The function of administering the formal relationship between the organisation and those processes of government not covered by other general administrative or functional keywords. Includes the organisation's relationship with Ministers and Members of Parliament and the political processes of Government; liaison with bodies carrying out investigations and participation in formal inquiries and investigations such as Royal Commissions, and inquiries by Parliamentary Committees and the Ombudsman; and relationships with other Local, State, Commonwealth or overseas governments.
 
Note: 'Government' organisations include government agencies, and also universities, hospitals and state owned corporations. Relations may be with a variety of other governments, government agencies, universities, hospitals and state owned corporations, Local Government, Commonwealth and overseas governments.

See the organisation's functional retention and disposal authority for records relating to specific relationships, agreements or arrangements with other government agencies/organisations which impact on the conduct or performance of particular core functions.

ADDRESSES 10.1.0

The activity of giving addresses to government audiences or at government occasions. Includes speeches and multi-media presentations.

See COMMUNITY RELATIONS - Addresses for records relating to addresses given at significant occasions or public events.

See COMMUNITY RELATIONS - Conferences for records relating to addresses given at conferences and for conference proceedings.

See FINANCIAL MANAGEMENT - Authorisation for records relating to approvals and authorisations for travel or reimbursement of expenses for non-employees giving addresses, e.g. members of governing bodies.

See PERSONNEL - Authorisation for records relating to approvals and authorisation for travel or travel arrangements for employees giving addresses.

See STAFF DEVELOPMENT - Addresses for records relating to addresses delivered to the staff of the organisation.

See STAFF DEVELOPMENT - Training for records relating to training or seminars delivered for staff development purposes.

No Description of records Disposal action
10.1.1 Transcripts of final versions of addresses, speeches or papers delivered by the Minister in their capacity as Minister or as a representative of the Government.

Required as State archives
10.1.2 Transcripts of final versions of addresses, speeches or papers delivered by members of governing bodies, chief or senior executives of the organisation at significant government occasions.

Required as State archives
10.1.3 Transcripts of final versions of addresses, speeches or papers delivered non-executive staff members, or those given by executive staff members at government occasions not considered to be significant.

Retain minimum of 2 years after action completed, then destroy
10.1.4 Records relating to the development of addresses, speeches or papers. Records include:

  • background research
  • draft versions of addresses
  • voice recordings.

Retain until administrative or reference use ceases, then destroy

ADVICE 10.2.0

The activities associated with offering opinions by the organisation as to an action or judgement. Includes the process of advising.

See GOVERNMENT RELATIONS - Reporting for records relating to the drafting, submission and final, approved versions of formal reports to government.

See GOVERNMENT RELATIONS - Representations for records relating to responses to Parliamentary questions and correspondence received by the Minister and directed to the organisation for preparation of a response (Ministerials).

See GOVERNMENT RELATIONS - Submissions for records relating to submissions by the organisation on the development or review of government-wide policies developed by central coordinating agencies.

See LEGAL SERVICES - Advice for records relating to legal advice furnished to the organisation by internal or external legal service providers.

No Description of records Disposal action
10.2.1 Records relating to the provision of advice to the portfolio Minister or other government organisations concerning substantive aspects of the organisation's policies and procedures, functions, obligations, legislation or liabilities where a detailed response has been provided. Records include:

  • briefing notes and minutes providing advice to the Minister
  • comments on Cabinet submissions and proposals
  • correspondence.

Required as State archives
10.2.2 Records relating to the provision of advice to the portfolio Minister or other government organisations where the advice does not concern substantive aspects of the organisation's policies and procedures, functions, obligations, legislation or liabilities or where there is minimal response by the organisation, e.g. 'no comment.'

Retain minimum of 5 years after action completed, then destroy

AGREEMENTS 10.3.0

The processes associated with the establishment, negotiation, maintenance and review of agreements.

See the organisation's functional retention and disposal authority for records relating to specific relationships, agreements or arrangements with other government organisations which impact on the conduct or performance of particular core functions.

See CONTRACTING-OUT for records relating to acquisition of services through a contracting-out or outsourcing process.

See STRATEGIC MANAGEMENT - Agreements for records relating to the establishment, negotiation, maintenance and review of agreements with non-government organisations.

