records unit – sai global audit

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Agenda – Finance & Administration Committee 18/2/09 - #1964156

FINANCE & ADMINISTRATION COMMITTEE

18 FEBRUARY 2009

11 RECORDS UNIT – SAI GLOBAL AUDIT Mandy Wise : 1/3/87-05: #1931110

RECOMMENDATION: That Council: 1. note the SAI Global Audit Report and the status of work in progress within

the Records unit. 2. re-adopt General Policy – Statement of Affairs with the revised review date

of December 2009, the Public Availability of Confidential Council Information General Policy and the Information Privacy Policy.

INTRODUCTION: Council currently holds certification to ISO9001:2000 with SAI Global Limited and an annual audit was completed in November 2008.

BACKGROUND: SAI Global is an industry body which sets standards that align with international standards. The former Cairns City Council has been accredited with SAI Global Limited for approximately 5 years and as such was audited on an annual basis, with a more detailed audit performed triennially. Although Council is not required to be accredited, it is of great benefit to promote and maintain the organisation as highly professional and adhering to ‘best practice’. Although former Douglas Shire Council was not accredited with SAI Global, both former Councils were members of the Records Management Association of Australasia (RMAA).

COMMENT: Mossman Due to the amalgamation a substantial amount of former Douglas Shire Council documentation was in hardcopy form and stored in various locations throughout the former chambers, including an external shed which was full of reports, files and other documentation. They also had existing electronic records in Dataworks which were also required to be transferred into DM5, which is a relatively new upgrade to Council’s existing records management system.

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Council engaged the consultancy services of a records expert for 5 months to address the situation and formulate a plan to assess and catalogue the documentation and to formulate a plan to electronically capture all relevant material. This plan is now being implemented and the attached report clearly indicates the significant workload required to ensure former Douglas Shire Council records are preserved in a manner to allow access to the information electronically. Resources At the time of amalgamation, the Mossman office originally had 2 records officers, however one has been vacant for some time. This is now being filled for a minimum period of 6 months by an agency temporary employee to assist with the assessment and archiving process of the documentation. Whenever possible, assistance is being provided from the Customer Service Team at Mossman to assist with this prioritised project. Additionally, the permanent and stable staffing of positions at Spence St, including the Team Leader, within the Records Unit has only been recently achieved after a significant period of shortages and use of temporary staff caused by resignations and multiple staff on extended leave. Findings On completion of the recent SAI Global audit< the attached report was furnished to Council outlining the results. As there were no non-conformances with the standards, Council was recommended for continued certification, which in light of the current situation is an extremely positive outcome. There were a number of ‘Areas of concern’ identified which need to be addressed prior to the next audit and some ‘Opportunities for Improvement’ which will be implemented to further enhance Council’s document management system.

CONSIDERATIONS: Corporate and Operational Plans: This report supports Corporate Goal 10.2 – Better systems for minimising the risk of adverse outcomes to Council and the community. Statutory: The Records Unit operations and the Audit are conducted in compliance with the following:

• Public Records Act 2002 • Information Standards 31 and 40 • Freedom of Information Act 1992

Policy: The Records Unit operations are further governed by the following policies:

• Public Availability of Confidential Council Information Policy • Statement of Affairs – Freedom of Information Act 1992

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Two policies of the former Cairns City Council also have relevance:

• Information Security Policy • Information Privacy Policy

As a result of the Audit it was noted that the General Policy – Statement of Affairs - Freedom of Information Act 1992 a number of small changes were required (eg change in Council meeting dates). The Public Availability of Confidential Council Information Policy makes reference to penalty units and states that they are currently $75. As Council resolved in December 2008 to increase as of 1 March 2009 the penalty unit amount from $75 to $100 this should now be reflected in the policy as well. The Information Privacy Policy should now be readopted with small changes (eg reference to CRM not RRS). As these are largely administrative in nature it is recommended that the revised policy should be readopted. Financial and Risk: It is important that Council’s records management system and related operations are compliant with the relevant legislation and policies and that Council’s certification is maintained. Sustainability: Not applicable.

CONSULTATION:

OPTIONS: 1. That Council note the SAI Global Audit Report and the status of work in progress

within the Records unit

2. That Council request greater clarification on the status of a specific matter.

CONCLUSION: That Council note the Audit Report and the status of work in progress within the Records unit.

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ATTACHMENTS: 1. SAI Global Limited – Surveillance Audit 21/11/2008 #1931638

2. Mossman Office – Records Audit as at November 2008 #1888537

3. General Policy – Statement of Affairs – Freedom of Information Act 1992 - #541267

4. Public Availability of Confidential Council Information #424142

5. Information Privacy Policy #1240222 Mandy Wise Coordinator Administration Services Linda Kirchner Manager Corporate Performance Brett Grosser General Manager Corporate Services

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Attachment No. 1

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Attachment No. 2 CAIRNS REGIONAL COUNCIL #1888537 Back Scanning Project – Mossman Office November 2008 BACKGROUND Following is an update of a report submitted by Annie Zachariah (Project Analyst – Information) in April 2008 (Document 1885575 refers). At the time of the initial report the staffing level in the Records Unit of the Mossman office was two (2) full time officers. That level has since reduced to one (1) full time officer effective from the end of July. The impact of this reduction is covered later in this report. LOCATION OF RECORDS – MOSSMAN OFFICE Below is a summary of the various record types as well as a description, approximate quantity and location within the office building. • PROPERTY FILES HELD IN PROPERTY ROOM – APPROX. 8,600 FILES

Contains a spread of document types including (but not limited to): o Building applications including architectural plans (once final inspection issued) o Plumbing applications including sewerage and drainage plans o Planning applications and files including multiple copies o DataWorks documentation which has been scanned and captured into DataWorks

• BUILDING APPLICATIONS HELD IN PROPERTY ROOM – APPROX. 2,000 FILES

Contains a spread of document types including (but not limited to): o Building applications including plans varying in stages of final inspections issued or final

inspection yet to be issued o Plumbing applications including sewerage plans o Plumbing as constructed plans

• PLANNING APPLICATIONS HELD IN PROPERTY ROOM AND PLANNING OFFICES – APPROX.

