 2, see page 297. Subsections 3 to 9 are contained within the CMTEDD Annual Report;
- Financial Management Reporting, inclusive of all subsections, is contained within the CMTEDD Annual Report.
Part 3 Reporting by Exception
The Director of Territory Records has nil information to report by exception under Part 3 of the Directions for the 2016‐17 reporting period.
Part 4 Directorate and Public Sector Body Specific Annual Report Requirements
There are no specific annual report requirements for the Director of Territory Records.
Part 5 Whole of Government Annual Reporting
All subsections of Part 5 of the Directions apply to the Director of Territory Records. Consistent with the Directions, the information satisfying these requirements is reported in the one place for all ACT Public Service Directorates, as follows:
- N. Community Engagement and Support, see the 2016-17 Chief Minister, Treasury and Economic Development Directorate Annual Report;
- O. Justice and Community Safety, including all subsections N.1 – N.4, see the 2016‐17 Justice and Community Safety Directorate Annual Report;
- P. Public Sector Standards and Workplace Profile, including O.1–O.3, see the 2016-17 State of the Service Report; and
- Q. Territory Records, the Territory Records Office’s own recordkeeping arrangements are reported with those of the Chief Minister, Treasury and Economic Development Directorate in this report.
ACT Public Service Directorate annual reports are found at the following web address: www.cmd.act.gov.au/open_government/report/annual_reports.
Organisation Overview And Performance
Organisational Overview
The Territory Records Office supports the Director of Territory Records to provide leadership to the ACT Public Service on policy and practice for records management. The Director has particular responsibilities to develop recordkeeping standards for ACT Government agencies, to oversee the disposal of government records and assist members of the public to have access to ACT Government archives.
The main purposes of the Territory Records Act 2002 (the Act) are to:
- encourage open and accountable government by ensuring that Territory records are made, managed and, if appropriate, preserved in accessible form;
- support the management and operation of Territory agencies;
- preserve Territory records for the benefit of present and future generations; and
- ensure that public access to records is consistent with the principles of the Freedom of Information Act 1989.
The Act enables the Director of Territory Records to encourage consistency in records management between agencies, examine the operation and compliance of agencies’ records management programs and to give assistance and advice on records management.
The Territory Records Act establishes the statutory position of the Director of Territory Records. The Territory Records Office is an administrative unit within Policy and Cabinet, Chief Minister, Treasury and Economic Development Directorate. The Office is made up of 5.4 full time equivalent staff, including the Director.
Territory Records Advisory Council
The Territory Records Advisory Council is established by the Act, and advises the Director on a range of records management issues, particularly in relation to access to and disposal of records, and on the protection of records about Aboriginal and Torres Strait Islander heritage.
Members of the Council are appointed on a part-time basis by the Minister, and appointments must be made from the range of categories set out in section 44 of the Act. The Director of Territory Records is also a member of the Council. Members, apart from the Director, are appointed for a term of three years and may be reappointed. Members not in full-time employment are paid a sitting fee at the rate determined by the Remuneration Tribunal for the ACT Heritage Council.
The activities of the Council are funded from within the Territory Records Office’s budget, and financial oversight, including risk management, audit and fraud control arrangements, are managed within the Chief Minister, Treasury and Economic Development Directorate’s control systems. No specific code of conduct has been established for Territory Records Advisory Council members, but members are required to sign a conflict of interest declaration as part of the appointment process. The Council has not established any sub committees.
Territory Records Advisory Council met four times during 2016-17. Membership of the Council during the year and the number of meetings each attended is as follows:
Name | Role | Meetings attended | |
|---|---|---|---|
Ms Anne Buttsworth (Chair) | Public administration, governance, public accountability | 4/4 | |
Mr Michael Piggott (Deputy Chair) | Records management and archives | 4/4 | |
Professor Chris Aulich | Public administration, governance, public accountability | 4/4 | |
Ms Roslyn Brown | Aboriginal and Torres Strait Islander heritage | 0/4 | |
Mr David Brumby | Records management and archives | 3/4 | |
Ms Amanda Harris* | History and heritage | 2/2 | |
Mr Geoffrey Rutledge | ACT Government agencies | 2/4 | |
Mr Nick Swain | History and heritage | 4/4 | |
Ms Danielle Wickman | Director of Territory Records | 3/4 | |
Mr David Horne | Director of Territory Records (acting) | 1/1 | |
* Ms Harris resigned from the Council in December 2016.
The Council receives regular reports on public access, relations with government agencies and progress against the Territory Records Office’s business plan. The Director keeps the Council informed of, and seeks its advice on, significant initiatives of the Office. During 2016-17 the Council considered and advised on matters such as the Chief Minister’s Governance Lecture and the finalisation of the digital recordkeeping project.
The Council has a particular role in advising the Director on the disposal of ACT Government records. The retention and disposal of records is authorised through Records Disposal Schedules, issued under section 19 of the Territory Records Act. All draft schedules are referred to the Council for advice before they are approved by the Director. During 2015-16 the Council considered 22 new or revised Records Disposal Schedules.
