The purpose of these procedures is to assist organisations in obtaining retention and disposal authorisation in accordance with the provisions of the State Records Act 1998. Retention and disposal authorisation is an essential component of an organisation’s records and information management program and is an integral part of organisational efficiency and accountability. These procedures cover:

  • requirements for preparation, review or amendment of a retention and disposal authority (RDA)
  • the methodology for identifying retention requirements for records
  • the process of submitting an RDA to NSW State Records for approval, and
  • use of an RDA issued to a predecessor or another organisation.

Introduction

Part 3 of the State Records Act 1998 prohibits the disposal of State records except where it is authorised. Under the Act, NSW State Records can give permission for disposal. The usual means by which this is done is through the approval of RDAs.

What is a retention and disposal authority?

A retention and disposal authority (RDA) is a formal instrument issued by NSW State Records that identifies:

  • records that are required as State archives
  • minimum retention periods for other records to meet regulatory, business and community requirements before they can be destroyed.

Implementing an RDA has many potential benefits for your organisation, such as:

  • ensuring that records are kept for as long as they are needed
  • saving storage costs and office or online space
  • streamlining retrieval processes (by ensuring records no longer required for business or other purposes are removed from systems)
  • identifying records with long-term value and therefore long-term retention and preservation requirements
  • identifying records eligible for destruction or requiring migration when systems are upgraded, and
  • prioritising records that require recovery in the event of a disaster.

The full list of current approved retention and disposal authorities is available from the website.

If your organisation does not have authorisation for the disposal of its core functional records you need to develop an RDA or seek permission to use an existing one to ensure that your records can be disposed of in accordance with the provisions of the State Records Act. Once this authorisation is in place you can use it in conjunction with the general authorities to implement a comprehensive records disposal program within your organisation.

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Before you begin

Discuss your project with NSW State Records

Before you undertake work on developing an RDA (or engage a consultant to do so) contact NSW State Records to discuss the project. We are happy to meet with you to outline requirements and discuss any issues or concerns you may have. This will assist you to determine your requirements and scope and plan the project accordingly. Please email us at govrec@staterecords.nsw.gov.au or ph. 9673 1788.

Determine the disposal authorisation your organisation requires

To begin to plan and scope your project you need to determine what action is required to ensure you have the necessary disposal authorisation.

If your organisation has... Then...
no disposal authorisation for some or all of its unique functional records Contact NSW State Records to discuss. If there is an existing RDA that provides appropriate coverage you can seek permission to use it. If there is no existing suitable RDA, you will need need to prepare one for approval.
disposal authorisation approved 5 or more years ago

review the retention requirements outlined in the authority to ensure they still meet current organisational requirements and check the authority provides comprehensive coverage for all core functional records.

If the review process identifies a need to update or amend the authority, contact NSW State Records to discuss.

disposal authorisation approved 10 or more years ago

review the retention requirements outlined in the authority to ensure they still meet current organisational requirements and check the authority provides comprehensive coverage for all core functional records.

If the review process identifies a need to update or amend the authority, contact NSW State Records to discuss.

If the review process confirms that the authority continues to provide comprehensive coverage for all core functions and that the retention requirements and disposal actions outlined in the authority continue to reflect the organisation’s legal, business and accountability requirements contact State Records to confirm ongoing use of the authority is permitted.

Note: transfers of State archives using authorities approved over 10 years ago may not be accepted unless ongoing use of the authority has been confirmed by NSW State Records.

disposal authorisation approved for use by a predecessor organisation

review the retention requirements outlined in the authority to ensure they still meet current organisational requirements and check the authority provides comprehensive coverage for all core functional records.

If the review process identifies a need to update or amend the authority, contact NSW State Records to discuss.

If the review process confirms that the authority continues to provide comprehensive coverage for all core functions and that the retention requirements and disposal actions outlined in the authority continue to reflect the organisation’s legal, business and accountability requirements contact NSW State Records to confirm ongoing use of the authority by your organisation is permitted.

no disposal authorisation for records relating to functions and activities no longer carried out contact NSW State Records to discuss development of appropriate disposal authorisation for the records.

Longer retention does not need to be authorised

RDAs permit the destruction of records after the specified minimum retention periods applying to them have been met. There is no need to seek permission from NSW State Records to retain records for longer than the minimum retention period.

Be aware of the disposal coverage provided in general retention and disposal authorities

It is particularly important to have a good understanding and awareness of the disposal coverage already provided by general authorities, especially the General retention and disposal authority: administrative records

You do not need to seek further authorisation or permission from NSW State Records for the destruction or longer retention of records covered by a general authority. You only need to seek authorisation for records not covered by a general authority.

All current general retention and disposal authorities can be accessed on the web site. If you need advice about the scope and application of the general authorities and how they relate to your organisation specific functional authority please contact govrec@staterecords.nsw.gov.au.

Administrative change does not necessarily require development of a new authority

RDAs are designed to link records to the functions they document rather than to specific organisational or administrative structures. The movement of functions between branches or units within an agency does not require the authority to be resubmitted for approval. Similarly, when functions move from one public office to another the public office that inherits the new function may continue to use the existing authorisation. However you should contact NSW State Records to confirm ongoing use of the authority by your organisation is permitted.

Consider adopting or developing common authorisation for organisations performing the same or similar functions

If you have identified an organisation performing the same or similar functions to your own organisation and that organisation already has a current RDA for its records, consider the potential for seeking authorisation to use that organisation’s authority. This could ultimately save your organisation from having to commit the time and resources to developing its own. 

Alternatively, if you have identified that there are other organisation’s performing the same or similar functions to your own organisation and they also do not have current comprehensive retention and disposal authority coverage it may be worth considering initiation of a joint project with these organisations to develop the required authorisation. As well as being a more efficient use of resources, this will also ensure consistent retention and disposal outcomes.

Obtain senior management support

Your chief executive officer will need to sign off on the final version of the authority and take organisational responsibility for its implementation. It is therefore important at the outset to have executive support for your project. Preparing or reviewing an RDA can be a major project. Be aware that it will take time and require organisational support to develop or review and to implement.

Obtain broader organisational support

Your project will involve consultation with operational staff in relevant business areas. You should plan at the outset how best to consult with staff. You will need to talk to staff about:

  • the business transactions or processes they carry out or managing
  • the records they create and maintain and the business systems they use to support the management and documentation of these processes
  • the requirements that impact on how long records need to be maintained and accessible
  • broader information management issues that affect their daily business operations.

