Director of Territory Records

Transmittal Certificate

• View Transmittal Certificate here

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 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 315;
• Organisational Overview and Performance subsections 1 and 2, see pages 317-322. 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 2017‐18 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 ACTPS directorates, as follows:

• M. Community Engagement and Support, see the 2017-18 Chief Minister, Treasury and Economic Development Directorate Annual Report;
• N. Justice and Community Safety, including all subsections N.1 – N.4, see the 2017‐18 Justice and Community Safety Directorate Annual Report;
• O. Public Sector Standards and Workplace Profile, including O.1–O.3, see the 2017-18 State of the Service Report; and
• P. 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: https://www.cmtedd.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 ACTPS 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 to assist members of the public to have access to ACT government archives.

The main purposes of the Territory Records Act 2002 (the Territory Records 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 2016.

The Territory Records 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 in the Chief Minister, Treasury and Economic Development Directorate. The Office is made up of 6.4 Full Time Equivalent (FTE) staff, including the Director.

The current Director of Territory Records is Ms Danielle Wickman. The Director is a senior executive appointed under both the Public Sector Management Act 1994 and the Territory Records Act. The Director’s remuneration is as determined for all ACT Senior Executives under the Remuneration Tribunal’s Determination 9 of 2018 – Head of Service, Directors-General and Executives.

The Director’s responsibilities are to lead the work of the Territory Records Office and to provide advice to the Minister, the Strategic Board, CMTEDD Executives and ACT Government agencies on archives, records and information governance matters. The Director also exercises powers and functions under the Territory Records Act, including approving standards for government recordkeeping, authorising the disposal of Territory records, and making determinations regarding the restriction of records from public access.

Territory Records Advisory Council

The Territory Records Advisory Council is established by the Territory Records 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 Territory Records 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 are paid a sitting fee in accordance with the ACT Remuneration Tribunal’s Determination 8 of 2018 – Part Time Public Office Holder – Territory Records Advisory 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.

The Territory Records Advisory Council met four times during 2017–18. Membership of the Council during the year and the number of meetings each member attended is as follows:

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 2017-18 the Council considered and advised on matters such as the implementation of the Freedom of Information Open Access Scheme and the restructure of the Territory Records Office.

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 2017–18 the Council considered four new or revised Records Disposal Schedules. This is a reduction on the total of 22 schedules for 2016-17, when the Territory Records Office conducted a large scale review of its Common Functions Thesaurus and associated disposal schedules.

The Council has maintained its interest in the Territory Records Office’s work to influence digital recordkeeping practices in the ACT Public Service. Members noted in particular the Director’s role in the consideration of information technology-supported budget initiatives through her membership of the Chief Digital Officer’s Digital Services Governance Committee. The Council also endorses the Office’s ongoing work to assist agencies to transition their recordkeeping to a WoG, digital environment. The Office’s commissioning of a configuration review of the WoG electronic document and records management system (EDRMS) is, in Council’s view, important in maintaining and improving the usability of the system and its acceptance by ACT Government business units.

Council also takes seriously its role in advising on issues relating to publicly accessible records. Members noted that the Find of the Month and the Chief Minister’s Governance Lecture continue to be important initiatives for the Office and play a key role in demonstrating the richness of the ACT Government’s archives to a wider audience. Council members also received reports on the Office’s role in developing guidelines and systems to support the introduction of the Open Access Information Scheme under the Freedom of Information Act 2016, which came into effect on
1 January 2018. Members saw a demonstration of the Open Access Information website, and were able to provide valuable feedback to the Office on its operation. 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 2017-18.

The 2017-18 budget included 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 with interest the continuing work to support closer cooperation between the two institutions when they move to the new environment. Council members particularly look forward to the opportunities the new accommodation will present for ArchivesACT to store some archival material on site, and note that a dedicated archives repository would further enhance the security, preservation and public accessibility of the ACT’s most significant government archives.