800 FILES Contains a spread of document types including (but not limited to): o Material Change of Use application files at varying stages of completion o Combined application files at varying stages of completion o Reconfiguration/Subdivision application files at varying stages of completion o Operational Works application files at varying stages of completion o Town Planning Consent application files at varying stages of completion o Permits to Damage Protected Vegetation documentation and files

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• ENGINEERING PLANS HELD IN DONGA AND RECORDS ROOM – APPROX. 11,000 Contains a spread of document types including (but not limited to): o Assorted Plans/Drawings including sewage treatment plants, subdivisions, water

supply, harbour, cemetery, bikeways and drainage • RATES PLANS HELD IN RATES AREA AND PROPERTY ROOM – APPROX. 750

Contains a spread of document types including (but not limited to): o Assorted Plans/Drawings including development control plans, parish maps, street

numbering, town planning and building • ASSORTED PLAN SETS HELD IN OFFICE ENVIRONMENTS AND WORK AREAS – APPROX. 400 PROPOSED COURSE OF ACTION As previously mentioned, the report dated April 2008 had outlined an Action Plan for dealing with back‐scanning/capture of records. Changes in staffing levels within Mossman Records Unit have necessitated that Action Plan be updated with a restructure of actions and timeframes. Since these changes, the new course of action has been established as follows: 1. Clearing of office environments and work areas with documentation/records stored

(temporarily) in archive boxes ready for insertion in relevant physical files. Property Files Sort and file all loose documents from Property File Room, various office environments and work areas. Status: Building Manager’s office is 70% cleared with plans identified and marked for filing. Plumbing work area is completed with plans identified and marked for migration. Bookcase of loose documentation identified to files and continue to be migrated. Large number of loose plans and documentation located in the far corner of Property

Room is yet to be processed.

Building Applications Determine applications with final inspection issued and place on to existing property file or created property file. Status: Of the estimated figure of 1,000 files approximately 300 of those have been migrated

to property files or new files have been created as required. As constructed plans are continuing to be extracted from the plumbing files and of

these 535 as constructed plans have been migrated into DM5.

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Planning Applications Sort and file loose documentation from Property File Room as well as various office environments and work areas. Status: Planning Office 1 completed with documentation located to 15 archive boxes for

migration. Planning Office 2 completed with documentation located to 12 archive boxes which

relate to 2006 Douglas Shire Council Planning Scheme which the process is yet to be determined.

Engineering Plans Identify and scan plans into DM5 required for relevant area. Status: Completed. Rates Plans The process and requirements of these plans are yet to be determined by Rates, it appears there is no immediate urgency for them. Assorted Plans in various locations Covered within property files, building and planning applications. 2. Migration of documentation into files. With the amount of boxes and identified plans in nominated areas, the migration of documents into files continues with an allocation of two (2) hours per day assigned to filing for the project. This allocation of time is dependent on the priorities as required by Customer Service, where the Records Unit is now located. 3. Capture of files into DM5 This process is on an as‐required basis due to the issue of the ongoing status of migration of files which is incomplete, although 25 property files have been captured into DM5 varying in size from manilla folder to archive box in volume. SUMMATION The process of compiling records to their individual files is progressing at all levels with some project areas already completed. However, the reduction in records staff in Mossman combined with increased responsibilities subsequent to the relocation of the Records Unit into the Customer Service area as well as ongoing equipment issues has impacted on the overall progress of a number of aspects of the initial Action Plan. It is difficult to accurately estimate a timeframe for the completion of the preliminary processes leading up to full scale back scanning until the issue of competing priorities is resolved.

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Additionally, equipment malfunctions will also require resolution if the back scanning of records is to proceed in earnest. Krista Henry Records Officer Cairns Regional Council

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Attachment No. 3 CAIRNS REGIONAL COUNCIL NO.1:02:19

General Policy

Statement of Affairs – Freedom of Information Act 1992 Intent To ensure Council complies with Section 18 of the Freedom of Information Act 1992. Scope This policy applies to the yearly publishing of Council’s Statement of Affairs under the

Freedom of Information Act 1992. Refer to #789080 for Statement of Affairs. PROVISIONS

(1) Council, must publish an up to date statement of affairs annually. (2) The statement must contain -

a) A description of Council’s structure and functions; b) A description of the way’s in which the Council functions (including its decision making

functions) affect members of the community; c) A description of any arrangements that exist to enable members of the community to

participate in the formulation of Council policy and the exercise of Council functions; d) A description of the various kinds of documents that are usually held by Council,

including – (i) the kinds of documents that are available for inspection at Council under an

enactment other than this Act, whether or not inspection of any document is subject to a fee or charge; and

(ii) the kinds of documents that are available for purchase from an agency; and (iii) the kinds of documents that are available for the agency free of charge;

e) A description of literature available from the agency by way of subscription services or

free mailing lists; f) A list of all boards, councils, committees and other bodies constituted by two or more

persons that (i) are a part of, or that have been established for the purpose of advising the agency;

and (ii) whose meetings are open to the public or the minutes of whose meetings are

available for public inspection;

a description of arrangements that exist to enable a member of the community to obtain access to Council documents and to seek amendment of Council documents which concern the person’s personal affairs; and a description of Council’s procedures in relation to the giving of access to Council documents and to the amendment of Council documents concerning the personal affairs of a member of the community, including

(i) the designation of officers to whom inquiries should be made; and (ii) the addresses at which applications under this Act should be lodged.

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(3) Nothing in the Statement of Affairs requires the publication of exempt matter under the Freedom

of Information Act 1992.

This policy is to remain in force until otherwise determined by Council. General Manager Responsible for Review: General Manager Corporate Services ORIGINALLY ADOPTED: 18/11/2002 CURRENT ADOPTION:18/02/2009 DUE FOR REVISION:1/12/2009 REVOKED/SUPERSEDED:

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STATEMENT OF

AFFAIRS

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This Statement of Affairs is published by Cairns Regional Council (“Council”) in accordance with the requirements of Section 18(1) of the Freedom of Information Act 1992.

Council is pleased to comply with the legislation and welcomes enquiries.