See TENDERING for records relating to receiving and assessing tenders.

No Description of records Disposal action
10.3.1 Records relating to the establishment, negotiation, maintenance and review of agreements with other government organisations:

  • concerning policies and procedures applying to the whole of government
  • concerning changes to the performance of statutory functions of the organisation, or
  • having implications for major liabilities or obligations of the organisation.

Records include:

  • correspondence and negotiations including minutes or notes of meetings
  • drafts containing significant changes/alterations or formally circulated for comment
  • final, approved versions of agreements
  • reviews of agreements.

Required as State archives
10.3.2 Records relating to the establishment, negotiation, maintenance and review of agreements with other government organisations not:

  • concerning policies and procedures applying to the whole of government
  • concerning changes to the performance of statutory functions of the organisation, or
  • having implications for major liabilities or obligations of the organisation.

Records include:

  • correspondence and negotiations including minutes or notes of meetings
  • drafts containing significant changes/alterations or formally circulated for comment
  • final, approved versions of agreements
  • reviews of agreements.

Note: Specialty contracts include contracts under seal and deeds to property.
Note: In some cases the agreement may specify retention periods for records relating to the agreement or the fulfilment of conditions of the agreement. In these cases the 'expiry of the agreement' should be interpreted to include the fulfilment of these retention periods or conditions.
Note: Limitation period for causes of action or breaches of contractual arrangements or agreements may be longer in other States. These may need to be taken into account when assessing retention requirements for intrastate agreements or arrangements.

(A) For specialty contracts:

Retain minimum of 12 years after expiry or termination of agreement or after action completed, whichever is later, then destroy

(B) For standard contracts or agreements:

Retain minimum of 7 years after expiry or termination of agreement or after action completed, whichever is later, then destroy

AUTHORISATION 10.4.0

The process of seeking and granting permission to undertake a requested action.

See STRATEGIC MANAGEMENT - Authorisation for records relating to delegations of authority to employees.

No Description of records Disposal action
10.4.1 Records relating to delegations of authority from the Minister to the organisation.

Required as State archives

COMMITTEES

See COMMITTEES for records relating to the formation, meetings and decisions of committees, task forces, working groups or parties etc, e.g. Committees or Councils of State or of inter-government Portfolio Ministers.

COMPLIANCE 10.5.0

The activities associated with complying with mandatory or optional accountability, legal or regulatory standards or requirements to which the organisation is subject.

See the organisation's functional retention and disposal authority for records relating to compliance if one of the functions of the organisation is to monitor and assess the compliance of other organisations with legislation, policies etc.

See the organisation's functional retention and disposal authority for records relating to failures to meet compliance requirements concerning the organisation's core functions, e.g. licensing, breaches of industry standards.

See the relevant function/COMPLIANCE for records relating to compliance or failures to meet compliance requirements concerning administrative matters, e.g. use INFORMATION MANAGEMENT - COMPLIANCE for records relating to compliance with the State Records Act.

See GOVERNMENT RELATIONS - Inquiries for records relating to formal inquiries involving the organisation.

See GOVERNMENT RELATIONS - Reporting for records relating to reporting on compliance to other government bodies, or compliance with reporting requirements, e.g. submission of annual reports and other formal reports.

See LEGAL SERVICES - Litigation for records relating to prosecution of the organisation for breaches of compliance requirements.

See STRATEGIC MANAGEMENT - Compliance for records relating to managing compliance with mandatory or optional accountability, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, quality, risk or continuous improvement management processes.

No Description of records Disposal action
10.5.1 Records relating to the provision of documents to Parliament in compliance with orders, e.g. Standing Order 52. Records include disputes regarding claims of privilege.

Required as State archives
10.5.2 Records relating to copies of documents supplied to Parliament in accordance with orders, e.g. Standing Order 52. Includes records indicating there are no relevant documents to supply.

Retain until administrative or reference use ceases, then destroy

CONFERENCES

See COMMUNITY RELATIONS - Conferences for records relating to conferences held either by the organisation or by other organisations, including final, approved versions of conference proceedings.

See COMMUNITY RELATIONS - Reporting for records relating to the reports of conferences attended.

See FINANCIAL MANAGEMENT - Accounting for records relating to financial transactions supporting conference activities.