Council members were keenly interested in the restructure of the Territory Records Office, which occurred during 2017-18. Members noted that the new structure would provide greater leadership depth to the Office, and allow the Director of Territory Records to engage more strategically with ACT Government and other stakeholders. The Chair of the Council was involved in the selection process for the new Director’s position, and members congratulated Ms Danielle Wickman on her appointment to the role.

Performance Overview and Highlights for 2017–2018

During the 2017-18 reporting year the Territory Records Office has undergone considerable change to better position it to drive digital approaches to ACT Government archives and records management. The Office continues to pursue a range of initiatives that are intended to make better use of digital technology in support of efficient and effective management across government of authoritative records that contribute to good government, customer service, accountability and community interests.

A restructure of the Office has been completed to provide greater strategic depth and to support the Director’s increased engagement with a range of stakeholders across government and externally. The new structure created a new position of Deputy Director of Territory Records, and increases the ongoing staffing of the Office from 5.4 to 6.4 FTE staff. During 2017-18 the Office’s staffing also included an additional officer, funded with assistance from ACT Government Directorates, to support the implementation of the Freedom of Information Open Access scheme.

The core of the Office’s work remains unchanged. We continue to deliver a number of recordkeeping policy, regulatory and advice products and services to ACT Government agencies and the community, including:

• sponsoring a community of practice amongst ACT Government agency records and information management practitioners;
• assisting agencies to respond to requests from, and the report of, the Royal Commission into Institutional Responses to Child Sexual Abuse;
• managing copyright licensing arrangements and developing policy approaches on behalf of agencies;
• authorising schedules for the disposal of Territory records, and monitoring their implementation by agencies;
• updating and extending our advice to agencies on records management issues;
• providing a friendly, effective and timely service to members of the public accessing ACT Government archives; and
• pursuing opportunities to promote the archival resources of the ACT.

Digital Record Keeping

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. Following the successful completion of the WoG digital recordkeeping project in October 2016, the Office has concentrated on building the case for the further deployment of digital records capabilities for the ACTPS.

In conjunction with Shared Services, the Office was successful in securing funding in the 2018-19 budget. The Office’s initiative, which will commence in the 2019 calendar year, will work in close collaboration with Shared Services to extend the rollout of EDRMS capabilities to up to 8,500 staff over four years. Territory Records Office staff worked extensively with Shared Services to develop a deployment and funding model that would meet WoG needs and provide appropriate incentives for agencies to join the EDRMS service. Development of the business case also involved discussions with the ACT Government’s Flexible Work Arrangements team, to ensure that the Office’s plans are capable of supporting the ACT Government’s transition to activity based working arrangements in the new Government office accommodation.

In the lead-up to the new EDRMS initiative, the Territory Records Office has commissioned a review of the existing configuration of the WoG EDRMS established through the 2016 pilot project. The review is intended to test some of the decisions made about the way users are required to manage their records in the system. The review has made recommendations about adjustments that can improve users’ experience and acceptance of the system and to respond to particular business needs. The review was completed in late June 2018, and the Office will work in conjunction with Shared Services to implement its findings in 2018-19.

Recordkeeping Tools and Guidance

During the year the Territory Records Office continued its introduction of the Better Records Advice and Support Service. BRASS undertakes detailed, targeted analysis of agency recordkeeping practices and makes recommendations for better practice. Following the completion of two ‘test’ engagements with agencies, the Office is considering the lessons learned from this process before embarking on a full program for 2018-19. That program is expected to look in particular at agency processes for authorising the disposal of records, and approaches to considering recordkeeping requirements in the development of business systems.

Following our 2016-17 review of our WoG Thesaurus, the Office has pursued a project to upgrade and make better use of the specialist software supporting the Thesaurus. An important interim step has been to improve the integration of the Thesaurus software with key systems used by Shared Services in the creation and management of hard copy records, where these are still required by agencies. That project has required significant engagement with the software vendor and Shared Services, and will lay the foundation for further improvements to the way the Territory Records Office manages the legislative instruments that authorise the disposal of ACT Government records in all formats.

Chief Minister’s Governance Lecture

The Chief Minister’s Governance Lecture 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.