An updated Statement of Affairs under the Freedom of Information Act 1992 will be published at least every 12 months.

N P Briggs Chief Executive Officer Council Chambers 119-145 Spence Street CAIRNS QLD 4870

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INTRODUCTION The Freedom of Information Act requires Council to annually publish a “Statement of Affairs” which includes such things as a description of Council’s structure and functions and the various kinds of documents that are usually held by it. The Statement of Affairs is open to public inspection.

GENERAL POWERS A local government has, in the exercise of its jurisdiction, all the powers of an individual. A local government may, for example -

• Enter into contracts; • Acquire, hold, deal with and dispose of property; • Make charges for services and facilities it supplies; and • Do other things necessary or convenient to be done in the exercise of its

jurisdiction A local government has the powers given to it under the Local Government Act 1993 and other Acts. The Council The Council is a legal entity with perpetual succession. The Council comprises a popularly elected Mayor and ten Councillors elected for a four-year term. Councillors are elected for each of the ten electoral divisions and represent the overall public interest of the whole region as well as their electoral Division. The present Council was elected in March 2008 and will serve until elections in March 2012. Council decisions are made at Council meetings. The Planning and Environment Committee meet generally on the second Wednesday of the month followed by Sports, Art, Culture & Community Services Committee. The Finance & Administration Committee meet generally on the third Wednesday of the month (commencing at 10.00a.m.) followed by Works & Services Committee and then Water & Waste Committee. Dependent upon progress, the meeting may be reconvened after a lunch break. All these committees have delegated powers to make decisions on behalf of the full Council. The Ordinary meeting is generally held on the Wednesday of the fourth week of the month commencing at 10.00a.m. Council meetings are open to the public. The meeting agenda items can be inspected at the Customer Service Centre and are generally available on Council’s web site one week prior to each meeting (www.cairns.qld.gov.au). Copies of the open session agenda are available at the meeting. Council is committed to fully engaging with the public and as such conducts meetings in a number of locations to foster community involvement. Minutes (unconfirmed) are available at the Customer Service Centre, City and Mossman Libraries and on the web site two working days after the meeting.

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Membership of Council Committees

PLANNING & ENVIRONMENT

• The Mayor (Chair) • All other Councillors

FINANCE & ADMINISTRATION

• Cr A Blake. (Chair) • All other Councillors

SPORTS, ARTS, CULTURE & COMMUNITY SERVICES

• Cr M Cochrane. (Chair) • All other Councillors

WORKS & SERVICES

• Cr P Gregory. (Chair) • All other Councillors

WATER & WASTE SERVICES

• Cr P Gregory. (Chair) • All other Councillors

Council also has a number of stakeholder reference groups to which relevant state agencies are also encouraged to attend. Whilst the minutes of these meetings are not generally publicly available, interested members of the public are encouraged to make submissions to or seek representation on these committees.

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THE MAYOR AND COUNCILLORS

P O Box 359, Cairns 4870 Councillors Fax at Council: (07) 4044 3089

MAYOR Cr Val Schier o 4044 3083 f 4044 3049 m 0407 100 886 [email protected]

Division 1 Cr Paul Gregory

Division 2 Cr Nancy Lanskey

Ph 4044 3071 (c) Ph 4056 2081 (h/w) mobile 0427 755 141 fax 4056 2118 (h) [email protected]

Ph 4044 3072 (c) Ph 4055 4634 (h) mobile 0417 076 432 fax 4044 3089 (c) [email protected]

Division 3 Cr Robert Pyne

Division 4 Cr Kirsten Lesina

Ph 4044 3073 (c) Ph 4036 0376 (w/h) mobile 0438 360 376 fax 4045 3390 (h) [email protected]

Ph 4044 3074 (c) mobile 0407 659 650 fax 4044 3089 (C) [email protected]

Division 5 Cr Alan Blake

Division 6 Cr Linda Cooper

Ph 4044 3075 (c) Ph 4051 1171 (w) mobile 0414 708 529 fax 4051 1170 (W) [email protected]

Ph 4044 3076 (c) mobile 0419 656 995 fax 4058 1090 (H) [email protected]

Division 7 Cr Diane Forsyth

Division 8 Cr Margaret Cochrane

Ph 4044 3077 (C) Ph 40320321 (h) Mobile 0438 729 407 Fax 4044 3089 (C) [email protected]

DEPUTY MAYOR Ph 4044 3080 (c) Ph 4039 0928 (h) mobile 0419 706 372 fax 4044 3089 (C) [email protected]

Division 9 Cr Sno Bonneau

Division 10 Cr Julia Leu

Ph 4044 3079 (c) Ph 4055 3608 )h) mobile 0412 653 413 fax 4059 2416 (h) [email protected]

Ph 4044 3082 Cairns Ph 40999403 Mossman mobile 0488 987 066 fax 4044 3089 ( [email protected]

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THE ORGANISATION

CHIEF EXECUTIVE OFFICER CORPORATE COMMUNICATION MAYORAL SUPPORT

SECRETARY TO MAYOR EXECUTIVE ASSISTANT TO MAYOR

GENERAL MANAGER WORKS & SERVICES

INFRASTRUCTURE MANAGEMENT STRATEGIC PLANNING – TRANSPORT,

DRAINAGE, PARKS & FORESHORES & NATURAL RESOURCES PROGRAMS

CORPORATE CAPITAL WORKS COORDINATION

CAPITAL WORKS PROGRAMMING ASSET MANAGEMENT COORDINATION WORKS INVESTIGATIONS

PROJECT SERVICES PROJECT MANAGEMENT - MAJOR PROJECTS ENGINEERING CONSULTING SERVICES INFRASTRUCTURE SPECIFICATIONS

CAIRNS WORKS CONSTRUCTION - ROADS, DRAINAGE, PARKS

AND MINOR WORKS MAINTENANCE - ROADS, DRAINS, MINOR

WORKS, PARKS, STREET LITTER AND PUBLIC TOILET CLEANING

GENERAL MANAGER PLANNING & ENVIRONMENT

ENVIRONMENTAL ASSESSMENT BUILDING REGULATION BUILDING CERTIFICATION ENVIRONMENTAL PROTECTION LOCAL LAW PUBLIC HEALTH VECTOR CONTROL CEMETERIES ENVIRONMENTAL ASSESSMENT FAR NORTH