See Appendix 6: Interviewing business managers and action officers for a sample list of questions.

    Undertake appropriate project planning

    Preparing or reviewing an RDA should be undertaken using the usual project planning methods. The project timetable should allow for key stages in the development and authorisation process, such as:

    • initial research and analysis
    • drafting and internal review
    • review of an initial draft by NSW State Records and amendment, revision or further internal consultation and research as required
    • external consultation and the need for amendment or revision that may result from this
    • sign off and formal submission by the chief executive of your organisation
    • review and approval of the authority by the Board of NSW State Records (Board meeting are held every two months).

    It is difficult to give an exact time frame for how long it will take to get an authority developed and approved as this depends on many factors including the size and complexity of the organisation, the available resources, currency and extent of existing disposal authorisation, quality and awareness of recordkeeping within the organisation, etc. Factors that can delay the process include:

    • the progress of internal and external consultation, review and approval processes
    • poor quality analysis and documentation
    • changes in project or operational personnel
    • administrative change
    • lack of organisational support
    • submission of non-standard documentation to NSW State Records.

    To develop a retention and disposal authority you will need access to:

    • corporate documents such as annual reports
    • operational policies and procedures or manuals
    • legislation, regulations, standards and codes of practice applying to your organisation, and
    • staff with knowledge of business activities and operational processes.

    Deciding to use a consultant

    Consultants may be engaged to develop or review an RDA. It is recommended you contact NSW State Records to discuss your project prior to deciding to engage a consultant. This will enable you to scope the project brief for the consultant appropriately.

    If you are intending to use consultants to prepare the authority it is still important that your organisation manages the project. If engaging a consultant you need to make sure that they:

    • are competent to undertake the work required
    • understand NSW State Records’ requirements and conventions
    • complete all of the required documentation to the standards specified in these procedures, and
    • provide your organisation with all documentation necessary for you to maintain and revise the authority in future and to account for the decisions made when their contract has ended.

    Consider final products that could facilitate implementation of the authority once it is approved. For example, would it be useful to have the authority in a particular format to facilitate import into your records management or business systems? You may want to specify certain ‘products’ are to be provided by the consultant as part of the contract to facilitate implementation of the authority following its approval (see Implementation and ongoing maintenance below).

    Please note NSW State Records is not able to recommend particular consultants.

    Implementation and ongoing maintenance

    Retention and disposal authorities should be prepared and submitted in a particular format (see Appendix 3: Drafting the authority). However, you may need different formats or tools for implementation purposes.

    Before you begin, it is useful to plan how you intend to implement and maintain the authority. Consider how retention and disposal requirements will be conveyed to staff within your organisation, and how the requirements will be maintained and updated.

    To support implementation it may be better to convey disposal requirements through internal business unit specific procedures and guidelines which are more user friendly for staff to understand and interpret. Also consider how system functionality and background automation of processes can be utilised to apply retention and disposal decisions and support the management of records disposal processes.

    More tips on implementing retention and disposal authorities are provided in the section Implementing a retention and disposal authority.

     

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    Preparing a retention and disposal authority

    Summary of requirements

    To obtain the approval of NSW State Records an RDA must:

    • be based on an analysis of the administrative, legal, social and recordkeeping contexts within which records are created and maintained in the organisation
    • be structured around the functions/activities of the organisation rather than, for example, the current administrative structure of the organisation
    • identify classes of records in relation to functions, activities and the business or operational processes that generate them rather than the way in which the records are filed or stored or the formats in which they are created
    • include appropriate justifications for the proposed retention periods and disposal actions.

    In general they should be streamlined and concise and follow the conventions outlined in Appendix 3: Drafting the authority. Exceptions to this approach may be appropriate, for example, if:

    • your organisation holds older records relating to functions or activities which are no longer carried out
    • your organisation inherited records from another organisation which are not actively used
    • your organisation has only a small quantity of records requiring disposal authorisation, or
    • your organisation is small and only undertakes a limited number of activities.

    If a different layout, format or approach is proposed contact State Records to discuss and obtain confirmation that what is proposed is acceptable before you commence drafting the authority. 

      This will assist organisations to identify recordkeeping requirements arising from regulatory compliance, business need and stakeholder or community expectations. An understanding of these is essential to determine appropriate retention periods and disposal actions for records supporting various business activities.

      Why functions?

      Whilst organisations may be restructured quite frequently, the functions carried out tend to remain relatively stable. An authority broadly structured around business functions is more likely to continue to be applicable despite internal restructures, or broader administrative change. 

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      Methodology for appraising records retention and disposal requirements

      Retention and disposal authorities must be based on research and analysis of an organisation's functional responsibilities, operating environment and the need for records to meet business, legal, regulatory and accountability requirements. This research and analysis should cover:

      • the organisation’s business and operating context. This includes the roles and responsibilities of your organisation, its unique functions and activities, the regulatory environment or framework within which it operates and its relationships with other organisation’s and external stakeholders.
      • the records, data and information resources created, maintained and relied on by the organisation and the associated retention and disposal requirements. This may need to include research and analysis of both current and past recordkeeping practices and systems.

      To ensure that you are able to account for the decisions represented in the retention and disposal authority, and to assist in future reviews of the authority this research should be appropriately documented.

      You may also need to research administrative changes over time and their potential impact on the functional responsibilities and associated recordkeeping practices and systems of the organisation. Administrative changes could mean that your organisation is responsible for 'legacy' records documenting a function or activity that is no longer performed, or that particular business operations or processes and the associated recordkeeping practices and systems supporting them have significantly changed over time.

      Survey records practices, holdings and systems

      Surveying current recordkeeping practices and systems will help you to understand the range of records and information management systems created and maintained by your organisation requiring disposal authorisation.

      It is important to survey your organisation’s various business systems as well as recordkeeping systems as not all records will necessarily be managed in a centralised records or document management system.

      Talk to operational staff about the types of records they create and use in their day-to-day operations and the ways in which they are captured and maintained in business or recordkeeping systems, as well as their knowledge of how these practices may have changed over time.

      Remember, when you survey the recordkeeping and business systems in your organisation you only need to focus on the functional records unique to your organisation which are not already covered by (general or other) retention and disposal authorities. You do not need to consider records that you have already transferred as State archives.

