Documentation Control Policy

Preamble

ACI Global caters for the Professional Development of Learners, Graduates, Professionals and those with special needs. As an educational institution, we are committed to ensure the security of our documentation of our organisational clients and their participating learners.

Individual Learners, Graduates, Professionals and those with special needs, are afforded the same level of commitment.

Rationale

At ACI Global, our aim is to be proactive in strengthening and maintaining the security of all personal documentation as it relates and is stored between the ACI Global Website, its Academy and its Interested Parties including:

• Sponsoring organisations;
• Learners;
• Graduates;
• Professionals;
• Learners with special needs;
• The wider business community;
• Industry; and,
• Legal and Regulatory Institutions.

Through effective and meaningful communication ACI Global aims to ensure the ongoing professional awareness of all regarding documentation from development, amendmentment to distribution and storage to all its interested parties as above.

Policy Statement

ACI Global and its Academy strives to: -

Ensure that documents are easily located, relevant and kept up to date. Control of document information ensures that:

• documented information is readily available to workers and managers and that it is suitable for use; and,
• documented is protected from loss of confidentiality, improper use or loss of document integrity.

In the control of documented information, including records management, the following actions will be taken to ensure documents, content and records are:

• able to be distributed, accessed, retrieved and used in an appropriate, effective and efficient manner;
• stored and preserved including legibility for prescribed times as per legislative or regulatory requirements;
• version control, with changes documented and communicated; and
• retained and disposed of according to legislative or regulatory requirements.

Where documentation is of external origin, i.e. outside of ACI Global and is necessary for the planning and operation of our Company’s processes then, the documentation will be identified. Once identified, the document will be controlled in the same manner as internally generated documented information.

Documented information retained as evidence of conformity in the form of records will be protected and stored for the length of time required by regulatory requirements. Kept records are detailed in the Document Registers of both ACI Global and its Academy.

Controlled documents include (but are not limited to):

• hypertext markup language (HTML) and java scripted web pages;
• procedures;
• work instructions;
• forms; and
• company templates.

Records such as:

• corrective actions;
• management reviews;
• customer complaints; and
• calibration results.

ACI Academy seeks timely, honest and complete information about their individual learners, from its Interested Parties. Sponsoring Organisations are to ensure the individual contact information provided to the Academy, remains accurate and current.

Document Management Process

• A Document Manager the Senior Executive Responsible (SER) is allocated to maintain all documents in an accessible form;;
• The Document Manager will preserve updated documents for the following outcomes:
  • Operational control procedures;
  • Objectives, targets, and action plans;
  • Legal requirements;
  • Learning materials and outcomes;
  • Health and safety policies and procedures;
  • Management reviews;
  • Reports on audit outcomes;
  • Corrective and preventive actions;
• The Document Manager is not responsible for developing or modifying any documents unless tasked. All documents will be developed or modified by the appropriate person or group responsible.

The Document Manager will control all documents and records using the Document Registers.

Document Creation

1. All documents will be created by a person sufficiently experienced in the subject at hand, e.g. emergency response procedures;
2. All internal documents will initially be created as electronic files (php, docx, pdf, xlxs, ppp);
3. All internal documents must contain identification and description (e.g. a title, date, author, or reference number). The reference number system will include reference codes to projects, clients, departments or work sites;
4. All controlled documents will contain a distribution and amendment record;
5. All drafts will be sent by email to the appropriate approver(s) for review and approval;
6. The reviewer will discuss any issues with the author to achieve a final approved document;
7. The reviewer will indicate approval of the document by signing off the Document Register;
8. On approval of the document, forward to the Document Manager for filing/placement;
9. If hardcopies maintained, any previous hard copies of the same document are to be moved to an obsolete document filing system/binder;
10. Original releases of documents must contain an acknowledgment that it is the original document in the revision numbering system;
11. The Document Manager will maintain a copy of the created document within a computer folder. This file must be incorporated into all data backup routines;
12. The Document Manager will ensure that all new or revised documents placed into a master list folder will have file’s permission set to READ ONLY, and updated in the Document Register; and
13. Any previous electronic versions will then be moved to a separate folder identified for superseded/obsolete documents. Superseded/obsolete files must be kept for historical record Document Register – Archived Documents sections both ACI Global and its Academy.

Document Review and Revision

All listed documents will be reviewed/amended on a needs basis minimum 24 months. Any document amended, or new document added, outside of the review period will be immediately added to the applicable Document Register.

Photocopy Allowed (PA) Forms will be reviewed every three months for currency and to ensure the current version is in use.

Document Distribution (All hard copies to be considered uncontrolled documents)

• Controlled documents will be available for nominated workers;
• Workers will receive training/instruction on how to locate and retrieve the current version of a file;
• If hardcopy document distribution is used the Document Manager will note in the Document Register where controlled hardcopy documents are located;
• The Document Manager will be responsible for distributing current copies to the correct locations;
• Hardcopies must not be altered or modified by users and must remain legible. Should the document be damaged or otherwise illegible the Document Manager must be notified as soon as possible; and
• Hardcopies may not be photocopied without the approval of the Document Manager unless designated as a PA Form.

PA Forms

• PA Forms may be photocopied as needed; and
• An electronic copy of each approved form must be sent to the Document Manager for inclusion in the document master list.

External Origin Documents

• External documents used for non-critical purposes, such as reference material or marketing materials are not controlled;
• Legislation, Codes of Practice, Standards or third-party specifications are controlled documents;
• The Document Manager must ensure the latest versions are maintained and kept up to date. Controlled external documents will be kept in the same format (electronic or hardcopy) and, subject to the same conditions of file structures and backup schedules as per internal documents.

Security of Confidential Documents

ACI Global will take all reasonable steps to protect the personal information it holds from misuse, loss and unauthorised access, modification or disclosure. No employee, contractor or supplier is permitted to store confidential information on any individual personal use computer or portable storage device unless authorised.

Reasonable steps will be taken to ensure personal information remains accurate and up-to-date. ACI Global will provide access to the personal information held by the information owner. Any request for access to this information or, enquiries concerning the privacy, or currency, of any held information, can be made by contacting: the Privacy Officer: (SER) by email refer Contact us.

Where no longer required, personal information will be destroyed or de-identified except where the information is required to be kept by law or court order.

Disposal of Confidential Documents

All employees will be given instructions for properly disposing of hard copy, digital data and products and materials containing personal and confidential information.

ACI Global will securely dispose of confidential information in a secure, manner. Before destroying records containing confidential information, the privacy officer will:

• have authorisation/endorsement to dispose of the records from (Insert responsible person);
• check and confirm that records are no longer needed for ongoing business;
• ensure records are not required for any current or pending legal action;
• consider any other potential reason to retain confidential records, e.g. legislated record-keeping timeframes.

Destruction of records will be undertaken as soon as possible after authorisation is given, e.g. shredding of paper-based records or physical destruction or overwriting of digital media. Failure to follow documented disposal procedures may lead to disciplinary action.

Destruction Method table

After the destruction process is complete, professional paper shredding and hard drive and media destruction services must provide a Certificate of Destruction confirming the time, date and method of destruction.

Document Registers

ACI Global will provide access upon request by a third party with the approval of the SER.

MONITOR AND REVIEW

ACI Global will actively monitor and review our organisation’s performance to ensure that we succeed in meeting our Compliance objectives.

ACI Global Compliance Policy shall be reviewed periodically in accordance with Company consultation and communication processes.

This Policy has been acknowledged and accepted by the Managing Director for ACI Global Ian Erskine on the date indicated below