QA_POL_19 Data and Records Management Policy

1. Purpose

This policy is provided on behalf of the RTO, Lumify Learn as a commitment to providing quality training and assessment products and services in accordance with the Standards for Registered Training Organisations 2015 (SRTOs). This Policy ensures that Lumify Learn maintains a systematic, compliant approach to the effective management of all records.

2. Policy Statement

Lumify Learn is committed to implementing effective and efficient records management processes for business, compliance and all training and assessment records and documentation, in accordance with legislative and regulatory requirements.

3. Definitions

3.1 The following words and expressions have the following specific meaning, as in the Standards for Registered Training Organisations (RTOs) 2015.

Record means a written, printed, or electronic document providing evidence that activities have been performed.

Student Identifier has the meaning given in the Student Identifiers Act 2014

4. Policy Principles

4.1 Records

Records on operations include:

4.1.1 Training and Assessment Records
  • Client Enrolments and personal details;

  • Client progress, training and assessment activities and outcomes;

  • Corporate/client relations;

  • Complaints and appeals;

  • Issuing of certification documentation;

  • Total VET Activity;

  • Training Delivery;

  • Recognition;

  • Client fees;

  • Refunds.

4.1.2 Compliance Records
  • Continuous improvement activities and systems;

  • Training and assessment strategies;

  • Validation plan, activities and outcomes;

  • Industry consultation;

  • Training and assessment resources;

  • Quality Indicators;

  • Evaluation;

  • Audit.

4.1.3 Business Records
  • Business planning processes;

  • Financial management records;

  • RTO compliance and auditing;

  • Staff records; including selection, induction; professional development, performance review;

  • Third party Partnership arrangements;

  • Marketing and advertising approvals;

  • Legislative and regulatory requirements;

  • Workplace health and safety.

4.2 Electronic Records

  • Lumify Learn Student Management System (SMS) is backed up on a daily basis, at the COB daily or on completion of data entry.

  • All Lumify Learn documents and emails are saved to the system network (server), which is backed up at the COB daily and weekly and stored externally.

  • Electronic Records will be uploaded to relevant reporting databases in accordance with the reporting requirements.

  • Quality Indicator Reports are to be uploaded in accordance with the Quality Indicator Guidelines.

  • Staff are not to save student/client records and information to external hard drives or USB without the permission of their manager.

  • Students/Clients enrolling with Lumify Learn will have their records retained at XYZ.

4.3 Paper-based Records

  • Paper Records are stored in secure/lockable cabinets for a period of not less than 12 months.

  • Paper records are archived annually, for an additional four (4) years in secure storage facilities.

  • Paper Records can be destroyed after five (5) years.

5. Lumify Learn Responsibilities

The CEO for Lumify Learn is responsible for ensuring compliance with this policy.

Data entry and records management is carried out by Student Support Officer and Administration team, in accordance with Duty Statements.

All staff are responsible for ensuring compliance with privacy and confidentiality of records, including non-disclosure of computer logins and passwords.

Enrolments are entered into the Student Database and then held on the Student Training File.

Assessments results are entered in the Student Database and the paper copy will be held on the Student Training File.

Qualifications and Statements of Attainment will be issued in accordance with the Issuing of Qualifications Policy. Copies of all Qualifications and Statements of Attainment issued will be stored inside the Student Database.

Client Induction Checklist and receipt for course payment will be held in the Students file, the SMS and the Financial Management database.

6. Access and Equity

Lumify Learn access and equity policy applies to student access to their own personal records. (See Access and Equity Policy)

7. Monitoring and Improvement

All records management practices are monitored by the CEO of Lumify Learn and areas for improvement identified and acted upon. (See Continuous Improvement Policy)

8. Related Documents

QA_PRO_19 Data and Record Management Procedure

QA_FRM_19_01 Completeness of student file checklist

QA_FRM_19_05 Change in personal details form

QA_REG_25 Continuous improvement register

QA-POL-01 Meeting Legislative and Regulatory Requirements Policy

QA_REG_01_01 Master Register: policies & procedures, documents

QA_POL_02 Marketing Policy

QA_PRO_02 Marketing Procedure

QA_REG_02 Marketing Register

QA_FRM_02_06 Marketing Guide