      If you have any difficulty identifying the extent or limits of the coverage provided by existing authorities, please contact NSW State Records for assistance.

      It is important to ensure the survey identifies the records that are currently created as well as any legacy records. This may include:

      • active, semi-active and inactive records or information resources and systems
      • records held on any medium, and
         
      • records held in any location (onsite, off-site, online, off-line, in regional offices or in centralised or distributed storage, including off site commercial storage facilities).

      Survey transactional processes

      Understanding the transactional processes that make up various business activities and processes will assist the identification of records retention and disposal requirements.

      Example: Identifying transactional processes and the associated records

      As part of its core business, an organisation is required to develop procedures that regulate the conduct of activities of a particular industry sector. To undertake this activity it:

      • undertakes background research
      • produces draft versions of the procedures
      • circulates these draft versions for external consultation
      • produces final versions of the procedures,
      • submits the final versions to the Minister for approval and, once approved,
      • issues, promotes and provides advice on the use of the procedures across the industry sector.

      These various processes produce a number of different records:

      • initial background reference and research material
      • various draft versions of procedures circulated within the organisation for comment and associated feedback and comments
      • a consultation draft that is circulated to industry participants and made available for public comment
      • comments or submissions received from industry participants or the public on the draft procedures
      • records analysing, reporting on and making recommendations for amendment of the draft procedures in response to comments received from industry and public consultation processes
      • final versions of the procedures and their approval
      • records documenting the issue and promotion of the procedures
      • records of advice provided to industry participants or the general public about responsibility and requirements for implementing and complying with the procedures.

      These records will not necessarily all have the same retention requirements after the approval and issue of the final version of the procedures.

      Identify records retention requirements

      Retention requirements are rules or conditions that affect:

      • the length of time records need to be kept, and
      • the final disposal of records.

      They provide the reasons for maintaining, transferring or destroying public records.

      Records support business processes and decisions. Records are also kept to ensure organisations are accountable to government, courts of law, stakeholders, clients, the community and future generations.

      A failure to meet records retention requirements may result in:

      • inefficiency and inability to properly conduct or carry out the organisation’s functional responsibilities
      • poor customer service, and/or
      • negative perceptions of your organisation among its stakeholders (Minister, other government agencies, industry sectors, client base, etc.) or the general public because it is unable to account for its decisions or actions
      • penalties or prosecution.

      There are three main types of retention requirements:

      • regulatory requirements
      • business needs for information, and
      • community expectations.

      Regulatory requirements are imposed upon your organisation by laws, regulations, whole-of-government policies, directives, standards or similar instruments. Regulatory requirements will be most common for business activities or operations that are tightly controlled or monitored.

      These types of requirements can sometimes be identified in documentary sources, such as legislation establishing the organisation, in legislation or regulations administered by it or in legislation or regulations that specifically regulates the conduct of particular activities or provision of services. Regulatory requirements may also be documented in standards, codes of practice, manuals, handbooks, guidelines, etc., with which an organisation is required to comply. Operational staff who understand the organisation's regulatory environment can assist in identifying these. Information about regulatory requirements may also be documented in operating policies and procedures.

      Example: Regulatory requirement

      This extract from the Workers Compensation Act 1987 provides an example of a regulatory retention requirement:

      s.174 Records relating to wages, contracts etc to be kept and supplied
      (1) An employer shall keep correct records of:
      (a) all wages paid to workers employed by the employer,
      (b) the trade, occupation or calling of each such worker, and
      (c) such other matters relating to those wages (or otherwise relevant to the calculation of premiums payable under policies of insurance) as may be prescribed by the regulations.
      (2) An employer shall retain any such record in good order and condition for at least 5 years after the last entry was made in the record.

      Business needs are internal requirements that result from the activities and business processes of your organisation. They specify what information is necessary for the organisation to carry out its operational work and responsibilities. These types of requirements generally need to be identified in consultation with staff who understand your organisation's operations or a particular business process.

      Example: Business need

      'Staff compile monthly statistics about training courses and consolidated statistics of training courses delivered, number of attendees, etc., are also reported on in the annual report. The monthly statistics are relied upon to compile the figures for the annual report, therefore staff  need to be able to refer to the monthly reports at least until the annual report has been compiled and potentially for some time after its submission to the Minister in case any queries arise concerning the figures.' (Source: Interview with Training Services business manager)

      Asking the following questions of business units or operational staff may assist in determining business needs for records:

      • Why are the records created?
      • How long are the records active for (i.e. when is a matter considered finalised)? How long are the records needed for reference or ongoing use?
      • Do any other business units also use the records? When and for what purposes?
      • Who might also need to use or refer to the records in the future (e.g. clients, accreditation bodies or other organisations, etc.)?

      Community expectations are external requirements that are expressed by specific client groups or other parties with an interest in your organisation's business. They indicate the concerns, demands or assumptions of stakeholders regarding the availability of information about an organisation's activities.

      These types of requirements may be articulated in sources such as minutes or proceedings of consultative committee, advisory boards or councils, debates in parliament, reports or recommendations of formal Inquiries, media items, customer feedback forms and letters of complaint, Ministerials, etc.

      Community expectations can also be revealed through interviews with staff who work in a particular area of business activity or through consultation with stakeholders and community representatives.

      Example: Community expectation

      'Students have an expectation that we will be able to re-issue a qualification or statement of attainment if required, so we implement procedures to ensure that sufficient information on student results is retained for their potential working life.' (Source: Interview with Student Administration Manager).

      Determining retention requirements for business processes and the associated records

      To determine the retention requirements that relate to business processes and the associated records, start by identifying the various transactions or steps that make up the business process and the purpose of the records created or received at the various stages of the business process: why are these records created and what are they used for? 

      It is important to remember that the retention periods you recommend in the authority identify the minimum amount of time that records will be kept for, after which the need for their ongoing retention should be assessed. A disposal authority does not require the destruction of records, it is a records management tool to ensure records retention practices meet organisational need for records and information. Records can and always should be retained for longer periods where a need to do so is identified after the minimum retention period has expired.

      Be sure to document the justifications or basis for any nominated minimum retention periods and disposal actions. Documenting and justifying these decisions supports organisational accountability with respect to records retention and disposal processes and activities. Knowing the basis for records retention and disposal decisions will also assist in maintaining the authority over time.