On 8 February 2018 the Office presented its third Lecture. The Lecture is an opportunity to highlight the rich resources that can be found in ACT Government archives, and their links with the debates in our city today. This year’s lecturer was Dr Michael Easson, AM, chairman of the ACT Government’s City Renewal Authority. Dr Easson has qualifications on history, transport and urban planning, politics, finance, management and sustainable development, and this unique range of experiences enabled him to deliver a thoughtful and engaging lecture titled “All Aboard: The Journey of High Speed Rail to Canberra”.

The audience for the Lecture has increased with each event, with around 80 people attending the third Lecture. The Lecture is an avenue through which the Territory Records Office seeks to reach groups and individual who may not otherwise be users of government archives, encouraging new understandings of our city’s history and its relevance today.

Open Access Information Scheme

The Freedom of Information Act 2016 introduced a new proactive publication regime, known as the Open Access Information scheme, which came into effect on 1 January 2018. Open Access Information requires ACT Government agencies to proactively publish a range of documents. It is intended to underpin open government principles and reduce the need for individuals to use detailed Freedom of Information application processes to access government information. The Scheme relates primarily to agency policy documents, but also requires (subject to a public interest test) publication of Ministers’ diaries, summaries of Cabinet decisions and information about ACT Government boards and committees.

The Territory Records Office worked closely with staff in the Justice and Community Safety Directorate and in Shared Services Online Services to support the introduction of the new requirements. This included development of guidelines and fact sheets on the application of the Scheme, and designing and overseeing the development of the Open Access Information web page. As at 30 June there were more than 3,500 documents publicly available through the site at http://www.act.gov.au/open-access, which had received more than 7,000 visits.

Public Access to Territory Archives

ArchivesACT, a unit of the Territory Records Office, provides access to ACT Government archives for members of the public on behalf of agencies, and promotes archival materials to the community more broadly. Alongside the Chief Minister’s Governance Lecture, our Find of the Month continues to be our key avenue to bring the stories in the ACT Government archives to a wide audience. Each month, ArchivesACT staff identify and share with the community some of the interesting and sometimes quirky items to be found in the archives. In 2017–18 we brought to life Government archives about travelling stock routes in the ACT, the building of Belconnen Mall, and corporal punishment in Canberra schools.

The ACT Heritage Library continues to be a partner in the work of ArchivesACT. Our two institutions are currently co-located at Woden Library, and we share a core customer group of dedicated researchers who make good use of both services. While we each have different missions and functions, we are increasingly working together to provide public access to the ACT’s documentary heritage. Planning for our foreshadowed move to new joint premises at Fyshwick continues, and ArchivesACT staff have been researching the approaches taken in other jurisdictions to the colocation and harmonisation of public archives and library services. We also jointly marked the Canberra and Region Heritage Festival by producing a postcard that celebrates the work of Charles Weston, who is credited with establishing Canberra as the “garden city”.

Another joint project with the Library, our shared ACT Memory database, also continued during the year. While we had hoped to publicly launch the database during 2017-18, work has been delayed due to staff movements in both ArchivesACT and the Heritage Library. Development work on the database will continue into 2018-19. When finalised, ACT Memory 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.

Outlook

The 2018-19 financial year will be a significant one for the Territory Records Office. Budget funding for the continuing implementation of digital records systems and preparations for agencies to transition to activity based working will see the Office’s FTE staffing increase to a peak of 11.4 during the delivery of the initiative. Beginning in 2019, the Office will commence a project to develop the long-term strategy for digital recordkeeping, including by implementing our response to our EDRMS configuration review and identifying opportunities for better integration of the ACT’s digital recordkeeping systems into business processes. Also in 2019, the Office will establish a team to advise agencies on the proper management of their existing paper records as they prepare to move into new Government office accommodation and transition to activity based working.

The Office will also begin to take advantage of its new core structure to increase its engagement at senior levels across the ACT administration and complete its significant business improvement projects. Key areas of focus will be the transition of support for the Open Access Information Scheme to business as usual operations, the continued rollout of the BRASS initiative, the ongoing development of ACT Memory, and the move of our public reading room to Fyshwick.

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 Territory Records 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.