See PERSONNEL - Authorisation for records relating to approvals and authorisations for travel and travel arrangements and bookings for employees to attend conferences.

See PUBLICATION - Production for records relating to the preparation of conference materials for publication, e.g. graphic design, printing, binding etc.

See STAFF DEVELOPMENT - Conferences for records relating to conferences arranged or attended by staff for skills or professional development purposes.

CUSTOMER SERVICE

See COMMUNITY RELATIONS - Customer service for records relating to the development and review of charters, standards or guarantees relating to the provision of services to clients, including government clients.

See INFORMATION MANAGEMENT - Customer service for records relating to standards of customer service and administering specialised information management services provided to customers.

See STRATEGIC MANAGEMENT - Customer service for records relating to the development and review of organisation-wide strategies to deliver quality services to clients or stakeholders, including organisation-wide charters, standards or guarantees of service.

ENQUIRIES

See COMMUNITY RELATIONS - Enquiries for records relating to general enquiries from other government organisations or the public regarding routine information about the organisation and its services.

See GOVERNMENT RELATIONS - Advice for records relating to the provision of advice to the portfolio Minister or other government organisations.

See GOVERNMENT RELATIONS - Representations for records relating to responses to Parliamentary questions and correspondence received by the Minister and directed to the organisation for preparation of a response (Ministerials).

IMPLEMENTATION

See the relevant function/PLANNING, POLICY or PROCEDURES for records relating to the development and implementation of plans, policies or procedures for the organisation.

See STAFF DEVELOPMENT - Training for training provided to employees as part of the implementation of plans, policies and procedures.

INQUIRIES 10.6.0

The activities associated with liaising with bodies carrying out inquiries, and participating in them. Inquiries are investigations carried out by persons or bodies who have been empowered to inquire and report on a subject, such as Royal Commissions and Parliamentary and Ombudsman's inquiries. Includes the organisation's participation in the inquiry by providing evidence in the form of records, submissions or employees.

Note: The following entries do not relate to the records maintained by the Inquiry, Commission or investigative body itself. See General retention and disposal authority: records of Royal Commissions, Special Commissions of Inquiry, Commissions of Inquiry and Inquiries established by Letters Patent or Ministerial Directive (GA 31) or the relevant functional retention and disposal authority.

See COMMUNITY RELATIONS - Enquiries for records relating to general enquiries from government or the public regarding routine information about the organisation and its services.

See GOVERNMENT RELATIONS - Compliance for records relating to the provision of documents to Parliament in compliance with Standing Order 52.

See INFORMATION MANAGEMENT - Cases for records relating to reviews or appeals of decisions to the Ombudsman or Administrative Decisions Tribunal regarding Freedom of Information (FOI) cases.

No Description of records Disposal action
10.6.1 Records relating to formal inquiries involving the organisation or where the organisation submits a detailed response. Records include:

  • statements and submissions
  • legal advice from internal and external legal service providers
  • responses to final reports and records of implementation of recommendations.

Note: Copies of transcripts of evidence or inquiry proceedings can be destroyed in accordance with the normal administrative practice (NAP) provisions of the State Records Act 1998 when no longer required for reference purposes. The original transcripts would be held by the inquiring body.

Required as State archives
10.6.2 Records relating to formal inquiries not involving the organisation or where the organisation submits a nil response.

Retain minimum of 5 years after action completed, then destroy
10.6.3 Records relating to matters referred from watchdog bodies, such as the Independent Commission Against Corruption (ICAC), NSW Ombudsman etc, to the organisation for initial investigation and response.

Retain minimum of 10 years after action completed, then destroy

JOINT VENTURES

See relevant entries in general and functional retention and disposal authorities for records relating to the work generated by joint venture arrangements.

See COMMUNITY RELATIONS - Joint ventures for records relating to joint ventures undertaken with other organisations for the purposes of raising or maintaining the profile of the organisation or a particular service or program.

See CONTRACTING-OUT for records relating to the acquisition of services through a contracting-out or outsourcing process.

See PUBLICATION - Joint ventures for records relating to joint ventures undertaken with other organisations for the purposes of researching, drafting or producing publications.