The Council has been supportive of the Territory Records Office’s work to engage with ACTPS agencies on their recordkeeping performance. Members have been particularly interested in the development of tools and services to support the Territory Records Office’s revised Standard and Guidelines, including the Better Records Advice and Support Service. Council also takes seriously its role in advising on issues relating to publicly accessible records. Members are pleased with the continuing success of the Find of the Month in garnering broad attention for the Office’s public reference service, ArchivesACT, and providing an avenue for the Canberra community to engage with its archives. The Council meeting agenda also includes a standing item on decisions to restrict archives from public access under section 28 of the Act. There were no requests from agencies for section 28 declarations during 2016-17.
The 2017-18 budget includes funding for the ACT Heritage Library to move to larger premises at Fyshwick, and the ArchivesACT service will be part of this move. The Council notes in particular that the larger space will allow ArchivesACT to store some ACT Government archives materials on site, and that this will support better staff and community access to the collection. Council members have had a long-standing interest in securing centralised storage and management of the ACT archival collection in the form of a dedicated archives repository. Such a facility would further enhance the security, preservation and public accessibility of the ACT’s most significant government archives.
During 2016-17 the Territory Records Office undertook a review of the terms of reference and appointments processes for the Territory Records Advisory Council. The review concluded that the membership requirements set out under the Territory Records Act continued to provide a good spread of skills and experience with which to advise the Director. The review identified additional selection criteria that could be used in conjunction with a public call for expression of interest, as required by the ACT Government’s new guidelines on appointments to ACT boards and committees. Those criteria were used to advertise for Council vacancies in May 2017, and consideration of potential appointees is ongoing.
Performance Overview and Highlights for 2016–2017
In the 2016-17 reporting year the Territory Records Office has begun to build on the significant outputs delivered in previous years. Last year’s review of our Standard and Guidelines has provided a solid foundation from which to build a range of other tools and services that support improvements in the creation and management of and access to ACT Government records. We also continued our digital recordkeeping project into 2016–17, and pursued a range of new and continuing approaches to promoting public access to archives.
Digital Recordkeeping
The Territory Records Office concluded its digital recordkeeping project on schedule in October 2016. The project delivered on its goals to:
- develop and implement a standard configuration for electronic document and records management system (EDRMS) in use in the ACTPS;
- set up a number of demonstrator sites across government that can verify the standard configuration and establish the efficiencies and other benefits that can be gained from a transition to digital recordkeeping; and
- recommend a governance structure for managing the new system on a business as usual basis.
The project demonstrated the feasibility of whole of government digital recordkeeping approaches in the ACTPS and recommended a governance framework to manage these systems across directorate boundaries. During the project the Territory Records Office, in partnership with Shared Services Records Services, established a whole of government instance of Hewlett Packard Enterprises Records Manager software (known as HPRM or TRIM), as a means of consolidating the different instances of HPRM in use across the ACTPS. This system complements the Objective EDRMS software also in use in other parts of the ACTPS.
Following completion of the project the whole of government HPRM database continues to be operated on a business as usual basis by Shared Services Records Services. The Territory Records Office continues to advocate across government for the use of digital recordkeeping systems, and is working with Records Services and other parts of government to support the ongoing rollout of these systems. Trustworthy and reliable digital recordkeeping systems are essential to support all aspects of the work of the ACT Government, and in particular the transition of ACTPS offices to Activity Based Working and the delivery of the Chief Digital Officer’s ACT Government Digital Strategy 2016-2019.
Recordkeeping Standard, Guidelines and Tools
Last year the Office released its revised Standard and Guidelines for Records, Information and Data Management. During 2016-17 we have been developing additional tools and services to support agencies to comply with the new Standard. The first of these is a self-assessment checklist, which agencies are able to use to understand whether they are meeting their basic compliance requirements. The checklist also articulates a maturity model that allows agencies to understand how they might improve aspects of their recordkeeping practices and the value they add to their organisations.
The checklist is intended to support a new service of the Territory Records Office, which was developed and tested in 2016-17 and will be rolled out in 2017-18. The Better Records Advice and Support Service will provide detailed, targeted analysis of agency recordkeeping practices and make recommendations for better practice. Territory Records Office staff have been working with the Education Directorate to test our processes to ensure that the service delivers real value and meaningful recommendations that improve the contribution good recordkeeping can make to government business.
A major piece of work completed during 2016-17 was the review of the Territory Records Office’s Common Functions Thesaurus. The Territory Records Office maintains a whole of government thesaurus which agencies use to classify records so that they can be more easily identified and understood, and so that their authorised disposal can be efficiently managed. An important element of the thesaurus is a group of ‘common functions’ that all parts of government are likely to contribute to. These include the management of government finances, personnel and property. The Territory Records Office conducted a full review of 16 of these common functions to make them simpler to use and to reduce the decision-making required as part of the records creation process. The previous 16 function terms have now been reduced to eight, and the number of second-level classification terms, referred to as activities, has also been substantially reduced. The Office has had good feedback from records managers across government about the revised arrangements.