      Justifications for records retention decisions are also required as part of the supporting documentation for submission of an authority. See Appendix 3: Drafting the authority for more information about justifications and providing these as part of the submission for approval.

      Develop disposal classes

      Once you have determined retention requirements, you can group records under each activity into classes or categories of records of related transactional processes having the same minimum retention period and disposal action.

      Example: Identifying disposal classes

      An organisation creates a number of different records as part of developing internal operating procedures to support its core business. The organisation determines that records relating to the drafting of the procedures have a shorter retention requirement than the final procedures themselves. Therefore, the records may be divided into two disposal classes:

      • records relating to the development and review of procedures. This includes records of background research, records of consultation with business unit stakeholders regarding content of the procedures and draft versions of procedures developed and circulated for review and comment.
      • the final versions of procedures that are approved and issued for use and related correspondence or advice accompanying the issue or implementation of the procedures regarding who the procedures apply to and responsibilities for their implementation.

      Identify disposal triggers

      Disposal triggers identify the event from which the minimum retention period for a class of records is calculated.

      Example: Disposal trigger

      In the following disposal action, the bolded text shows the disposal trigger for calculating the application of the nominated 1 year minimum retention period:

      Retain minimum of 1 years after expiry or renewal of licence, then destroy.

      Where possible, disposal triggers should reference a specific event such as:

      • after finalisation of a specific process, e.g. finalisation of a decison making or appeal process, finalisation of a matter, or after final settlement or withdrawal of claim
      • after date of birth, e.g. of an applicant, employee, claimant
      • after date of commencment of employment
      • after date of termination of employment
      • after expiry/fulfillment of all terms and conditions of a contract or agreement
      • after expiry/suspension/cancellation of a licence/permit/authorisation
      • after date of receipt
      • after superseded, or
      • after action completed.

      Using a specific event as a trigger minimises the risk of confusion or misinterpretation of when the minimum retention period will expire and makes it easier to calculate the dates for assessing the records for disposal.

      Where there isn't a specific known event that can be used as a trigger, 'after action completed' is often used. In general, 'after action completed' should refer to the last time the record was used as part of the business process it was received or created to support.

      The interpretation and implementation of disposal triggers should be guided by procedures and monitored to ensure retention and disposal requirements are being appropriately understood and applied and records are not at risk of being destroyed before their authorised disposal dates. You might also consider changing your business or recordkeeping processes and practices to make it easier to calculate and apply retention and disposal triggers.

      Identify records required as State archives

      As well as identifying retention requirements, retention and disposal authorities identify records required as State archives. NSW State Records' appraisal policy, Building the Archives, sets out broad objectives as to the type of records that are required as State archives. Use this policy to guide you in formulating recommendations as to which of your organisation's records should be retained as State archives.

      In summary, the objectives outlined in the policy are:

      Objective 1: To identify and preserve records providing evidence of the source of authority, foundation and machinery of the NSW Government and public sector bodies.
      Objective 2: To identify and preserve records providing evidence of the deliberations, decisions and actions of the NSW Government and public sector bodies relating to key functions and programs and significant issues faced in governing the State of NSW.
      Objective 3: To identify and preserve records providing evidence of the legal status and fundamental rights and entitlements of individuals and groups essential for ongoing functions of the State.
      Objective 4: To identify and preserve records substantially contributing to the knowledge and understanding of the society and communities of NSW.
      Objective 5: To identify and preserve records that contribute to the protection and well being of the community or provide substantial evidence of the condition of the State, its people and the environment and the impact of government activities on them.

      If you feel that a group of records should be classed as State archives then nominate them as such in the authority and include appropriate justifications and background information to support your recommendation. Before nominating any class of records for retention as State archives, organisations should check the quality of the records and the information they contain. Be aware that State Records may have a different view to your organisation as to which records should be required as State archives. NSW State Records assesses the value of records in the context of the whole of the NSW public sector and may not require a record from one organisation where we know that a more concise or significant record of the same activity is to be retained as a State archive by a related organisation.

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      Stakeholder consultation

      As part of developing an authority, and before it is submitted for approval, NSW State Records recommends that organisations consult with external stakeholders, where appropriate, to determine whether the minimum retention periods and disposal actions identified in the authority are sufficient to meet their needs or requirements for access to information and records held by the organisation.

      External stakeholders who may have an interest in or be reliant upon the records covered by the authority can include:

      • other government and non-government organisations,
      • specific client groups
      • researchers.

      Organisations should consider consulting with those stakeholders who may be reliant on information and records held by the organisation and affected by the minimum retention periods and disposal actions identified in the draft retention and disposal authority. Each organisation needs to consider the most appropriate means by which to undertake this consultation.

      Consulting with other organisations

      If your organisation:

      • undertakes joint ventures with other organisations
      • performs functions or operations in conjunction with other organisations, and/or
      • shares client or other business information with other organisations,

      you should advise and consult with these organisations about the nominated retention periods for the records in which they have an interest.

      Consulting with specific stakeholders

      If your organisation has frequent interaction with specific client or research groups, it may be appropriate to submit the draft retention and disposal authority for comment to representatives of these groups.

      If you find it difficult to identify suitable external stakeholders for consultation, consider whether your organisation has a governing council, board, advisory committees or other groups which include stakeholder representation. Consulting with such groups is often easy, as these groups can comprise representative and readily accessible stakeholders who are familiar with the organisation's business operations and processes.

      When submitting an authority to NSW State Records for approval be sure to outline any stakeholder consultation undertaken in the course of developing the authority and details of how stakeholder comments and feedback have been addressed in the determination of retention periods and disposal actions.

      Appropriate internal business unit and management review and approval processes should also be undertaken prior to submission of the draft authority to your organisation's CEO for sign off and formal submission to NSW State Records for approval.

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      Submitting a retention and disposal authority

      There are two main stages in the process of obtaining approval for a retention and disposal authority:

      • submitting an initial draft for review and comment by NSW State Records, and
      • formally submitting a final agreed draft for approval by NSW State Records and its Board.

      Stage 1: Submitting an initial draft for review

      Step 1 The organisation's responsible officer...

      • checks that the draft retention and disposal authority meets all organisational and statutory requirements
      • checks that the draft authority and supporting documentation has been prepared in accordance with NSW State Records' procedures, and
      • submits the draft authority and supporting documentation to State Records.