See STRATEGIC MANAGEMENT - Joint ventures for records relating to the establishment and monitoring of strategic alliances that relate to the core functions of the organisation or other strategic joint venture arrangements.

See TENDERING for records relating to receiving and assessing tenders.

LEGISLATION 10.7.0

The process of making laws. Includes Local, State, Commonwealth and overseas Acts, Bills and subsections of Acts, and amendments to each.

See the relevant function/COMPLIANCE for records relating to compliance with legislation that may have an impact on the operations of a particular area, e.g. use OCCUPATIONAL HEALTH & SAFETY – COMPLIANCE for records relating to compliance with occupational health and safety legislation.

See GOVERNMENT RELATIONS - Advice for records relating to advice provided to Cabinet, the Minister and other government organisations on legislation.

See GOVERNMENT RELATIONS - Submissions for records relating to submissions by the organisation on the development or review of legislative or regulatory proposals of other government organisations.

See LEGAL SERVICES - Advice for records relating to legal advice sought and received on the interpretation of legislation.

See STRATEGIC MANAGEMENT - Legislation for records relating to the development, implementation and review of legislation and regulations concerning the operations and functional responsibilities of the organisation.

No Description of records Disposal action
10.7.1 Records relating to the preparation and passage of legislation through Parliament. Records include:

  • records documenting consultation with relevant organisations and stakeholders and regulatory impact statements
  • records of preparation of Explanatory Memoranda.

Required as State archives

MEETINGS 10.8.0

The activities associated with gatherings held to formulate, discuss, update, or resolve issues and matters pertaining to the organisation and its relationships with other government organisations or government processes. Includes arrangements, agenda, taking of minutes etc.

See the relevant function/activity for records relating to meetings held as part of the management or conduct of those activities or processes, e.g. use GOVERNMENT RELATIONS –INQUIRIES for records relating to meetings held in order to discuss the conduct and progress of formal Inquiries, e.g. use GOVERNMENT RELATIONS – LEGISLATION for records relating to meetings held in order to discuss drafts or changes to legislation.

See COMMITTEES for records relating to the formation, meetings and decisions of committees, task forces, working groups or parties etc.

See STRATEGIC MANAGEMENT - Meetings for records relating to general, section or unit meetings of employees.

No Description of records Disposal action
10.8.1 Records relating to meetings between Chief Executives and Ministers, Ministerial employees or senior executives of other government organisations that do not relate to particular functions. Records include:

  • agenda and minutes or notes of meetings
  • advice and briefing papers
  • submissions and reports
  • recommendations and resolutions
  • correspondence arising from business discussed and resolutions passed.

Note: Retention period is for records relating to meetings that do not specifically relate to any other activities. If meetings relate to other activities, classify under relevant activity.

Required as State archives
10.8.2 Records relating to administrative arrangements for meetings. Records include:

  • meeting notifications
  • catering arrangements
  • venue bookings
  • related correspondence.

Retain until administrative or reference use ceases, then destroy

POLICY 10.9.0

The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the organisation's operating procedures are determined.

See the organisation's functional retention and disposal authority for records relating to policies regarding specific core functions.

See the relevant function/POLICY for records relating to policies developed by the organisation regarding specific administrative functions, e.g. use INFORMATION MANAGEMENT – POLICY for records relating to information management policies.

See GOVERNMENT RELATIONS - Submissions for records relating to submissions by the organisation on the development or review of government-wide policies developed by central coordinating agencies.

See STRATEGIC MANAGEMENT - Implementation for records relating to the implementation of government-wide policies by the organisation.

See STRATEGIC MANAGEMENT - Policy for records relating to the organisation's policies on cross-functional or organisation-wide matters.

No Description of records Disposal action
10.9.1 Final, approved versions of policies relating to the management and handling of formal relationships with other government organisations or government processes, e.g. policies concerning the handling of Ministerials or communications with the Minister's office, and associated correspondence indicating who the policies apply to and responsibilities for their implementation.

Retain minimum of 7 years after policy is superseded, then destroy
10.9.2 Records relating to the development and review of policies relating to the management and handling of formal relationships with other government organisations or government processes, e.g. policies concerning the handling of Ministerials or communications with the Minister's office. Records include:

  • policy proposals
  • background research
  • records of consultations
  • draft versions of policies containing significant changes/alterations or formally circulated for comment
  • reports analysing issues and the outcomes of consultation with employees, unions, stakeholders etc.