Chief Minister’s Governance Lecture
On 17 August 2016 the Office presented the second annual Chief Minister’s Governance Lecture. The Lecture is intended to highlight the rich resources that can be found in ACT Government archives, and their links with the debates in our city today. The 2016 event was a fascinating and engaging discussion on “Making the City: Innovative Governance and Urban Policy in the Nation’s Capital”, delivered by Dr Tim Williams. Dr Williams is the Chief Executive Officer of the Committee for Sydney and Principal with global consultancy Arup. Earlier in 2016 Dr Williams partnered with the ACT Government to deliver a vision for Canberra called Canberra: A Statement of Ambition. Dr Williams’ lecture drew on events in our planning history to talk about the ‘Canberra advantage’ and its implications for the city’s future design and growth.
The annual lecture event provides the opportunity for a researcher of some standing to explore a topic relevant to the history of the administration of the ACT through the use of newly released archival records. The aim of the lecture is to encourage substantial use of the Territory's archives and to share the results of that research with the broader community through a public event.
Public Access to Territory Archives
ArchivesACT provides access to ACT Government archives for members of the public on behalf of government agencies and promotes archival materials to the community more broadly. Since developing its Marketing and Promotions Strategy in 2013, ArchivesACT continues in particular to focus on maximising self-service opportunities for researchers and providing additional assistance to targeted researchers and groups.
Our key project for 2016-17 has been the development of our ACT Memory online archives database. The service will make information about publicly available ACT Government archives more accessible, and will allow researchers to, for the first time, conduct their own searches for these materials. The system will use open source, cloud-hosted software developed with the sponsorship of the International Council on Archives, called Access to Memory, or AtoM. We will be sharing our ACT Memory database with the ACT Heritage Library, and expect to begin making information publicly available in the first half of 2017-18.
Another of ArchivesACT’s aims is to partner with individuals and organisations whose work with ACT archival materials will help us to reach a broader audience. During the Canberra and Region Heritage Festival in April and May this year ArchivesACT partnered with the Turner School to celebrate inclusion and the 40th anniversary of the 1967 referendum on the treatment in the Australian Constitution of Indigenous people. Minister for Community Services and Social Inclusion, Rachel Stephen-Smith, spoke to a very engaged year 5 and 6 group about the significance of the Referendum and the meaning of social inclusion. Territory Records Advisory Council member Aunty Roslyn Brown performed a Welcome to Country for students and guests, and the students had the opportunity to ask Wiradjuri man and ACT Heritage Council member Mr Gary Shipp about the meaning of the Referendum for his family. As part of the event ArchivesACT staff provided Turner School teachers with information about curriculum resources for their studies in civics and citizenship. The event was held in conjunction with the ACT Heritage Library.
Our regular Find of the Month continues to be one of our most important avenues for allowing the community to engage with ACT archives. Each month, ArchivesACT staff identify and share with the community some of the interesting and quirky items to be found in the archives. In 2016-17 we have told stories about the history of gun control in Canberra, 1930s eucalyptus oil distilleries at Tidbinbilla, the early development of Braddon, and a proposal for a movie studio at Weston Creek.
Outlook
The coming year will see the finalisation of some important transitional initiatives for the Territory Records Office. Delivering our new Better Records Advice and Support Service and moving it to business as usual operations will signal a significant change in the way the Office interacts with ACT Government agencies. The service will allow us to be more strategic, collaborative and proactive in our approach to supporting better practice government recordkeeping. Similarly, the establishment of ACT Memory will change the way we interact with public researchers, allowing them to explore the riches of the ACT’s government archives for themselves. We expect that this will free up staff time to add to our users’ experience in other ways, and to put greater effort into promoting the archives more widely amongst the Canberra community.
A new initiative for the Territory Records Office in 2017-18 will be the development of approaches to the open access provisions of the Freedom of Information Act 2016. The new Act, which comes into force on 1 January 2018, requires agencies to be more proactive in the way they publish many types of routine documents. The Territory Records Office has been tasked with developing guidelines and mechanisms for agencies that will help them to embrace the open government culture that underpins the new Act and make information more freely available to the public.
The 2017-18 budget includes funding to move the ACT Heritage Library and ArchivesACT from their current location at the Woden Library to Fyshwick. This move to larger premises will be a significant one for ArchivesACT, as it will allow a small collection of archival materials to be held on site. This will allow staff to explore the archives in more depth and be more innovative in the ways archives are promoted to Canberrans. We look forward to working with our colleagues in the ACT Heritage Library to plan the transition, which we expect to happen late in 2017-18. Find of the Month and the Chief Minister’s Governance Lecture will remain key elements of our public engagement activities.
Whole of Government Reporting on Territory Records
The ACT Government’s Annual Report Directions require information about agency records management arrangements to be consolidated in the Director of Territory Records’ Annual Report. The reporting requirements and agencies’ responses are set out below.
Directorates and public sector bodies must provide a statement that indicates whether:
- a current Records Management Program has been approved by the directorate/public sector body’s Principal Officer and submitted to the Director of Territory Records;
- Records Management Procedures have been created and implemented throughout the directorate/public sector body; and
- appropriate training and resources are made available to all staff in the directorate/public sector body.
The statement must:
- provide details of how the public can inspect the Records Management Program as required by section 21(1) of the Act;
- outline the arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage; and
- list the approved Records Disposal Schedules by name and Notifiable Instrument.