      Submit your initial draft and supporting documentation by email to govrec@staterecords.nsw.gov.au.

      Step 2 State Records staff...

      • review the draft authority and supporting documentation
      • request, if necessary, further information to clarify the scope of the authority or the decisions in it, and
      • provide comments and feedback to the organisation on the draft authority.

      Step 3 The organisation's responsible officer...

      • responds to the comments by either revising the draft retention and disposal authority, clarifying and justifying the decisions in it or providing further information as required.

      Note: Depending on the stage of development of the draft authority and the quality of the supporting information provided, Steps 2 and 3 may be repeated. Once an agreed upon draft has been finalised, you can proceed to Stage 2.

      Stage 2: Submitting the final draft for approval

      Step 1 The chief executive of the organisation...

      Step 2 State Records' staff...

      • prepare the retention and disposal authority for submission to NSW State Records' Board and Director, and
      • submit the draft authority to the Board and Director for approval.

      Step 3 State Records' Board...

      • reviews and approves the retention and disposal authority, or
      • reviews the authority and requests further clarification or changes to the authority. Note: If NSW State Records' Board does not approve the authority, you may need to go back to Step 3 of Stage 1 and either revise the draft authority, clarify the decisions in it or provide additional information as requested.

       Once the authority has been approved by the Board...

      Step 4 The Executive Director of NSW State Records...
      • approves the retention and disposal authority and a copy of the approved authority is forwarded to the CEO of the organisation.

      Note: Once the Executive Director approves a retention and disposal authority it may be implemented without further reference to NSW State Records. See NSW State Archives and Records' Implementing a retention and disposal authority and Destruction of records for advice on implementing disposal decisions.

      Factors impacting on timing

      The process of submitting a retention and disposal authority for approval usually takes a few months. While NSW State Records endeavours to provide comments on draft authorities within 8 weeks of receiving the draft, this depends on:

      • the stage of development of the authority when it is first submitted for review
      • the quality of the documentation submitted, and
      • how many draft authorities from other organisations have also been submitted for review (authorities are usually reviewed in order of receipt).

      The timing of the process also depends on:

      • how many changes are required to finalise the draft retention and disposal authority, and
      • when a final draft authority is submitted. NSW State Archives and Records' Board meets approximately every two months. The deadline for submission of the agreed upon final draft authority is 4 to 6 weeks prior to the meeting date.

      Appraisal by NSW State Records

      A major focus of the review of the draft retention and disposal authority by NSW State Records is to ensure the identification and application, where appropriate, of consistent retention periods and disposal actions for similar records across the public sector and to appraise which of the organisation's records are required as State archives. This appraisal will take into consideration recommendations by the organisation, previous appraisal decisions and our stated appraisal policy objectives. Remember that NSW State Records is appraising the value of the functions, activities and records of the organisation in the context of the whole of the NSW public sector.

      NSW State Records may consult with stakeholders with expertise in the areas covered by the authority as part of their appraisal.

      Approved retention and disposal authorities

      The final approved version of the retention and disposal authority is maintained by NSW State Records.

      Details and copies of retention and disposal authorities approved by NSW State Records are available on the website.

      Implementing a retention and disposal authority

      Once the retention and disposal authority is approved, it should be implemented.

      Effective planning for and implementation of records retention and disposal programs will ultimately save your organisation money in storage and other management costs as well as supporting compliant records disposal practices and activities.

      Assess your systems' capacities to implement disposal

      An initial assessment of your systems' capacities to administer retention and disposal decisions in a manner that is appropriate to your operational needs and business requirements will assist in planning for and the implementation of records disposal processes and activities. Consider:

      • Can the retention and disposal authorities be loaded into business systems or  records management software?
      • Can retention requirements be automatically applied to records when they are created or received as part of business processes? If not, what will be required to facilitate this?
      • Are systems capable of calculating disposal due dates from relevant triggers? If not, what will be required to facilitate this?
      • What business rules are in place to govern the management of records in database or specific business system environments? Do these need to be developed or modified to better support compliant disposal of records from these systems?
      • What system generated reports are required to support the management and documentation of disposal activities and approval processes?

      Develop policies, procedures and user training

      All staff in the organisation, including contractors, need to be made aware that the disposal of records is an accountable process.

      Organisations should develop and document accountable and authorised processes for the management of records retention and disposal activities. Policies and procedures should clearly articulate roles and responsibilities with respect to the destruction of records and the transfer of State archives to archival custody or control.

      As part of your implementation strategy you may choose to develop a training package to assist staff in understanding the organisation’s records retention and disposal requirements and their responsibilities with respect to the management of these processes.

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      Reviewing an approved retention and disposal authority

      Organisations should review their retention and disposal authority coverage regularly to ensure it remains relevant as functions and activities, the operating environment and requirements for records change.

      Determine the need to review

      Record retention requirements may change over time. This can occur when:

      • business needs or practices change
      • new laws, regulations or standards are introduced
      • new technology is implemented
      • government is restructured and functions are moved between entities, or
      • unforeseen community expectations become apparent.

      Remember, records that are not covered by a retention and disposal authority cannot be destroyed or transferred as State archives.

      NSW State Records recommends that organisations routinely review their retention and disposal authority coverage at least every 5 years to ensure that the retention periods and disposal actions remain relevant.

      If the retention and disposal authorisation specific to your organisation was approved 10 or more years ago the authority should be comprehensively reviewed to ensure the retention requirements outlined in the authority still meet current organisational requirements and to check the authority continues to provides comprehensive coverage for all core functional records.

      If the review process confirms that the authority continues to provide comprehensive coverage for all core functions and that the retention requirements and disposal actions outlined in the authority continue to reflect the organisation’s legal, business and accountability requirements contact State Records to confirm ongoing use of the authority is permitted.

      If the review process identifies a need to update or amend the authority, contact NSW State Archives and Records to discuss. Remember, if you want to reduce minimum retention periods or change disposal actions the approval of NSW State Archives and Records is required. Extending the minimum retention periods identified in an authority does not require the approval of NSW State Archives and Records.