Records Management Programs

Records management practices

Chief Minister, Treasury and Economic Development Directorate

Records management procedures have been created and are available to all staff in CMTEDD via the Intranet. The Directorate also refers to policy and factsheets as developed by the Territory Records Office.

The Directorate’s Program 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.

The public can request access to the Records Management Program by submitting a request to the Records Manager. The Program can also be found on the ACT Government Open Access webpage at www.act.gov.au/open-access

Cultural Facilities Corporation

Records management procedures have been created and are available to all staff in the Cultural Facilities Corporation (CFC) via the internal shared drive and the CFC website.

The CFC’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. 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 (CMAG) 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.

Questions regarding access to CFC records should be directed to:

The FOI Information Officer
Cultural Facilities Corporation
PO Box 939
CIVIC SQUARE ACT 2608

The public can inspect the Records Management Program by viewing it on the CFC website located at http://www.culturalfacilities.act.gov.au or by applying to:

Cultural Facilities Corporation
PO Box 939
CIVIC SQUARE ACT 2608

Independent Competition and Regulatory Commission

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 administrative procedures.

The public can inspect the Records Management Program by downloading it from our website at www.icrc.act.gov.au.

Community Services Directorate

Records management procedures have been created and are available to all staff in the 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 Community Services Directorate Records Management Program is currently under review and is scheduled to be approved by the entity’s Principal Officer and submitted to the Director of Territory Records in 2018.

Education Directorate

Records management procedures have been created and are available to all staff in Education Directorate via the intranet.

Education Directorates 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 public can inspect the Records Management Program upon request from det-records_management_unit@act.gov.au

ACT Teacher Quality Institute

Records management procedures have been created and are available to all staff in the ACT Teacher Quality Institute (TQI) via the TQI shared digital work space.

TQI’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 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.

Environment, Planning and Sustainable Development Directorate

Records management procedures are available to all EPSDD staff via the directorate’s website, staff intranet and Electronic Document and Records Management System (EDRMS), Objective. Due to the sensitivity and significance of the records managed by the Asbestos Response Taskforce, specific procedures are in operation for the management and access to information held by the Taskforce.  
ESPSDD is committed to ensuring that records, including those of cultural significance which enable people to establish links with their Aboriginal and Torres Strait Islander heritage, are appropriately managed and preserved, and made available to individuals seeking information that connects them with their heritage.

EPSDD is the steward of many significant records of the ACT including those relating to the development, protection and ongoing management of Territory land for the Canberra community and its future generations. The directorate’s policies and procedures accord with the Territory Records (Records, Information and Data) Standard 2016 (No 1). This ensures the principles of open and accountable government are upheld and the way in which Territory records are managed, preserved and accessible meets compliance requirements and community expectations.

Agency staff are advised to contact the directorate’s Records Manager to discuss any records requiring special consideration or protection to ensure appropriate arrangements are put in place.

The public can inspect the Records Management Program via the Directorate’s website: https://www.planning.act.gov.au/about-us/management-of-records.

City Renewal Authority

Records management procedures are available to all staff of the Authority via the EPSDD’s website, staff intranet and the Authority Electronic Document and Records Management System (EDRMS), Objective.

Authority staff are advised to contact the Business Operations Manager or the EPSDD Records Manager to discuss any records requiring special consideration or protection to ensure appropriate arrangements are put in place.

Suburban Land Agency

Records management procedures are available to all staff of the Agency via the EPSDD’s website, staff intranet and the Suburban Land Agency Electronic Document and Records Management System (EDRMS), Objective.

The Suburban Land Agency is committed to ensuring that records, including those of cultural significance which enable people to establish links with their Aboriginal and Torres Strait Islander heritage, are appropriately managed and preserved, and made available to individuals seeking information that connects them with their heritage.

The Agency is the steward of many significant records of the ACT including those relating to the development and management of Territory land for the Canberra community and its future generations. The policies and procedures adhered to by the Agency accord with the Territory Records (Records, Information and Data) Standard 2016 (No 1). This ensures the principles of open and accountable government are upheld and the way in which Territory records are managed, preserved and accessible meets compliance requirements and community expectations.