GENERAL MANAGER CORPORATE SERVICES

CORPORATE PERFORMANCE GENERAL ADMINISTRATION ADMIN SUPPORT TO COUNCIL PROPERTY MANAGEMENT INSURANCE CUSTOMER SERVICE CENTRE BUSINESS IMPROVEMENT RECORDS CORPORATE PLANNING

FINANCE REVENUE RATES ACCOUNTS PAYABLE MANAGEMENT ACCOUNTING FINANCIAL ACCOUNTING TREASURY PAYROLL PURCHASING FINANCIAL MODELING

HUMAN RESOURCES RECRUITMENT & SELECTION LEARNING & DEVELOPMENT WORKPLACE HEALTH & SAFETY INDUSTRIAL RELATIONS

INFORMATION SERVICES APPLICATIONS INFRASTRUCTURE SUPPORT

BUSINESS SUPPORT ADMINISTRATION SUPPORT FINANCIAL SUPPORT LOGISTICAL SUPPORT (STORES) ASSET ACCOUNTING

DEVELOPMENT ASSESSMENT INTEGRATED DEVELOPMENT ASSESSMENT DEVELOPMENT ENGINEERING

PLANNING STRATEGIES STRATEGIC LAND USE PLANNING CAIRNS PLAN REGIONAL PLANNING ENVIRONMENTAL PLANNING

GENERAL MANAGER WATER & WASTE

OPERATIONS WATER SERVICES WASTEWATER SERVICES ELECTRICAL AND MECHANICAL MAINTENANCE WORKPLACE HEALTH & SAFETY

WASTE & ENVIRONMENTAL SERVICES KERBSIDE WASTE COLLECTION &

RECYCLING BUY BACK SHOP MATERIALS RECOVERY FACILITY WASTE TRANSFER STATIONS LANDFILL OPERATIONS WASTE CONTRACT MANAGEMENT ENVIRONMENTAL SERVICES ENVIRONMENTAL MANAGEMENT

INFRASTRUCTURE PLANNING & DESIGN CAPITAL WORKS DELIVERY ASSET MANAGEMENT

BUSINESS SERVICES CORPORATE & COMPLIANCE REPORTING QUALITY SYSTEMS RISK MANAGEMENT PLUMBING & TRADE WASTE FINANCIAL MANAGEMENT CUSTOMER SERVICE ADMINISTRATIVE SUPPORT WATER QUALITY LABORATORY

TECHNICAL SUPPORT SERVICES FACILITIES MAINTENANCE DESIGN SERVICES SURVEY SERVICES SYSTEMS SUPPORT (ENVIRONMENT, SAFETY, QUALITY) DISASTER MANAGEMENT

CAIRNS FLEET FLEET HIRE MECHANICAL SERVICES FLEET ASSETS

LEGAL SERVICES LEGAL SERVICES COMPLIANCE

GENERAL MANAGER COMMUNITY & CULTURAL SERVICES

CULTURAL SERVICES & FACILITIES BOTANIC GARDENS & SUGARWORLD CIVIC THEATRE INNER CITY FACILITIES TANKS ARTS CENTRE MEMORIALS & PUBLIC ART MUSEUM DEVELOPMENT ART GALLERY LIAISON

SPORT, RECREATION & COMMUNITY DEVELOPMENT COMMUNITY DEVELOPMENT COMMUNITY DEVELOPMENT FAR NORTH SOUTHERN SUBURBS SUPPORT SERVICE SPORT & RECREATION LEISURE VENUES - SWIMMING POOLS - CARAVAN PARKS - CAMPING GROUNDS - BARLOW PARK

LIBRARIES LIBRARIES NETWORK NORTHERN LIBRARIES NETWORK SOUTHERN LIBRARIES SUPPORT SERVICES SISTER CITIES COLLECTIONS

ECONOMIC DEVELOPMENT LIAISON WITH ECONOMIC AND TOURISM DEVELOPMENT AGENCIES ADVANCE CAIRNS TOURISM TROPICAL NORTH QLD. (TTNQ)

ASSET MANAGEMENT DEVELOPMENT

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Corporate Plan 2004 – 2009, Future Cairns The following statements are drawn from Council’s primary direction setting document. Our Vision for Cairns: Cairns will be the best regional city in Australia and the Asia Pacific. It will have a reputation for:

balancing the demands of its growing population and the desire to maintain its quality lifestyle;

maintaining unique natural and cultural environments; and

having the highest standards of excellence applied in the management of the region. The Role of Council Providing for today, planning for tomorrow …

By delivering quality, affordable services and public infrastructure to Cairns, in partnership with the community, governments and the private sector;

By encouraging and facilitating environmentally sustainable economic, social and cultural development

and prosperity for Cairns; and

By ensuring the operations of Council are environmentally, socially, culturally and economically sustainable.

Values that will govern how Council will go about its business Cairns Regional Council recognises the value of our heritage in the development of today’s diverse cultural and community environment. This diversity includes the inherent association of Australia’s Indigenous people with this land as well as the cultural richness gained through peoples from other lands. This will be a key factor in the achievement of our Vision. Furthermore, Council through its actions will value people by:

Working together with individuals and organisations, Ensuring all people have opportunity to contribute, Ensuring all people are considered, Encouraging adaptability, flexibility and initiative, Showing respect, Requiring professional and ethical behaviour, and Promoting positive images of targeted groups – e.g. young people, older people, Indigenous people,

non-English speaking people, people with a disability Council through its actions will value quality processes by:

Placing our residents first, Encouraging the continuous improvement of processes, Being clear in communications, Considering the concept of sustainability in all decision making, Ensuring Council employees are appropriately skilled for their job, Ensuring processes are transparent to the community, and Building partnerships across all government sectors.

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Council through its actions will value high performance by:

Recognising achievement and innovation, Ensuring accountability for Council actions is clear, Striving for consistency at a high standard, and Asking our staff to lead the way.