      Submit a revised retention and disposal authority

      The process for submitting a revised retention and disposal authority is the same as the process for submitting a new authority. However, if the revised authority will supersede the organisation's current authority you need to ensure that the supporting documentation and justification information included with the revised authority clearly identifies:

      • any new entries included to cover records not previously covered
      • the consolidation, merging or removal of entries from the current authority
      • the equivalent entry/ies in the organisation's current authority which will be superseded by the revised authority entry once approve
      • where minimum retention periods are consistent with current approved decisions
      • any proposed changes to the current approved disposal triggers from which minimum retention periods are to be calculated and the reasons for the proposed changes
      • any proposed changes to the current approved minimum retention periods or final disposal actions and the reasons for the proposed changes.

      See this example of a revised retention and disposal authority (pdf, 32kb) and linking table for how this information should be documented for submission to NSW State Archives and Records.

      Your supporting documentation (required to be submitted with the initial draft of the revised authority) should also note any functions/activities/disposal classes in the organisation's current authority that have not been included in or carried over to the revised authority and why, e.g. because the function/activity is no longer carried out by the organisation and records of that process are no longer created or held by the organisation, either because they have been appropriately destroyed or transferred to the relevant successor organisation.

      This information ensures continuity in decision making about the retention and disposal of records and assists NSW State Records in reviewing revised authorities. Importantly, it will also assist your own organisation to track or map the changes required to update existing records management, EDRMS or business systems information supporting records disposal implementation processes.

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      Policy on disposal authorisation and administrative change

      Retention and disposal authorities are issued for particular functions and to specific organisations to authorise the disposal of records generated in a particular context. When administrative change occurs, such as the merger of two organisations or the transfer of functions between organisations, the retention and disposal authorities currently covering those records may continue to be used by those organisations that continue to perform the functions covered by the authority.

      Contact NSW State Records

      Notify NSW State Records (govrec@staterecords.nsw.gov.au) when you intend to use a retention and disposal authority issued to a predecessor organisation.

       

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      Appendix 1: Overview of documentation requirements and templates

      Documentation is an integral part of disposal authorisation. Preparing a retention and disposal authority involves research and analysis which should be documented whether the work is undertaken in-house or by a consultant. NSW State Records requires organisations to submit specific documentation in order to authorise disposal.

      When submitting an initial draft, NSW State Records requires:

      • the draft retention and disposal authority (use the template provided), and
      • supporting documentation.

      When submitting a final draft for approval, NSW State Records requires organisations to provide:

      • the final draft retention and disposal authority (use the template provided), and
      • a cover letter (use the Word template provided).

      Content and presentation of supporting documentation

      NSW State Records requires organisations to provide supporting documentation with the draft retention and disposal authority submission. This information assists NSW State Records to understand the role, responsibilities and operating environment of the organisation and to review and understand the basis of the records appraisal decisions outlined in the draft authority.

      When you submit the initial draft of the retention and disposal authority for review you are required to provide us with the following information:

      About the organisation

      • A brief description of the history of the organisation and its functional responsibilities, including information about when it was originally established and, if relevant, any predecessor or successor organisations
      • Details of legislation administered by the organisation relevant to the functions and activities covered by the authority

      About relationships with other organisations and stakeholders

      • A brief description of any formal reporting/compliance relationships between the organisation and other organisations relating to core functions
      • A brief description of any role the organisation has in overseeing the performance/operations of other organisations or individuals (including e.g. where functions or activities are contracted out)
      • A brief description of any significant joint ventures, agreements or consultative arrangements the organisation has with other organisations relating to core functions
      • A brief description of any overlap of core functions or interrelationships with other organisations
      • A brief description of any significant relationships with other organisations not already described
      • A list of all identified external stakeholders

      About governing bodies and committees

      • A brief description of any governing body, significant committees, councils or advisory bodies that perform, oversee or advise on key aspects of the organisation’s business

      About the records held by the organisation

      • A brief description of recordkeeping systems that exist in the organisation including paper-based filing systems, electronic document management systems, database applications, and collections of photographs, maps and plans and audio visual material
      • A brief description of the oldest records held by the organisation and whether these were created by the organisation in its current incarnation or a predecessor organisation
      • A statement of when the majority (80%) of the records to be covered by the authority date from
      • A brief description of any legacy records covered by the authority that relate to functions and activities no longer carried out by the organisation or legacy records of administrative processes no longer undertaken or carried out as part of the conduct of current functions and activities
      • Details of any previous disposal authorisation issued to your organisation (either functional retention and disposal authorities or disposal recommendations)

      Note: You do not need to consider or provide information about records that your organisation has already transferred as State archives.

      About the retention periods and disposal actions

      • A brief statement of the justification or basis for each retention period and disposal action identified in the authority (if these are not included in the functional retention and disposal authority itself - see the templates below for presenting this information)

      About any external stakeholder consultation undertaken

      • A brief description of the organisations/persons consulted in the course of developing the authority, the feedback provided as a result of this consultation, and how the organisation responded to this feedback

      Note: If no external consultation was undertaken, provide an explanation as to why no consultation was performed.

      Templates

      NSW State Records has developed an application for drafting and transforming authorities in XML. The Authority Editor is a program that supports the development of draft authorities that are compliant with NSW State Archives and Records requirements. Organisations are encouraged to draft and submit authorities using the Authority Editor. More information is available from the XML schema for retention and disposal authorities page on our website.

      Draft authorities can also be submitted using the following templates:

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      Appendix 2: Example supporting documentation

      The following information provides an example of supporting documentation that meets NSW State Records' requirements.

      Note: This example supporting documentation is for a small agency with a limited number of functions. Larger, more complex organisations may need to produce a more extensive document.

      Example: Supporting documentation for the Building and Construction Industry Long Service Payments Corporation

      About the organisation

      The Building and Construction Industry Long Service Payments Corporation is a statutory body initially established under the Building and Construction Industry Long Service Payments (Amendment) Act 1982.

      The Corporation is currently responsible for the administration of the Building and Construction Industry Long Service Payments Act 1986, which requires it to deliver a long service payments scheme to the building and construction industry of NSW. This Act also defines how the scheme is to be administered and how it is to be managed.

      Administration of the scheme entails:

      • registration of building and construction industry workers
      • collection and maintenance of building and construction industry workers service details, and
      • provision of long service payments to eligible members.

      The Corporation also collects levies on building and construction work to fund the scheme. From July 1986, the Building and Construction Industry Long Service Payments Act provided that the funding would come from a levy on building and construction work, with most local councils acting as agents to collect the levy for the Corporation.