Agency staff are advised to contact the Business Operations Manager or the EPSDD Records Manager to discuss any records requiring special consideration or protection to ensure appropriate arrangements are put in place.

Health Directorate

Administrative Records

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 Freedom of Information Act 2016 and Territory Records Office intranet and website.

The Administrative Recordkeeping Procedures manual provides a framework for ACT Health to methodically capture, register, classify, use, store, retain and dispose of records.

The ACT Health Administrative Records Management policy also includes a section under Roles and Responsibilities for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage. All records management staff are aware and understand the sensitivities relating to records in any format about Aboriginal and Torres Strait Islander People, and the need for these records to be preserved for possible future access and reference. Records identified are retained as Territory Archives.

The entity’s Administrative Records Management Program 2017 is also available on Records Management’s intranet site. The public can request a copy of the ACT Health Administrative Records Management Program by writing to the ACT Health Principal Records Officer.

Clinical Records

Records management procedures have been created and are available to all staff on the ACT Health Policy Clinical Guidance Register. The Clinical Record Service Internal Procedure Manual is available to all relevant staff via the shared Q drive.

ACT Health’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 ACT Health Patient Administration System is used to record details where any ACT Health consumers identify as being of Aboriginal and or Torres Strait Islander Heritage to assist in the health treatment and care.

The Clinical Record Service Records Management Program has been approved and is published on the ACT Health Policy Register.

Justice and Community Safety Directorate

Records management procedures have been created and are available to all staff in JACS via JACS’s publication website under Open Access and on the 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 2018–2020 JACS Records Management Program states that the directorate will regularly review its level of compliance with the Territory Records Act. To satisfy this commitment, business units are required to undertake a self-assessment every 2 years. This process is coordinated by the JACS Records Manager who assists business units with the completion of a questionnaire regarding their recordkeeping practices. The self-assessment process developed by JACS internally, was undertaken in 2014 and 2016. This process will be replaced in 2018 by a WoG self-assessment maturity checklist developed by the Territory Records Office. JACS will continue to use this checklist every 2 years to build upon our records management capability.

The directorate will continue to work with business units to ensure they are aware of their responsibilities under the Territory Records Act.

The JACS Records Management Program is a part of the JACS Open Access publishing. The public can inspect the Records Management Program by viewing it on the JACS’ publication website.

Legal Aid

Records management procedures have been created and are available to all staff in Legal Aid Commission (ACT) via the Intranet.

Legal Aid Commission (ACT) 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 system used in the Legal Aid Commission (ACT) establishes records for archiving and destruction.

The public can inspect the Records Management Program by accessing it on the Legal Aid ACT external website at http://www.legalaidact.org.au/

Transport Canberra and City Services Directorate

Records management procedures have been created and are available to all staff in TCCS via the TCCS Intranet.

TCCS’s policy and procedures include arrangements for preserving records containing information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage.

The public can inspect the Records Management Program by viewing it on the TCCS website at https://www.cityservices.act.gov.au/about-us/freedom_of_information/records_management_program

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 on records management covered areas such as general recordkeeping principles, storage and disposal requirements, effective titling and information security. Training was provided in the use of digital recordkeeping systems (HPE Content Manager and Objective).

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 within business areas 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

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.

Independent Competition and Regulatory Commission

Training opportunities are available for all new employees, as well as through ongoing staff meetings and development.

Whilst all staff are aware of their legislative responsibilities for record keeping, the Office Manager is dedicated to the ordering of registry files in order that file naming conforms to the Whole of Government Thesaurus.

The Commission has also developed an Office Manual covering higher level elements of record keeping. The Office Manual is part of our Records Management Program.

Community Services Directorate

The 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.

The Community Services Directorate (CSD) Records Management Unit comprises a SOG C Records Manager, 2 Administrative Services Officer (ASO) ASO4s and an ASO1. The Housing ACT Records Management Unit comprises an ASO3 and 3 ASO1 positions.