Retain minimum of 3 years after action completed, then destroy
10.9.3 Records relating to advice or notifications regarding policies and procedures that apply to the whole-of-government, e.g. Premier's Memoranda and Circulars, Treasurer's Directions.

Retain until ceases to be of administrative or reference use, then destroy

PROCEDURES 10.10.0

Standard methods of operating laid down by an organisation according to formulated policies.

See STAFF DEVELOPMENT - Training for records relating to training in procedures.

See STRATEGIC MANAGEMENT - Procedures for records relating to quality assurance procedures.

No Description of records Disposal action
10.10.1 Final, approved versions of the organisation's manuals, handbooks, directives etc detailing procedures relating to the management and handling of formal relationships with other government organisations or government processes, e.g. procedures concerning the handling of Ministerials or communications with the Minister's office, and associated correspondence indicating who the procedures apply to and responsibilities for their implementation.

Retain minimum of 7 years after procedures are superseded, then destroy
10.10.2 Records relating to the development and review of procedures relating to the management and handling of formal relationships with other government organisations or government processes, e.g. procedures concerning the handling of Ministerials or communications with the Minister's office. Records include:

  • background research
  • draft versions of procedures containing significant changes/alterations or formally circulated for comment
  • reports analysing issues and the outcomes of consultation with employees, unions, other stakeholders etc.

Retain minimum of 3 years after action completed, then destroy

REPORTING 10.11.0

The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and providing formal statements or findings of the results of the examination or investigation.

See PUBLICATION - Production for records relating to the design, layout, printing etc of reports, including annual reports.

No Description of records Disposal action
10.11.1 Final, approved versions of published and unpublished reports to government relating to the organisation's core functions and performance, e.g. annual reports or substantial ad hoc reports.

Required as State archives
10.11.2 Records relating to the development of published and unpublished reports to government relating to the organisation's core functions and performance, e.g. annual reports or substantial ad hoc reports. Records include:

  • background research
  • draft versions of reports containing significant changes/alterations or formally circulated for comment.

Retain minimum of 6 years after action completed, then destroy
10.11.3 Records relating to periodic reports required to be submitted to external government organisations regarding programs and services, e.g. statistics, reports relating to budget estimates etc and reports of minor significance that are not related to core functions. Records include:

  • background research
  • draft versions of reports containing significant changes/alterations or formally circulated for comment
  • final, approved versions of reports.

Retain minimum of 3 years after action completed, then destroy
10.11.4 Responses to non-mandatory surveys requested by other government organisations including central controlling agencies.

Retain until administrative or reference use ceases, then destroy

REPRESENTATIONS 10.12.0

The activities involved in preparing responses to questions raised in Parliament by Members of Parliament on behalf of their constituents. Also includes representations directed from the Minister or Members of Parliament to the organisation seeking a formal response.

See GOVERNMENT RELATIONS - Advice for records relating to briefing notes for the Minister.

No Description of records Disposal action
10.12.1 Records relating to responses to correspondence received by the Minister (Ministerials) or Members of Parliament from peak industry organisations, leading community interest groups, influential stakeholders or individuals and referred to the organisation, concerning issues of major significance to the organisation and/or the community. Records include:

  • copies of letters received
  • draft responses
  • minutes providing details for the Minister
  • requests from the Minister's office for changes
  • final responses.

Required as State archives
10.12.2 Records relating to responses to correspondence received by the Minister (Ministerials) or Members of Parliament from peak industry organisations, leading community interest groups, influential stakeholders or individuals and referred to the organisation, and referred to the organisation, concerning issues which are not of major significance to the organisation and/or the community. Records include:

  • copies of letters received
  • draft responses
  • minutes providing details for the Minister
  • requests from the Minister's office for changes
  • final responses.

Retain minimum of 2 years after action completed, then destroy
10.12.3 Records relating to the preparation of Ministerial responses to questions raised in Parliament. Records includes question time briefs.

Retain minimum of 5 years after action completed, then destroy
10.12.4 Records relating to communications sent to the Minister, including about the management of Ministerial directives and background material, statistics and reports on representations.