CORPORATE PLAN GOALS, OBJECTIVES AND STRATEGIES The following key goals for the community were identified following a review of the Cairns environment and an assessment of the major changes that are either likely to occur or need to occur in the future. Achieving these goals will contribute significantly to the achievement of our Vision for the Region. 1. Community and land use planning: The community needs land use and related plans that take better account of community preferences and requirements for: - community facilities, - open space, - design, - ongoing management, - protection of the natural environment, - community health and safety, - equity in access for all citizens, - ordered development, - changing lifestyles, and - responding to climate induced hazards. 2. Transport and mobility: As the region grows, the community needs roads, pathways, parking and public transport systems that: - expand to cope with the extra people - provide greater choice, accessibility and flexibility for all people to get around the region, and - provide protection of the natural environment. 3. Stormwater management: The community desires a reduction in the level of disruption and damage to the community and to the natural environment caused by polluted stormwater and by flooding. 4. Caring for the environment: The community desires better conservation of the natural environment as the region grows and more people live and visit here; we need to ensure the sustainability of our natural resources so that future generations can benefit from them as well. 5. Our water supply: The community needs a secure, high quality water supply that provides a more consistent all year round supply for the growing region; efficient use of water will be promoted.

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6. Health, safety and community development: The community desires a region that - is a healthier and safer place for residents and visitors alike as it grows, and - provides expanded opportunities for sport, recreation and cultural activity for the benefit of all. 7. Economic Development: The community needs a healthy regional economy including more jobs in Cairns to match the growing population, with jobs to be more varied and better paid overall. 8. Community engagement: The community requires a Council that works with it to improve: - Council’s knowledge of the community’s needs and preferences, and - the community’s knowledge of what Council can provide and how decisions about this are made. 9. Council’s Effectiveness: The community requires a Council that is better able to identify and address issues to do with the quality of service provided by it; Council will have in place excellent systems that engage all staff in seeking improvements to services. 10. Governance: The community requires a Council (elected and employed) that has in place an effective decision making framework for ensuring Council objectives and legislated requirements are met. Objectives and Strategies The above Key Goals are refined in the Corporate Plan through a series of more detailed Objectives. In turn, for each Objective there is a list of Strategies that Council will carry out to achieve the objective. Where appropriate Council lists those organisations that it will work with in respect of the carriage of the Strategy. Implementation and Reporting The Corporate Plan is being implemented through Council’s annual Operational Plan and Budgets, commencing from the 2004/05 financial year. That is, the Strategies listed in this Plan are being used to guide the identification of specific actions and capital works that form the basis of operational plans and budgets. Progress with respect to these annual action plans are reported to Council on a quarterly basis and then in Council’s Annual Report. Both Council status reports and the Annual Report are available publicly. Progress with respect to the achievement of Goals and Objectives as listed in the Corporate Plan for 2008/09.

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Operational Plan Council’s Corporate Plan is operationalised through the development of an annual Operational Plan. The Operational Plan identifies all activities of Council, establishes the service level to be delivered, identifies any key operating initiatives and establishes performance measures by activity. A report on progress against the operational plan is provided to Council by each organisational Department monthly. Main Locations: Chambers 119-145 Spence Street, Cairns Qld 4870. Mossman Office 64-66 Front Street, Mossman Qld 4873 Depots Martyn Street 158 Martyn Street, Parramatta Park QLD 4870 Gordonvale Highleigh Road, Gordonvale QLD 4865 Arnold Street Stratford Arnold Street, Cairns QLD 4870 Magazine Street Stratford Magazine Street, Stratford QLD 4870 Babinda Council Lane, Babinda QLD 4861 MacNamara Street 38 MacNamara Street, Manunda QLD 4870 McCoombe Street (Pound) McCoombe Street, Westcourt QLD 4870 Mossman Depot 96 Alchera Drive, Mossman QLD 4873 Libraries City Library 151 Abbott Street, Cairns QLD 4870 Manunda Festival Faire, Cnr Alfred & Koch Streets, Manunda 4870 Gordonvale 88 Norman Street, Gordonvale QLD 4865 Earlville Stockland Shopping Centre, Earlville QLD 4870 Edmonton 175 Bruce Highway, Edmonton QLD 4869 Babinda 24 Munro Street, Babinda QLD 4861 Stratford 11 Kamerunga Road, Stratford QLD 4870 Smithfield Library Cheviot Street, Smithfield QLD 4878 (Please note that Smithfield, Earlville and Gordonvale Libraries have a receipting

facility for the payment of accounts) Mossman Library 14 Mill Street, Mossman QLD 4873. Other Facilities Hambeldon House, 177 Bruce Highway, Edmonton, QLD 4869 The Tanks Art Centre, Collins Avenue, Edge Hill QLD 4870 Sugarworld, Edmonton QLD 4869 Flecker Botanic Gardens, Collins Avenue, Edge Hill QLD 4870 Civic Theatre, Cnr Florence and Grafton Street, Cairns QLD 4870 Inner City Management Office City Place, Central Business District, Cairns QLD 4870 Esplanade Office, Adjacent to the Lagoon on the Esplanade, CBD Cairns. Marlin Coast Recreation Centre Leisure Park Rd, Smithfield QLD 4878 Barlow Park, Cnr Scott and Severin Sts, Portsmith QLD 4878 Fretwell Park, Robert Rd, Edmonton QLD 4869 Cairns Water Laboratory, 38 MacNamara St, North Cairns QLD 4870