Entity | RMP approved on this date | RMP under review, completion scheduled on this date | The RMP being developed, completion scheduled on this date | The RMP of this Directorate has been adopted | |
|---|---|---|---|---|---|
Chief Minister, Treasury and Economic Development | 2016 | ||||
ACT Compulsory Third Party Regulator | CMTEDD | ||||
ACT Insurance Authority | 2010 | ||||
Cultural Facilities Corporation | 2015 | ||||
Independent Competition and Regulatory Commission | 2017 | ||||
Land Development Agency | CMTEDD | ||||
Long Service Leave Authority | 2016 | ||||
Community Services | 2012 | ||||
Housing ACT | CSD | ||||
Education | 2014 | ||||
ACT Teacher Quality Institute | 2016 | ||||
Environment, Planning and Sustainable Development | 2016 | ||||
Commissioner for Sustainability and the Environment | EPSDD | ||||
Health | 2014 | ||||
Justice and Community Safety | 2018 | ||||
Human Rights Commission | JACS | ||||
Public Trustee and Guardian | 2018 | ||||
Transport and City Services | 2015 | ||||
Records Management Practices
Chief Minister, Treasury and Economic Development Directorate
The public can request access to the Records Management Program by submitting a request to the Records Manager.
Records management procedures have been created and are available to all staff via the appropriate intranet.
The entities’ policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage.
The Records Manager ensures that all records identified for disposal are actively reviewed prior to destruction to ensure that records that establish links or should otherwise be retained are properly identified.
ACT Insurance Authority
The Authority performs the function of Fund Manager for the Office of the Nominal Defendant of the ACT and the Default Insurance Fund and therefore the Authority’s Records Management Program also applies to these entities.
The public can inspect the Records Management Program by contacting the ACT Insurance Authority Records Management Delegate through the reception contact details found at the Authority’s website apps.treasury.act.gov.au/insurance-and-risk-management.
Records management procedures have been created and are available to all staff in the ACT Insurance Authority through WIRE (its approved Electronic Document Records Management System).
The entity’s policy and procedures do not include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage. However, staff have been made aware of this requirement and instructed to let the Records Management Delegate know if a record establishes a link.
Cultural Facilities Corporation
The public can inspect the Records Management Program by viewing it on the CFC website located at www.culturalfacilities.act.gov.au or by applying to:
Cultural Facilities Corporation
PO Box 939
CIVIC SQUARE ACT 2608
Records management procedures have been created and are available to all staff in the CFC via the internal shared drive and the CFC website.
The entity’s policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage. The CFC staff members understand the sensitivities relating to records about Aboriginal and Torres Strait Islander people and the need for these records to be preserved for possible future access and reference. The Canberra Museum and Gallery owns a number of works of art by Indigenous artists. Records of these works of art are kept both on Territory Records files and on a database. These records can be accessed by members of the public by applying to:
The Registrar
Canberra Museum and Gallery
GPO Box 939
CIVIC SQUARE ACT 2608
Independent Competition and Regulatory Commission
The public will be able to inspect the Commission’s Records Management Program by downloading it from our website at www.icrc.act.gov.au
Records management procedures have been created and are available to all staff in the Commission via its internal network.
The Commission has adopted practices which meet the document retention and disposal requirements and the file registry requirements of the ACT Government. The Commission’s records management practices are embedded in the Commission’s business continuity plans, risk management plans, internet policy and processes, and administrative procedures.
Land Development Agency
The public have been able to request access to the Records Management Program by submitting a request to the Records Manager within CMTEDD.
Records management procedures have been created and are available to all staff via the CMTEDD intranet.
The entity’s policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage.
The Records Manager ensures that all records identified for disposal are actively reviewed prior to destruction to ensure that records that establish links or should otherwise be retained are properly identified.
Long Service Leave Authority
The public can inspect the Records Management Program by requesting a copy of the Program from the Authority.
Records management procedures have been created and are available to all staff in via accessing the Authority’s common drive.
Community Services Directorate
The public can inspect the Records Management Program by contacting the Principal Officer or the Records Manager during ordinary working hours.
Records management procedures have been created and are available to all staff in Community Services Directorate via the organisation’s Intranet under Records Management Resources.
The directorate’s policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage. Records that could be used to establish links are identified and noted in the directorate’s recordkeeping system (HPRM) and they are preserved in secure but readily accessible facilities.
The ACT Government made the decision that Disability ACT will not exist as a service provider and direct funder of services beyond 30 June 2017. The target date reflects the Territory’s commitment to continue to provide quality services to the Canberra community during the transition of clients into the National Disability Insurance Scheme. During 2016-17 and as part of the closure, Disability ACT undertook a digitisation project to capture client records to electronic form to facilitate easier access to former client information and provide a smooth transition for new service providers.
Education Directorate
The public can inspect the Records Management Program by requesting a copy of the document by submitting a request to the Education Directorate’s Records Management Section email box (DET-Records_Managament_Unit@act.gov.au) or visiting the directorate’s internet site and viewing it on the Publication & Policy page www.education.act.gov.au/publications_and_policies/publications_a-z.
Records management procedures have been created and are available to all staff in Education Directorate via the Intranet.
The entity’s policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage. The Records Management Unit know if a record establishes links, links are noted in TRIM/Objective, awareness and instructions are provided as part of the entity’s training program.