Education Directorate

Six FTE staff are assigned to records management tasks. Currently the directorate is transitioning to full electronic record keeping and engaging with vendors to digitise records that are classed as Retain as Territory Records and destroy records due for destruction.

All staff have the opportunity to attend a monthly workshop and refresher training sessions.

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:

• Assistant Manager Professional Registration Services;
• Assistant Manager, Strategic Data and Digital Services; and
• Project Officer, Records Management.

TQI is using an electronic document and records management system (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 demonstrates its commitment to best practice records management through the adoption of an EDRMS that has been identified as compliant under the Territory Records Act and through the provision of general and tailored instruction on recordkeeping requirements and the use of Objective.

The EPSDD Information Management Team (IMT) delivers records management training (including workshops and refresher sessions) and regularly attends team meetings to instigate business improvement for recordkeeping and compliance under the Act.

Under service level agreements with the City Renewal Authority and Suburban Land Agency, the IMT also provides all staff, mandatory records management training sessions.

The broad ranging responsibilities of the IMT include records management, public access to government information, privacy, customer complaints, and support to the Senior Executive Responsible for Risk and Business Integrity and the Directorate’s Public Interest Disclosure Officers.

Further resourcing of EPSDD information management services includes a dedicated team (Digital Solutions) to provide Objective support and manage the administration of electronic information systems and a designated records officer in the ART.

City Renewal Authority

Under a service level agreement, EPSDD provides records management training (including workshops and refresher sessions) to Authority Staff and the Business Operations Manager attends meetings to instigate business improvement for recordkeeping and compliance under the Act.

Suburban Land Agency

The Agency demonstrates its commitment to best practice records management through the adoption of an EDRMS that has been identified as compliant under the Territory Records Act 2002 (the Act) and by mandating records management training for Agency staff.

Under a service level agreement, EPSDD provides records management training (including workshops and refresher sessions) to Agency Staff and the Business Operations Manager attends meetings to instigate business improvement for recordkeeping and compliance under the Act.

Health Directorate

Administrative Records

The ACT Health Administrative Recordkeeping Procedures Manual and associated Policy are 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, organised by the Staff Development Unit.

Records Management staff also provide on the job training and support to staff in ACT Health to manage their records. An e-learning resource that provides awareness and understanding of legislative requirements was recently reviewed and approved by the Executive Director of Business Support Services.

Records & Information Management Community of Practice (RIMCoP) meetings are attended by staff from Records Management regularly. The Records Manager is a corporate nominee of Records and Information Management Professionals Australasia (RIMPA).

Clinical Records

All Clinical Record Service staff undergo Induction to the service and detailed one-on-one record management training on commencement.  Refresher training is provided as needed. A number of
e-learning courses relevant to clinical records, documentation and privacy are available to all ACT Health staff:

• Clinical Records Documentation Requirements;
• Clinical Documentation – Mental Health;
• ABF/ABM Module 4 – Clinical Coding and documentation;
• Negligence and Documentation;
• CHARM Document Scanning and Importing;
• Clinical Portal – Alerts Management Solution;
• Clinical Portal – Electronic Discharge Summaries (EDS) Module;
• Clinical Portal – eOrders Imaging Module;
• Clinical Portal – eReferrals Module;
• Clinical Portal – My Health Record;
• Clinical Portal – Pathology eOrders and Collections;
• Clinical Portal – Surgical Safety Checklist;
• Clinical Portal Foundation;
• Privacy and Confidentiality; and
• Records Management.

The Clinical Record Service provides a range of record management tasks and related activities:

• Digitisation and clinical record management;
• Clinical Coding;
• Discharge Summaries and Form management;
• Reception and Mail processing;
• Medico-legal and patient access;
• Sub and non-acute patient assessments;
• PMI and Patient Identifier Review team; and
• Research and Health Information Management.

Justice and Community Safety Directorate

JACS is in the process of rolling out Electronic Document and Records Management System training across the directorate which incorporates short sessions on:

• Territory Records Act;
• Freedom of Information Act 2016;
• Protective Security Policy Framework; and
• Information Privacy Act 2014.

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. JACS Executives participate in the organisational capability maturity program which also incorporates a requirement for Executives to confirm their capability and maturity level with the Territory Records Act.