Retain minimum of 2 years after action completed, then destroy

REPRESENTATIVES

See COMMITTEES for records relating to the organisation’s representatives on government committees.

See STAFF DEVELOPMENT - Training for records relating to the training of representatives.

RESEARCH

See the organisation’s functional retention and disposal authority for records relating to research if research is a core function of the organisation.

See the relevant function/activity for records relating to background research undertaken when developing particular products or documentation, e.g. use GOVERNMENT RELATIONS – ADVICE for records relating to research for briefing notes, question time briefs and house notes for the Minister, e.g. use GOVERNMENT RELATIONS – POLICY or GOVERNMENT RELATIONS – PROCEDURES for records relating to background research for the development and review of policies or procedures.

REVIEWING

See GOVERNMENT RELATIONS - Policy for records relating to the review of policies.

See GOVERNMENT RELATIONS - Procedures for records relating to the review of procedures.

See STRATEGIC MANAGEMENT - Reviewing for records relating to the review of strategic programs and services.

SECURITY

See PROPERTY MANAGEMENT - Security for records relating to building security arrangements.

SUBMISSIONS 10.13.0

The preparation and submission of a formal statement (e.g. report, statistics, etc.) supporting a case or opinion held by the organisation which is submitted to another organisation for the purpose of either gain or support.

See GOVERNMENT RELATIONS - Advice for records relating to briefing notes, question time briefs and house notes for the Minister.

See GOVERNMENT RELATIONS - Inquiries for records relating to submissions regarding formal committees of inquiry initiated by government.

See GOVERNMENT RELATIONS - Legislation for records relating to the preparation and passage of legislation through Parliament.

No Description of records Disposal action
10.13.1 Records relating to submissions to Cabinet or the Minister or other government organisations relating to core functions. Records include:

  • Cabinet minutes requesting submissions
  • background research
  • records of consultations
  • draft versions of submissions containing significant changes/alterations or formally circulated for comment
  • reports analysing issues and the outcomes of consultation with employees, unions, stakeholders, etc.
  • final, approved versions of submissions.

Required as State archives
10.13.2 Records relating to submissions to the Minister or government organisations relating to administrative matters, e.g. exemptions for employing personnel during staff freezes. Records include:

  • background research
  • records of consultations
  • draft versions of submissions containing significant changes/alterations or formally circulated for comment
  • reports analysing issues and the outcomes of consultation with employees, unions, stakeholders etc.
  • final, approved versions of submissions.

Retain minimum of 5 years after action completed, then destroy
10.13.3 Records relating to submissions by the organisation on the development or review of legislative or regulatory proposals of other government organisations or the development or review of government-wide policies developed by central coordinating agencies, e.g. anti-discrimination, Charter of Principles for a Culturally Diverse Society, etc.

Retain minimum of 5 years after action completed, then destroy

VISITS 10.14.0

The activities involved in arranging visits by other organisations, the public and students to the organisation, with a view to inform, educate or promote the services, operation and role of the organisation. Includes arranging visits by employees to other organisations.

See the organisation's functional retention and disposal authority for records relating to visits that are undertaken as part of the performance of core functions.

See COMMUNITY RELATIONS - Visits for records relating to visits by clients, the public, students and community representatives or officials.

See GOVERNMENT RELATIONS - Addresses for records relating to addresses made by employees on visits to other government organisations.

See PERSONNEL - Authorisation for records relating to approvals and authorisations for travel or travel arrangements for employees.

See STRATEGIC MANAGEMENT - Corruption for records relating to the management of gifts from visitors where records are kept as an anti-corruption measure, e.g. gifts and benefits registers.

No Description of records Disposal action
10.14.1 Records relating to visits made to the organisation by Heads of State, Ministers, or other government officials including interstate or overseas delegations. Records include:

  • invitations
  • itineraries and programs
  • visit reports
  • records of security arrangements additional to standard security
  • letters of appreciation.

Retain minimum of 6 years after action completed, then destroy
10.14.2 Records relating to visits made by the organisation's employees to other government organisations in Australia or overseas.

Retain minimum of 2 years after action completed, then destroy
Recordkeeping Rules
Retention & Disposal Authorities