ACT Teacher Quality Institute
The public can inspect the Records Management Program by visiting the TQI office at 170 Haydon Drive, Bruce or by requesting a copy – tqi@act.gov.au.
Records management procedures have been created and are available to all staff in the ACT Teacher Quality Institute via the TQI shared digital work space.
The entity’s policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage.
Environment, Planning and Sustainable Development Directorate
The EPSDD Records Management Program is available to the public via www.environment.act.gov.au or by email to epdcorporate@act.gov.au.
The information provided in this report applies to the Environment, Planning and Sustainable Development Directorate, including the Asbestos Response Taskforce (ART, the Taskforce). ART joined EPSDD on 1 November 2016 and information pertaining to the period of 1 November 2016 to 30 June 2017 has been incorporated.
The revised Records Management Program was added to the EPSDD SharePoint site to make it accessible to staff across the directorate.
Records management procedures have been created and are available to all staff in EPSDD via the Directorate Intranet and via the Directorate’s Electronic Document and Records Management System (EDRMS). Due to the sensitivity of the records managed by ART, the Taskforce has specific procedures for the management of records and use of the Taskforce’s EDRMS (Objective).
The entity’s policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage.
Health Directorate
The public can inspect the Records Management Program by a request in writing to the agency’s Principal Officer or the directorates’ records management unit via recordsmanagementcentre@act.gov.au.
Records management procedures have been created and are available to all staff in ACT Health via the Records Management intranet site. The intranet site is updated regularly and includes links to the Territory Records Office intranet and website.
The Administrative Recordkeeping Procedures Manual provides a framework for ACT Health to systematically capture, register, classify, use, store, retain and dispose of records. The entity’s policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage.
Links with Aboriginal and Torres Strait Islander Heritage has been included in the Administrative Records Management Policy. Records created, received and discovered which contain information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage will be appropriately managed, protected and made accessible if needed. All records management staff are aware and understand the sensitivities relating to records about Aboriginal and Torres Strait Islander people, and the need for these records to be preserved for possible future access and reference.
The current Disposal Schedule has identified a small quantity of Aboriginal and Torres Strait Islander people records requiring permanent retention.
Justice and Community Safety Directorate
The public can inspect the Records Management Program by contacting the Directorate Records Manager at:
Email: JACSFOI@act.gov.au
Phone: (02) 6207 2167
The JACS Records Management Program, the authorising legislation, policy and procedures are available to all staff in JACS via the JACS intranet.
The directorate’s records management policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage. Under the procedures, business units are advised to contact the directorate’s Records Manager to discuss any records that might be used to establish such links to ensure appropriate preservation practices are put in place.
The 2015-2017 JACS Records Management Program states that the directorate will regularly review its level of compliance with the Territory Records Act 2002. To satisfy this commitment, business units are required to undertake a self-assessment of their recordkeeping practices every two years. This was undertaken and finalised in late 2016, with the results indicating that awareness and implementation of key recordkeeping practices has improved since the previous assessment held in 2014. The directorate will continue to work with business units to ensure they are aware of their responsibilities under the Territory Records Act 2002.
Public Trustee and Guardian
The public can inspect the Records Management Program by requesting a copy of the Program.
Records Management Procedures have been created and are available to all staff in Public Trustee and Guardian via PTG’s Intranet.
The entity’s policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage.
Transport Canberra and City Services Directorate
This is the first records management report for the new directorate, bringing together records of light rail, ACTION buses, libraries, roads, recycling and waste, local shopping centres and public spaces.
The Transport Canberra and City Services (TCCS) Records Management Program has been approved by the entity’s Principal Officer and submitted to the Director of Territory Records. The public can inspect the Records Management Program by viewing it on the TCCS website.
Records management procedures have been created and are available to all staff in TCCS via the intranet.
TCCS policy and procedures include specific arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage.
Records Management Training and Resources
Chief Minister, Treasury and Economic Development Directorate
Record Management training for all staff is actively encouraged. Training is provided to new staff via the induction programs, while internal tailored training is provided by records management officers, to staff and areas that have particular requirements. Staff also have access through the ACTPS training calendar to a number of courses provided by external training organisations.
Internal training was delivered to approximately 315 CMTEDD staff and covered areas such as general records management requirements, archiving and disposal, information security, and training in the use of recordkeeping systems (HPRM8 and Objective).
In particular, as a result of significant changes to the common administrative functions, training was developed and delivered to 117 staff to assist with the transition to the new terms and disposal schedules.
Chief Minister, Treasury and Economic Development Directorate has a central full-time Records Manager within the directorate with approximately four (full-time equivalent) other staff in the directorate engaged in maintaining and supporting recordkeeping systems and records management processes.
All other staff are responsible for undertaking a range of records management activities and are supported and encouraged to undertake recordkeeping in a way that is consistent and accountable.
ACT Insurance Authority
The ACT Insurance Authority has one Records Management Delegate who is the internal and external liaison point for all records management related enquiries.
Training is provided to all new staff via the ACT Insurance Authority induction process. Training for existing staff is provided if/when the Records Management Program changes.
The activity of arranging for records to be archived is conducted by staff as necessary.
Cultural Facilities Corporation
The CFC staff members have been advised of their responsibilities to make accurate records of their activities; to ensure that such records are incorporated into the CFC’s record-keeping system; and to comply with all Records management procedures. Records management training is available to appropriate CFC staff members.