Records Management training continues to be available through the Directorate and ACT Government training calendars to support staff maintain awareness of broader legislative obligations.

Legal Aid

Training provided to staff includes:

• Induction;
• Operational training; and
• Operational Manuals.

Records Management staff participate in WoG forums. One Records Management Officer exists in the Commission and provides training and support to legal support staff to undertake appropriate record keeping.

Transport Canberra and City Services Directorate

Internal training sessions are available for all TCCS staff, and records management is included in the TCCS induction training.

During 2017-18 digital records management training and information sessions were provided to TCCS staff in preparation for the introduction of an electronic document records management system in 2018-19.

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.

Record Disposal Schedules for use by Whole of Government

Record Disposal Schedules reported by Chief Minister, Treasury and Economic Development

Record Disposal Schedules reported by Community Services

Record Disposal Schedules reported by Education

Record Disposal Schedules reported by Environment, Planning and Sustainable Development

Record Disposal Schedules reported by Health

Record Disposal Schedules reported by Justice and Community Safety

Record Disposal Schedules reported by Transport Canberra and City Services

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 1,012 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.

A focus has been placed on the sentencing and disposal requirements of hardcopy records across the directorate.

Cultural Facilities Corporation

The CFC has continued the rollout to digitise our records where possible using the WIRE interface/WoG Records Manager. Records Services have provided staff with support and training.

Independent Competition and Regulatory Commission

The Commission completed an audit of all registry files on site and in offsite storage and completed a destruction process approved by the Territory Records Office. The Commission is currently in discussion with Record Services regarding the implementation of an EDRMS.

Community Services Directorate

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. In 2017-18, this included Child and Youth Protection Services and Out of Home Care Agency files.

The directorate’s ongoing records disposal program to sentence and dispose of time expired records is to not only ensure efficiencies in records management but also to reduce storage costs.

Environment Planning and Sustainable Development Directorate

EPSDD is currently undertaking activity in preparation for a move to activity based work in new ACT Government accommodation scheduled for completion in 2020.

EPSDD is assisting with the re-allocation of records across the directorate, the Suburban Land Agency and City Renewal Authority following the commencement of the Administrative Arrangements 2017 (No 1).

Health Directorate

Clinical Records

In 2017-2018 ACT Health continued to fund the strategy to maintain the reduced clinical record scanning delay and clinical coding backlog by continuing to invest in temporary scanning staff and contract coders. The clinical record scanning delay has been maintained at less than 2 weeks and the additional scanning staff are expected to be required until the new, more efficient Clinical Patient Folder (CPF) scanning solution can be implemented in 2018-2019. The Clinical Coding backlog has also been maintained at less than 3,000 records by supplementing the in-house coding team with contract coders when required.

The reduction in the scanning delay facilitates high quality patient care and timely clinical coding while the reduction in the clinical coding backlog supports compliance with mandatory data submission timeframes and accurate data for activity monitoring and management of the health service.

ACT Health has a project underway to replace CRIS, the current clinical record scanning solution with the new CPF - Clinical Patient Folder application in 2018-2019. The new clinical record information system will provide increased efficiency around the digitisation of clinical records and improved usability for clinicians. The highly intuitive user interface and sophisticated e-forms functionality will enhance patient care by facilitating ready access by clinicians to critical health information and clinical record documents.

Justice and Community Safety Directorate

JACS Governance is planning to roll out general training on Open Access Information Scheme across the directorate. Workshops and presentations will be provided to all staff to improve the understanding of Open Access Information and effective record keeping.

Transport Canberra and City Services Directorate

A project has begun to implement Objective as the TCCS electronic document and records management system. Implementation of Objective will occur over a 12 month period between  1 July 2018 and June 2019.

TCCS responded to 15 archives requests during 2017-18. Five requests related to land management; three waste management; one domestic animals, two transport; and two related to functions not specific to TCCS.

Further information can be obtained from

Danielle Wickman
Director
Territory Records Office
+61 2 6207 0194
Danielle.Wickman@act.gov.au