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Public Participation in Policy Development Issues of Council’s Functions Council has two Integrated Planning Act 1993 compliant Planning Schemes, Planning Scheme Policies, Strategic / Management Plans, Corporate Plan, Operational Plan, and various General Policies for the whole of the Council region. The Council formulates policy and Council Officers carry out and enforce the policies. Council has approved local laws and subordinate local laws, which can be viewed at the Spence Street Customer Service Centre at 119 - 145 Spence Street or via the internet. Local laws are regularly reviewed. Local law(s) and subordinate local law(s) assist Council in the general administration of its functions. During the establishment or review of local law(s) and subordinate local law(s), the public has an opportunity to provide input by way of submission. Council adopts local law(s) and subordinate local law(s) after considering all aspects including representations from the public. Cairns Regional Council has adopted a committee system, which comprises of five standing committees; Planning & Environment Committee; Finance & Administration Committee; Sports, Arts, Culture & Community Services Committee; Works & Services Committee and Water & Waste Committee. Committee meetings are held monthly as well as an Ordinary Council Meeting. Special Meetings of Council are held from time to time as required. The press and the public are invited to attend all meetings of Council (except the discussion period of closed sessions of a meeting). The press receive copies of the agenda before such meetings. The open session agenda is released on the Friday prior to the relevant meeting and are available for viewing at the Customer Service Centre or via the internet. Copies are also placed in the public gallery prior to the commencement of the meeting. All meetings are scheduled during business hours to give the general public an opportunity to attend and hear discussion on the various issues/agenda items. Meetings are conducted at a variety of locations to encourage public attendance. The commencement time of all meetings is advertised on Council’s website. Minutes of Council Meetings are available to the public for viewing at the Spence Street Office and Council City and Mossman libraries during normal working hours - Monday to Friday 8.00am – 5.00pm. Minutes (not confirmed) of the previous meetings are generally available for viewing as soon as possible following such meetings and are also made available on Council’s website. Copies of minutes or part thereof may be purchased after the minutes have been confirmed by Council. A nominal fee is charged to cover photocopying costs.

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COUNCIL MEETINGS Members of the public have a number of opportunities to put forward their views on particular issues before Council as follows: (a) Deputation - A member of the public may write to the Chief Executive Officer

requesting permission to address a Committee meeting of Council. Such request will then be referred to the Mayor for determination. Council regularly schedules public deputation sessions in conjunction with a monthly Ordinary meeting of Council. These sessions are publicly advertised and a quarterly report is tabled at Council on the progress of matters raised at these deputation sessions.

(b) Petitions - Written petitions may be forwarded or handed to the Chief Executive

Officer of the Council on any issue within Council’s jurisdiction; or may be presented to a Councillor, for presentation at a meeting of Council.

(c) Planning Scheme matters – The applicant for an impact assessable application

must advise adjoining landowners and place notices (as prescribed by the Integrated Planning Act 1997) on the property and in a locally distributed newspaper. When the application is publicly notified, any member of the public has the opportunity to provide a properly made submission to Council, expressing their views on the application.

(d) Written Requests - A member of the public may write to Council on any Council

policy, activity or service. (e) Elected Members - Members of the public may contact the Mayor or any other

Councillor to discuss any issue relevant to Council. COMMUNITY CONSULTATION Council has developed and adopted, a policy framework that assists community members establish appropriate expectations about their specific dealings or contacts with Council. This framework also assist Council to make more informed decision making. It applies to elected members of Council, to all employees and to all consultants engaged by Council. The overarching element in this policy framework is the “Community Engagement General Policy”. The intention of this policy is to broadly define Council’s approach to the engagement of the community. It has application across the full range of policy, program and service issues encountered by local government. Council expects more informed decision making as a consequence of the application of this policy. This policy also introduces the branding of Council’s Community Engagement approach – Engaging the Community. A two-way street.

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In early 2006, the former Cairns City Council adopted the “Cairns Cultural Diversity Policy – A Unique – Changing – Productive – Vibrant – People General Policy”. The intention of this policy is that Council has an inclusive, integrated, collaborative and culturally sensitive approach to the development and delivery of Council related services, programs and initiatives that engage, involve, impacts on and represents residents and visitors from diverse cultural and linguistic backgrounds. For the purpose of this Policy people from diverse cultural and linguistic backgrounds include:

- People who were born overseas (citizens, residents, refugees) - Descendants of people who were born overseas - Long and short term visitors from overseas (tourists, international students,

delegations, people on working visas) - Aboriginal and Torres Strait Islander People

The third element in this policy framework is the Access General Policy. The intention of this policy is to ensure all residents and visitors to the Cairns region have equitable access to Council facilities, services, programs and activities. DOCUMENTS AVAILABLE FOR INSPECTION (All prices include GST) Identification Form/s of Access Cost 1. Correspondence F.O.I. Application

Application Research/ Fee (Minimum charge applies after 2 hours research) Application Research/ Supervision of applicants(s) review (Minimum 2 hours work prior to charging) Photocopy fees: A4 (or smaller) Black & White A3 or larger Photos: Colour Photos(Scanned image Reproduction)

Free (personal) $38.00 (Non Personal) $23.20/hr $23.20/hr $0.20 $0.50 As per information Services colour plot fees

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Transmitted by facsimile

Production of a CD Black & White Photos (reproduction of scanned image)

$2.18 $0.50 $0.42

2. General photocopying at Customer Service

A4 Black & White

$0.20

3. Annual Reports

(includes Financial Statement)

Inspection free of charge CD version

No Charge No Charge

4. Viewing of Council

Registers, Agendas, Minutes, Local Laws etc

Inspection fee

No charge

5. Budget Copy $27.00 6. Rate Search Owner

Adjoining Owner No Charge No charge

Inspection of land record Computer printout Supply of land record search

$14.00 $60.00

7. Copy of rate notice or

equivalent information issued prior to 1st July 2006 (other than in relation to rating recovery matters)

Inspection free of charge to owner.

$12.00

8. Building Services search

Fee Charge

$35.00

9. Copies of Building plans Charge

A1 page A4 or A3

$19.00 $2.00

10. Search – provide date and

original cost of building construction

Application $78.00

11. Building Permit Search –

no inspection – records search only.