A staff member represents the CFC in the Records and Information Management Community of Practice (RIMCoP) meetings facilitated by the Territory Records Office and also attended the inaugural Digital Records Capability Working Group meeting facilitated by Records Services.
Independent Competition and Regulatory Commission
Training opportunities are available for new employees, as well as through ongoing staff meetings and development.
Whilst all staff are aware of their legislative responsibilities for recordkeeping, the Office Manager is dedicated to the ordering of registry files in order that file naming conforms to the Whole of Government recordkeeping Thesaurus.
The Commission has also developed an Office Manual covering higher level elements of records keeping. The Office Manual is a part of the Records Management Program.
Land Development Agency
Record Management training for all staff is actively encouraged and has been provided to new staff via induction programs both through LDA and CMTEDD.
In line with audit recommendations, LDA strengthened its record management training through sourcing and promoting additional training sessions led by CMTEDD records management staff. Internal records management training was delivered to LDA staff and covered areas such as general records management requirements, archiving and disposal and information security.
Information sessions regarding changes to the records management thesaurus was provided to at least five staff and approximately 20 staff have access to and use the Electronic Document and Records Management System (EDRMS) used within CMTEDD.
Through the LDA Governance Program, a Records and Document Management Framework and Protocols guide staff on the principles of good document management including records management. Staff can access external records management training through the ACTPS training calendar.
The Chief Minister, Treasury and Economic Development Directorate and Land Development Agency shared a full-time Records Manager within the directorate. The directorate engaged four (full-time equivalent) staff to maintain and support recordkeeping systems and records management processes.
LDA staff are responsible for undertaking a range of records management activities and are supported and encouraged to undertake recordkeeping in a way that is consistent and accountable. One executive has implemented peer-reviews of official files as a means of educating staff and encouraging accurate and consistent record keeping practices.
Long Service Leave Authority
The Authority provides staff with suitable training opportunities to ensure the continuation of sound record keeping practice.
Community Services Directorate
The Community Services Directorate continues to provide core capability and online records management training. The directorate provides monthly updates on recordkeeping issues and information to all staff through its intranet site to better educate and raise awareness of the importance of records management. The directorate has a dedicated records management resources web page that includes policy, procedures, guidelines and advice sheets. The Records Manager also regularly attends line area meetings to provide advice and guidance on recordkeeping.
There are currently five staff members working in the Directorate’s Records Management Unit which is led by a SOGC with 2 x ASO4s and 1 x ASO1. There are also four other staff located at Housing ACT Records Management Unit which includes 1 x ASO3 and 3 x ASO1s. Record disposal schedules and functional thesauri continue to be reviewed, developed and implemented to ensure consistency and uniformity with the management and control of the directorate records. As part of the directorate’s records management continuous improvement program, a review of onsite record holdings via a file census was undertaken throughout the directorate (excluding Housing ACT).
Education Directorate
Training
Records management training opportunities are available to all staff via a monthly workshop and refresher training advertised through the professional learning calendar.
Resources
The directorate’s current resources are six full time employees that are responsible for registering, archiving and providing access to the directorate’s records.
ACT Teacher Quality Institute
TQI provides staff training as part of the induction process. Refresher training is available. Additional training is scheduled to communicate records management changes.
TQI has three staff with specific records management responsibilities:
- Senior Manager, Data and Systems Projects
- Senior Manager, Governance and Information
- Assistant Manager, Strategic Data and Digital Services
TQI is using an EDRMS framework for records management compliance. This includes the automated, real time transfer of key data from its business system to its record keeping system.
Environment, Planning and Sustainable Development Directorate
EPSDD are committed to best practice records management, and as such provide induction training related to recordkeeping and use of the Objective EDRMS to all staff commencing with the directorate. In addition to this induction training the records management team provide refresher training to staff on an as-required basis, and regularly attend team meetings to address questions and provide updates on changes in internal processes.
The EPSDD Information Management Team includes two staff dedicated to records management tasks. This is reflective of both the size of the directorate, and the directorate’s focus on enabling all staff to be confident and capable record-keepers, rather than relying on one team of experts.
The staff in the EPSDD Information Management team have a broad range of responsibilities, including records management, privacy, customer complaints, and public access, and have relevant industry qualifications suitable to their principle responsibilities. The Asbestos Response Taskforce (ART) Information Management Team includes three staff with responsibility for records management. This is reflective of the significance of the work undertaken by the Taskforce, and the importance of the retention and protection of records associated with this program. The staff within the ART Information Management Team have responsibility for records management, public access processes, secretariat support, as well as a wide range of governance responsibilities. Staff within this team have extensive experience that supports the needs of the specific needs of the Taskforce.
Health Directorate
The ACT Health Administrative Recordkeeping Procedures Manual and associated policy have recently been reviewed and endorsed by the ACT Health Policy Advisory Committee. Electronic copies of both documents are available on the Records Management intranet site as well as on the ACT Health Policy Register. This ensures compliance with legislation across all ACT Health sites. Records Management for administrative records is included in the Managers Orientation Program, conducted monthly and coordinated by the Staff Development Unit. Records Management staff provide on the job training to ACT Health staff. The e-learning package has recently been reviewed and approved; this is available to staff, to reinforce the awareness of the requirements for compliance of record keeping and management.