      Prior to 1986 the scheme was funded by a charge on employers.

      Between 1975 and 1982, the long service payments scheme was administered by the former Builders Licensing Board.

      Relationships with other organisations and stakeholders

      The Corporation’s operations depend on the services of local councils for the collection of levies. The Corporation has no subsidiaries, and has not entered into joint ventures or partnerships with other organisations.

      The Corporation currently provides a service to over 251,000 registered active building and construction workers, and liaises with more than 32,500 registered employers.

      Committees

      The Building and Construction Industry Long Service Payments Act 1986 provides for a Building and Construction Industry Long Service Payments Committee (the ‘Industry Committee’), which acts as an advisory and appellate body. The Industry Committee consists of ten part-time members appointed by the Minister.

      The Industry Committee is empowered under s.9 of the Act to advise the Corporation on administration of the Act, including matters concerning publicity, the investment of funds and the rate of the long service levy. The Industry Committee decides worker’s appeals lodged against decisions of the Corporation, and decides appeals lodged by levy payers. It also acts as a ‘Customer Council’ in relation to customer service standards and helps to ensure that the quality and effectiveness of services meet customers’ needs.

      The Corporation is able to provide the building and construction industry with regular updates on its services and consult with industry representatives on any issues affecting its operations via the Industry Committee.

      About the records held by the organisation

      The Corporation maintains an electronic Worker Registry System and manages records relating to the registration of and administration of payments to employers and workers as case files. The Corporation currently has approximately 380 000 worker files and 83 000 employer files. These comprise the majority records holdings of the corporation and date back to the beginning of the scheme when it was initially established in 1975 and administered by the Builders Licensing Board. 

      The Corporation has implemented an electronic document and records management system for the management of its case files and started a major redevelopment of its computerised Worker Registry System. This will allow for more streamlined lodgement of information by employers and will include internet transacting.

      Previous disposal authorisation

      A number of disposal recommendations have been issued to the Corporation in the past: DR2886, DR3001, DR3060, DR3092, DR3267, DR3345, DR3458, DR3556, DR3794, DR4309, DR4380, DR4499, DR4542, DR5104, DR5406 and DR5500. These covered the disposal of records relating to both the Corporation’s core and administrative functions.

      About the retention periods and disposal actions

      Justifications for each retention period and disposal action are included in the draft retention and disposal authority.

      External stakeholder consultation

      The draft authority will be referred to the Industry Committee (an advisory committee comprising external stakeholder representation) for review and comment prior to its formal submission to State Records for approval.

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      Appendix 3: Drafting the authority

      NSW State Archives and Records' requirements and conventions for retention and disposal authorities

      This appendix provides an overview of State Records' requirements and conventions for the layout and wording of retention and disposal authorities to guide organisations when drafting an authority. For more information about identifying and scoping functions, activities and disposal classes, and determining retention and disposal requirements, see the Methodology for developing a retention and disposal authority section.

      NSW State Records' Authority Editor

      NSW State Records has developed an application for drafting and transforming authorities in XML. Authority Editor is a full implementation of NSW State Records’ XML schema. It includes a form entry view with tree navigation for simple inputting of data, a 'review view' that provides a readable view for easily navigating and reviewing XML documents, and a transform engine that applies XSL stylesheets to authorities to generate HTML, MS Word or edited versions. The Authority Editor makes the drafting process easier as it automates sorting, numbering and styling of authorities, simplifies the addition of internal and external see references, and contains drop down menus of sample justifications that can be used.

      Format and layout

      If the Authority Editor is not being used, Appendix 1: Overview of documentation requirements and templates provides links to the templates organisations should use when drafting a retention and disposal authority. Appendix 4: Example of a retention and disposal authority provides an example of the standard format and layout of an authority.

      Content and structure

      Table of contents

      If the retention and disposal authority is covering a large number of functions and activities, NSW State Records recommends including a list or basic table of contents to provide an overview of the functions and activities covered and to guide users through the authority. The Authority Editor generates this list automatically.

      Dates of coverage

      In general the date range can be left open. However, in some circumstances, it may be appropriate to nominate dates to indicate limitations on the date range of records to which the authority can be applied. Surveying your organisation's records holdings and systems will assist in identifying the potential need for this (for example to address records of predecessor organisations or changes in business processes impacting on how records have been created and maintained). The supporting documentation submitted with the draft authority should provide a summary overview of your organisation’s records holdings and management systems. This will assist NSW State Records to consider and advise if the application of date range limitations is appropriate.

      Structure

      The standard format is for the authority to be structured around Function and/or Activity terms presented alphabetically in the authority.

      See Appendix 4: Example of a retention and disposal authority for examples of standard conventions for the layout and structure of an authority.

      Function and Activity descriptions

      Function and Activity descriptions should be clear and concise, providing a plain-English explanation of the scope of processes covered. They do not necessarily need to reproduce thesaurus, taxonomy or business classification scheme descriptions in their entirety. Where the analysis of recordkeeping requirements has identified similar or equivalent retention and disposal outcomes for related Functions and Activities, it may be beneficial to consider combining terms in the authority and modifying the descriptions accordingly.

      See references

      See references should give appropriate guidance to help users of the authority make the best decision about how to sentence a particular class of records. General protocol:

      • See references to other functions should be placed at the end of the relevant function description.
      • See references to other activities should be placed at the end of the relevant activity description.

      See Appendix 4: Example of a retention and disposal authority for examples of standard conventions for the inclusion of see references.

      Disposal classes

      Disposal class descriptions should provide a clear and concise description of the particular business or transactional processes covered by the class to indicate the extent or limits of the scope of its coverage. Disposal classes should be able to stand alone. Ideally they should not rely on referral to a function or activity scope note or on an examination of other classes for their interpretation.

      Disposal class descriptions generally start with the phrase 'Records relating to...' or ‘Records documenting…’

      The inclusion of some examples of records intended to be covered by the class is recommended to assist users in applying the authority. The listing of examples does not have to be exhaustive, it is indicative only. The disposal class description detail or examples should not be too focused on or limited in their application to specific record formats. 

      Disposal class descriptions should carefully define any distinctions made, such as those between 'major' and 'minor', 'significant' and 'routine', etc.