Application $86.00

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12. Commercial Building

Permit Search – no inspection

Application $322

13. Building Approval List. Per Month

Per Year $34.00 $332.00

14. Planning & Development

Certificates & Searches Limited Limited within 2 days Standard Full

$168.00 $284.00 $568.00 $1146.00

See House Number Plans below

15. Cairns Plan – CD Charge $35.00 16. Cairns Plan – Hard copy Charge $865.00 17. Flood Zone Search Charge $116.00

18. GIS MAPPING AND PLANS Quick Maps:

Standard Maps A0 Charge $81.00 Standard Maps A1 Charge $49.40 Standard Maps A2 Charge $31.60 Standard Maps A3 Charge $18.90 Standard Maps A4 Charge $12.60 Geospatial Maps: Standard Maps - geospatial A0 Charge $119.90 Standard Maps - geospatial A1 Charge $89.40 Standard Maps - geospatial A2 Charge $69.40 Standard Maps - geospatial A3 Charge $57.90 Standard Maps - geospatial A4 Charge $51.50 19. House Number Plans Inspection free of charge Free to community

based organisations

House Number plans: Full black/white

Charge $115.70

Full set colour Charge $252.50 House number plans A3 colour sheet – Scale 1:10 000

Charge $16.80

House number plans – 2 - 5 sheets – A3 colour sheet – Scale 1:10 000

Charge $13.70

House number plans – 6 -10 Charge $11.60

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sheets – A3 colour sheet – Scale 1:10 000 House number plans – 10 – 20 sheets – A3 colour sheet - Scale 1:10 000

Charge $8.40

House number plans >20 sheets – A3 colour sheets - Scale 1:10 000

Charge $5.30

Other Publications A range of brochures on all Council Services are available.

Free Free

OTHER INFORMATION REQUESTS In accordance with the requirements of the Local Government Act 1993, Council also holds a series of Registers, which are available for public inspection. The following registers are available for public inspection on request:

- Register of Interests, Councillors (containing register of gifts/hospitality received) - Register of Local Government Electoral Gifts Returns - Register of Delegations - Register of Enterprises - Register of Minutes of Council meetings - Register of Subordinate Local Laws - Register of Assets (including roads and parks and reserves local law policy data) - Keeping, Control and Impounding of Animals Local Law Register - Esplanade Local Law Register - Vegetation Protection Local Law Register - Off Street Regulated Parking Register

No fee is charged for the viewing of these documents. A nominal photocopying fee may be charged if considered appropriate by the Chief Executive Officer to recover administrative costs. The Act does not however make copying services mandatory. Requests for access to other information will be in accordance with the Freedom of Information Act 1992. Under this legislation, any person may make an application, which must be in writing, seeking access to documents held by or under the control of Council. Application forms are available at the front counter of Council’s main offices, 119 - 145 Spence Street, Cairns and 64-66 Front Street, Mossman. An application need not be written on the official form. It is suggested that if an individual wishes to make application under Freedom of Information, he/she should contact the Council’s Freedom of Information Co-ordinator. An application fee of $38.00 is required with the application, except where the application is related to the personal affairs of the applicant.

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Contact with the Freedom of Information Co-ordinator, (telephone no. (07) 4044 3114), will allow the applicant to ensure the application will cover the documents for which access is sought. The Freedom of Information Co-ordinator is available to assist applicants in making an application for Freedom of Information so as to ensure that both the Council and the applicant are aware of the documents to which access is requested. Council supports the object of the Freedom of Information Act 1992, which is “to extend as far as possible the right of the community to have access to information held by Queensland Government”. Cairns Regional Council is therefore committed to the spirit of what the Act provides, and it will discharge its duties in strict accordance with the provisions of the Act. In certain cases, Council must consult with a third party before consenting to disclosure of the document to the applicant. In such circumstances Council may be obliged to take steps to avoid disclosure of the author’s identity, address, etc, and both the applicant and the third party consulted may have a right of review of the decision taken before any action is implemented. Freedom of Information applications should be addressed to: Attention: F.O.I. Co-ordinator Chief Executive Officer Cairns Regional Council PO Box 359 CAIRNS QLD 4870 AMENDMENT TO COUNCIL RECORDS Members of the public may gain access to Council documents to seek amendments concerning their “personal affairs” by making a request under the Freedom of Information Act 1992. They may then request correction of any information about themselves, which is incomplete, incorrect, misleading or out of date. To gain access to these Council records, a member of the public should make a Freedom of Information application as indicated above detailing the records that he/she wishes to inspect. No fee is payable in such cases which are deemed to be for ‘personal affairs’ as defined by the Freedom of Information Act 1992. N P Briggs Chief Executive Officer (Principal Officer under the Freedom of Information Act 1992)

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Attachment No. 4 CAIRNS REGIONAL COUNCIL NO. 1:02:09 General Policy

PUBLIC AVAILABILITY OF CONFIDENTIAL COUNCIL INFORMATION Intent To ensure Councillors and Officers of Cairns Regional Council understand the requirements

for management of release of all confidential reports and information to the public. Scope 1. CLOSED SESSION COUNCIL REPORTS Applies to reports which are considered by the Executive Management Team to apply under

Section 463(1) of the Local Government Act. Matters to be considered include:

a) the appointment, dismissal or discipline of employees; or b) industrial matters affecting employees; or c) the local government’s budget; or d) rating concessions; or e) contracts proposed to be made by it; or f) starting or defending legal proceedings involving it; or g) any action to be taken by the local government under the Integrated Planning Act 1997,

including deciding applications made to it under that Act; or h) other business for which a public discussion would be likely to prejudice the interests of

the local government or someone else, or enable a person to gain a financial advantage. 2. WORKSHOPS AND CONFIDENTIAL DISCUSSIONS.

Applies to information or material gained from workshops or confidential discussions involving

officers and Councillors which have been identified as being of a confidential nature such that premature release of information may enable a Councillor or third party to gain, directly or indirectly, a financial advantage or may harm the Council.

PROVISIONS CLOSED SESSION REPORTS Under the Local Government Act 1993, Council may resolve to consider a meeting to be closed to the public to discuss matters of a confidential nature. The Chief Executive Officer has the responsibility of preparing the agenda for a Council meeting. In doing that the agenda will indicate items in open and closed session. However, this is essentially a recommendation and the final decision of what is handled in closed session is determined by the meeting. Whilst the resolution arising from such matters must be considered in Open Session, Council has the option to make any reports or material prepared about the matter only available under the Provisions of the Freedom of Information Act. Should it be determined that the report should remain a confidential document then the wording of the resolution must not refer to the subject report. Should it be determined that once the matter has been resolved by Council that the report material can be publicly available, a statement to that effect should be included in the resolution, ie “That this report be made available to the public at the time of publishing the minutes of the Ordinary Meeting” (or some other date such as at the conclusion of the project). This allows all Councillors and officers to clearly determine future public access to the material. The body of the report would then be included in the minutes.