A HP Record Manager (HP RM) Basic User Manual has been finalised and is available on the Records Management intranet site. Training is also available for new and current HP RM users.
RIMCoP meetings are attended by staff from Records Management.
The Records Manager is a corporate nominee of Records and Information Management Professionals Australasia.
Justice and Community Safety Directorate
Records Management training is available through the directorate and ACT Government training calendars.
JACS Governance continues to work with business units to assist them in meeting their recordkeeping requirements.
The records manager participates in branch meetings across the directorate to give an overview on records management requirements and to answer questions.
Public Trustee and Guardian
Training
All staff go through induction, training, business unit meetings.
Records staff e.g. professional development opportunities.
Resources
PTG has an Office Services Unit comprising two staff. The OSU manages PTG records management program.
Transport Canberra and City Services Directorate
Internal training sessions are provided for all TCCS staff. During 2016-17 records management training was provided to 13 TCCS staff.
Records Disposal Schedules
Records disposal schedules are issued under section 19 of the Territory Records Act to identify the records that must be retained by ACT Government agencies as Territory archives, and which others may be destroyed when they no longer have significant value to the agency, the government or the community.
A core group of records disposal schedules covers functions commonly undertaken by all government agencies. In addition, agencies must have in place records disposal schedules that are relevant to their specific business functions. Agencies cannot destroy a Territory government record unless a relevant records disposal schedule has been issued and that schedule has been identified in the agency’s records management program.
Schedule name | Date effective | Instrument no. | |
|---|---|---|---|
Finance and Treasury Management Records | 27 February 2017 | ||
Government and Stakeholder Relations Records | 27 February 2017 | ||
Human Resources Records | 27 February 2017 | ||
Information and Communications Technology Records | 27 February 2017 | ||
Property Equipment and Fleet Records | 27 February 2017 | ||
Records and Information Management Records | 27 February 2017 | ||
Solicitor and Legal Services Records | 27 February 2017 | ||
Source Records | 25 March 2011 | ||
Strategy and Governance Records | 27 February 2017 | ||
Preserving records containing information that may allow people to establish links with their Aboriginal and Torres Strait Islander heritage | 25 March 2011 | ||
Protection of records relevant to the Royal Commission into Institutional Responses to Child Sexual Abuse | 1 February 2013 | ||
Schedule name | Date effective | Instrument no. |
|---|---|---|
Arts and Cultural Development Records | 18 June 2004 | |
Business Development Records | 9 January 2009 | |
Community Development Records | 14 July 2006 | |
Development Approval and Asset Acceptance Records | 28 October 2005 | |
Disability Services Records | 11 March 2016 | |
Disaster Recovery (Human Services) Records | 6 May 2005 | |
Environmental Management Records | 25 March 2011 | |
Gambling and Racing Regulation Records | 15 December 2004 | |
Government Coordination Records | 14 September 2007 | |
Government Insurance Services Records | 11 December 2009 | |
Independent Competition and Regulation Records | 3 February 2006 | |
Industry Development Records | 26 September 2006 | |
Industry Long Service Leave Records | 14 July 2006 | |
Inquiries & Commissions Records | 6 May 2005 | |
Land Development Records | 21 April 2006 | |
Legislative Assembly Secretariat Records | 18 June 2004 | |
Milk Vending Records | 9 October 2007 | |
Parks, Reserves and Public Places Records | 8 March 2011 | |
Procurement Records | 9 October 2007 | |
Public Sector Management Records | 3 February 2006 | |
Road and Rail Management Records | 7 July 2015 | |
Security Coordination Records | 11 September 2009 | |
Sport and Athlete Development Records | 14 December 2006 | |
Tourism Records | 14 November 2003 | |
Traffic and Transport Records | 7 July 2015 | |
Training and Tertiary Education Records | 7 July 2015 | |
Venue & Event Management Records | 28 October 2005 | |
WorkCover Records | 28 October 2005 | |
Workplace & Safety Policy Records | 8 March 2011 |
Schedule name | Date effective | Instrument no. | |
|---|---|---|---|
Child and Youth Protection Services Records | 14 October 2016 | ||
Community Development Records | 14 July 2006 | ||
Disability Services Records | 11 March 2016 | ||
Disaster Recovery (Human Services) Records | 6 May 2005 | ||
Parenting Services Records | 26 September 2006 | ||
Schedule name | Date effective | Instrument no. | |
|---|---|---|---|
Education Strategy Records | 30 August 2013 | ||
External Education Relations (Non-Government) Records | 30 August 2013 | ||
Health Treatment and Care Records | 24 December 2013 | ||
School Management Records | 30 August 2013 | ||
Student Management Records | 7 July 2015 | ||
Teacher Quality Records | 30 August 2013 | ||
Training and Tertiary Education Records | 7 July 2015 | ||
Schedule name | Date effective | Instrument no. | |
|---|---|---|---|
Corporate Governance Records | 9 January 2009 | ||
Environmental Management Records | 25 March 2011 | ||
Land, Planning and Building Records | 16 April 2004 | ||
Ombudsman Complaint Management Records | 8 March 2011 | ||
Parks, Reserves and Public Places Records | 8 March 2011 | ||
Road and Rail Management Records | 7 July 2015 | ||
Traffic and Transport Records | 7 July 2015 | ||
Schedule name | Date effective | Instrument no. | |
|---|---|---|---|
Health Treatment and Care Records | 24 December 2013 | ||
Patient Services Administration | 24 December 2013 | ||
Population Health Care Management and Control Records | 8 May 2009 | ||
Public Health Protection Records | 5 August 2016 | ||
Student Management Records | 14 October 2016 | ||
Training and Tertiary Education Records | 7 July 2015 | ||
Schedule name | Date effective | Instrument no. | |
|---|---|---|---|
ACT Director of Public Prosecutions Records | 8 March 2011 | ||
ACT Law Courts and Tribunals Records | 15 December 2004 | ||
Advocacy Services Records | 7 July 2015 | ||
Audit Services Records | 3 February 2006 | ||
Corporate Governance Records | 9 January 2009 | ||
Corrective Services Records | 26 September 2006 | ||
Emergency Awareness Records | 13 April 2012 | ||
Emergency Management Records | 13 April 2012 | ||
Fair Trading Records | 28 October 2006 | ||
Government Coordination Records | 14 September 2007 | ||
Human Rights and Discrimination Records | 7 September 2004 | ||
Inquiries and Commissions Records | 6 May 2005 | ||
Ombudsman Complaint Management Records | 8 March 2011 | ||
Public Trustee Services Records | 3 February 2006 | ||
Security Coordination Records | 11 September 2009 | ||
Victims Support and Redress Records | 8 May 2009 | ||
WorkCover Records | 28 October 2005 | ||
Workplace and Safety Policy Records | 28 February 2011 | ||
Schedule name | Date effective | Instrument no. | |
|---|---|---|---|
ACT Government Veterinarian Records | 8 March 2011 | ||
Cemeteries and Crematoria Management Records | 15 December 2004 | ||
Development Approval and Asset Acceptance Records | 28 October 2005 | ||
Environmental Management Records | 25 March 2011 | ||
Parks Reserves and Public Places Records | 8 March 2011 | ||
Road and Rail Management Records | 3 July 2015 | ||
Stormwater Drainage Records | 15 December 2004 | ||
Traffic and Transport Records | 6 July 2015 | ||
Waste Management Records | 7 September 2004 | ||
Other Information and Projects
Chief Minister, Treasury and Economic Development Directorate
The use of Electronic Records Management Systems has been expanded in the directorate with close to 880 users currently using one of the approved systems. The further expansion of these systems will continue to be encouraged as a means of improving our capacity to better meet the requirements of the Territory Records Act 2002.
As part of our requirement to protect and provide access to significant records, work is being undertaken to preserve and digitise the top ten entrants to the National Arboretum design contest.
Cultural Facilities Corporation
The CFC has continued the rollout to digitise our records where possible using the WIRE interface/Whole of Government HP Records Manager. Records Services have provided staff with support and training.
CFC has provided Records Services with notification of unregistered records that require disposal in accordance with approved disposal schedules. These records have been registered on the Record Services database and destroyed onsite at CFC.
Land Development Agency
Implementation of the recent administrative arrangements will see a number of LDA staff transition to Objective as their EDRMS through EPSDD.
Community Services Directorate
As part of the strategic management of the directorate’s records, the legal opinions (LORD) database together with the Child Development Services have their the records created and controlled (as part of the pilot project overseen by the Territory Records Office) on the whole of government electronic document records management system (EDRMS). This initial step is a progressive stride towards the complete management of records in electronic form.
The directorate’s ongoing records disposal program to sentence and dispose of time expired records not only ensures efficiencies in records management but also to reduce storage costs.
Education Directorate
The directorate is currently piloting EDRMS solutions using Business System and SharePoint integration with HP RM8.
Health Directorate
In late 2016, the ACT Health Records Management team created and conducted a customer satisfaction survey to gain a level of understanding surrounding how records management services are received by ACT Health staff. The aim of the customer satisfaction survey was in line with the ACT Health strategic goal of Quality.
The survey provided a great deal of information regarding ACT Health staff’s perception of records management services. From this feedback, ACT Health Records Management has developed an action plan to monitor and review the internal procedures, processes and education programs. The final customer satisfaction report has been made available on the Records Management intranet site. In addition, a repeat survey will be conducted in late 2017.
Justice and Community Safety Directorate
The directorate is also implementing an organisational compliance assurance program which incorporates a requirement for Executives to confirm their compliance level with the Territory Records Act 2002. This tool will further assist the Principal Officer in obtaining that level of assurance from all JACS business units.
Public Trustee and Guardian
PTG is currently implementing an EDRMS under which all records will be captured and held in electronic form from the commencement date. Back-scanning will only be undertaken in respect to PTG’s Will and Enduring Powers of Attorney.
Transport Canberra and City Services Directorate
Significant records events of 2016-17:
- Majura Parkway Records Archived; and
- Move from Macarthur House saw 1,768 boxes of records archived.
Further information can be obtained from
Danielle Wickman
Director
Territory Records Office
+61 2 6207 0194
Dani.Wickman@act.gov.au