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Reports not marked available for release are only available under Freedom of Information provisions. An Embargo Register will be maintained by the Chief Executive Officer. All reports in the Embargo Register will be confidential for two years, with the exception of matters relating to staff (which will be confidential for five years) or unless otherwise expressly stated. Future provisions of the Privacy Act will also apply. WORKSHOPS AND CONFIDENTIAL DISCUSSIONS Under the Local Government Act 1993, Section 250, Councillors must not make improper use of information acquired as a Councillor –

(a) to gain, directly or indirectly, a financial advantage for the person or someone else; or (b) to harm the local government.

In addition, a Councillor must not release information that the person knows, or should reasonably know, is information that –

(a) is confidential to the local government; and (b) the local government wishes to keep confidential.

Should the Chief Executive Officer or relevant General Manager consider that a matter under discussion should remain confidential, then a recommendation will be made for the consideration of Councillors present. This decision must be ratified at the next full meeting of Council, but the embargo would apply in the interim. The Embargo Register will be maintained by the Chief Executive Officer so that Councillors can clearly identify which matters are covered by this embargo. In general, the schedule of confidential matters as per Section 463 of the Local Government Act will apply. However, specific strategic planning initiatives could also be included to ensure that a corporate position is resolved prior to any media release. Should the Chief Executive Officer or relevant General Manager be satisfied that part or all of the material should be publicly available, then a recommendation to that effect will be put to the Closed Session of a full Council meeting. Should Council resolve to remove the embargo this decision will be duly noted in the Embargo Register. ENFORCEMENT Under Section 250 of the Local Government Act, if a Councillor fails to abide by this General Policy, disciplinary action can be taken (ie imposition of 100 penalty units). Currently, a penalty unit is $75 but as of the 1 Mach 2009 this will increase to $100. Under Section 1143(4) of the Local Government Act, if an Officer (or a person who provides a service to the local Government under contract) fails to abide by this General Policy, disciplinary action can be taken (ie imposition of 35 penalty units). Currently, a penalty unit is $75 but as of the 1 Mach 2009 this will increase to $100. Should the Chief Executive Officer consider that a breach of the General Policy has occurred, that the Chief Executive Officer is to refer alleged breaches of the policy to the Crime and Misconduct Commission.

This policy is to remain in force until otherwise determined by Council. General Manager Responsible for Review: General Manager Corporate Services ORIGINALLY ADOPTED:30/05/2002 CURRENT ADOPTION: DUE FOR REVISION: REVOKED/SUPERSEDED:

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Attachment No. 5 CAIRNS REGIONAL COUNCIL NO.1:02:56

General Policy

INFORMATION PRIVACY POLICY Intent The purpose of this General Policy is to establish a framework for the responsible collection

and handling of personal information by Cairns Regional Council. Scope Personal information held by Council must be responsibly and transparently collected and

managed (including any transfer or sale of personal information held by Council to other agencies, other levels of Government or the private sector) in accordance with Councils adopted Information Privacy Principles. The key data sets are Council’s Authority system, DM5, Customer Request Management System (CRM), Contracts Registers and associated documents, Geographic Information system and any information obtained through licence agreements (eg CITEC licences).

Where conflicting requirements exist, any legislative requirements will supercede compliance

with this General Policy.

This policy has been prepared based on the State Government’s adopted Information Standard No. 42 – Information Policy. This policy may change from time to time. Reference should also be made to the relevant Commonwealth legislation (Schedule 3 of the Privacy Act) which contains the national privacy principles.

PROVISIONS This General Policy should be considered in conjunction with other relevant General Policies including:

• Procurement Policy • Cairns Closed Circuit Television Operations • Cairns Closed Circuit Television Surveillance System • Cairns Libraries CCTV System • Councils Statement of Affairs (FOI) • Public Availability of Confidential Council Information • Intellectual Property Rights • Information Security Policy • Community Engagement Policy • General Complaints Management Policy • Fraud Policy

This General Policy should be considered in conjunction with relevant Administration Instructions:

• Use of public property and facilities INFORMATION PRIVACY PRINCIPLES Council staff must comply with the eleven Information Privacy Principles (IPP) which govern how personal information is collected, stored, used and disclosed. The IPPs deal with the following:

• Principle 1: Manner and purpose of collection of personal information; • Principle 2: Solicitation of personal information from individual concerned • Principle 3: Solicitation of personal information generally • Principle 4 : Storage and security of personal information • Principle 5: Information relating to records kept by record keeper

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• Principle 6: Access to records containing personal information • Principle 7: Alteration of records containing personal information • Principle 8: Record keeper to check accuracy, etc., of personal information before use • Principle 9: Personal information to be used only for relevant purposes • Principle 10: Limits on use of personal information • Principle 11: Limits on disclosure of personal information.

Definition of Terms Personal information: means information or an opinion (including information or an opinion forming part of a database), whether true or not, and whether recorded in a material form or not, about an individual whose identity is apparent, or can reasonably be ascertained, from the information or opinion

Record:

(a) a document; or

(b) a database (however kept); or

(c) a photograph or other pictorial representation of a person;

but does not include:

(d) a generally available publication; or

(e) anything kept in a library, art gallery or museum for the purposes of reference, study or exhibition; or

(f) Commonwealth records as defined by subsection 3 of the Archives Act 1983 that are in the open access period for the purposes of that Act; or

(fa) records (as defined in the Archives Act 1983) in the custody of the Archives (as defined in that Act) in relation to which the Archives has entered into arrangements with a person other than a Commonwealth institution (as defined in that Act) providing for the extent to which the Archives or other persons are to have access to the records; or

(g) documents placed by or on behalf of a person (other than an agency) in the memorial collection within the meaning of the Australian War Memorial Act 1980; or

(h) letters or other articles in the course of transmission by post.

This policy is to remain in force until otherwise determined by Council. General Manager Responsible for Review: General Manager Corporate Services ORIGINALLY ADOPTED:24/01/2007 CURRENT ADOPTION: DUE FOR REVISION: REVOKED/SUPERSEDED:

records unit – sai global audit

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