      Disposal class descriptions should avoid use of 'jargon' or specific references to legislation, for example, that could date or unintentionally limit the application of the authority

      See Appendix 4: Example retention and disposal authority for examples of disposal class descriptions.

      Case records

      Where records relate to the management of a particular case, program or project (for example) it is important to assess whether:

      • the records should be treated as a single class with the same retention and disposal requirements or
      • the records should be described as separate classes in the authority with specific retention requirements depending on the particular process or aspect of the case/program/project management they document and support.

      Treating the records as separate classes depending on the specific aspect of the process or activity they document may be appropriate if your organisation wants to move away from case based file management systems, and if different retention periods can apply to the records depending on what aspect of the case/program/project management process they document. This can have benefits in terms of storage or system migration costs savings and also has the potential benefit of ensuring that records are only kept for as long as needed and then promptly destroyed.

      Databases

      Don't forget to include records contained in databases and business systems when developing your disposal coverage. The authority does not just apply to records in hard copy format. The retention and disposal decisions will apply to records of the functions, activities and business processes covered by the authority irrespective of the format in which they are maintained. Increasingly, records and information of key organisational business is created and maintained in digital or electronic format and systems, and it is crucial to ongoing organisational accountability that these systems and the records held in them are appropriately managed. Determining how long these records need to be maintained to meet your organisation’s business needs and requirements is essential for their ongoing management. Knowing retention requirements will mean appropriate plans can be put in place for the ongoing maintenance or migration of the database or business system.

      When you know what systems exist and the business they perform, you can start to look at how long this information needs to be kept. You can then ensure the systems are appropriately covered in the retention and disposal authority. IT staff can then develop plans for system maintenance or migration to ensure that the information within the database will be accessible and useable for the entire retention period.

      Records that do not need to be included in the disposal authority

      Organisations generally will not need to provide disposal coverage for records already covered by general retention and disposal authorities. For example, records of COMMITTEES, GOVERNING BODIES (such as Boards, Trusts, etc), CONTRACTING-OUT or TENDERING processes are covered in the General retention and disposal authority: administrative records.

      The destruction of certain duplicates, drafts, working papers, back up tapes, systems logs and transaction reports, etc., is permitted by the normal administrative practice provisions of the State Records Act, therefore specific coverage for these types of records does not need to be included in the organisation’s function authority.

      The General Retention and Disposal Authority - original or source records that have been copied also permits the destruction of certain original records after copying (for example to a digital image or microfilm format), provided the conditions listed in the authority have been met. Specific coverage for these types of records does not need to be included in the organisation’s function authority unless permission is being sought with respect to an excluded category of records.

      Disposal actions

      Disposal actions specify what should happen to a record. A disposal action is either:

      • an authorisation to destroy records after a specified retention period expires (e.g. 'Retain minimum of 10 years after action completed, then destroy'), or
      • the identification of records as State archives ('Required as State archives').

      Standard conventions for expressing disposal actions

      Disposal action Wording convention
      Records to be retained as State archives Required as State archives
      Records which can be destroyed after expiry of a specific time period, action or event

       

      Retain minimum of X months/years after Y, then destroy

      Note: X = number of months/years, Y = the event from which the number of years is counted (such as from when client reaches a certain age; after expiry, lapse or suspension of a permit or licence; completion of the business transaction/process etc.)

      Justifications

      Justifications explain how or why the retention periods and disposal actions have been determined.

      Justifications do not have to be extensive but they must be clear, considered and specific. Justifications need to provide definitive, measurable statements that give a clear rationale or basis for the identified minimum retention period or the recommendation to retain the records as State archives.

      To assist NSW State Records in reviewing retention decisions, provide as much detail as possible about the source or basis of the decision, including references to sections of legislation, standards, rules, guidelines and other documentary or external sources.

      Example: Justifications for retention periods and disposal actions

      These records document community and stakeholder input into and influence of the development of Government policy for the delivery of key community services. They meet State Records' appraisal objective 2.

      These records needed for reference as long as a licence agreement is in place as they protect the rights and interests of the licensee and may need to be referred to in the case of breach of licence conditions. All licence applications are approved by the Board and the Board minutes and papers will document the approval of applications and reasons for refusal of applications. Board papers and minutes will be retained permanently as State archives in accordance with the General retention and disposal authority: administrative records (entry x.x.x).

      National Rules Version 1.0, s1.9 specifies that all records and documents relating to the Scheme must be retained for a period of at least 7 years after a person leaves the Scheme.

      Retention period meets organisation’s operational, legal and accountability requirements and is consistent with those identified for similar classes of records maintained by organisation X (reference FA1050, entry 1.2.3) and/or under the General Retention and Disposal Authority - Administrative records, entry x.x.x.

      Retention period meets organisation’s operational, legal and accountability requirements and is consistent with approach in other state jurisdiction, see Disposal Authority [number ref], entry x.x.x.

      Retention period based on consultation with Government agency X, they advised they will potentially need to be able to refer to these records for X years/months for compliance monitoring purposes.

      Retention period based on recommendations of Report of Special Commission of Inquiry into [subject matter of the inquiry], published 2013. Recommendation 8: Clients should be able to access records and information concerning X for a period of Y years.

      Retention period based on consultation with stakeholder group, Citizens for Action: these stakeholders expect that they will be able to refer to these records for X years/months.

      Records relating to administrative arrangements associated with the conduct of forums have limited use for reference or other purposes after the finalisation of the arrangements and need only be retained for a short period after the event. Significant information pertaining to purpose, topics discussed/present and the outcomes of a forum will be documented in the summary reports of the forums, which are retained for x years (see entry x.x.x below).

      Reports are generated weekly and are consolidated into summaries for the management committee. These summaries are retained for 10 years (see entry x.x.x below). Therefore only a short retention period is required for the weekly reports themselves. The proposed minimum retention period provides the opportunity to review and reference records within a relevant timeframe if required.

      Records may be relevant to compensation claims for property damage or personal injury, and retention period encompasses limitation periods for potential legal action or disputes.

      Retention period based on requirements of (and in accordance with) the Copyright Act 1968, s.135K.

      Retention period based on requirements for information for end of financial year statistical reporting purposes.

      Retention period based on the need for the records for short term reference. Records do not deal with or document the provision of receipt of substantive advice.

      Retention period encompasses program review and planning cycles - potential need for reference beyond these is limited.

      Records are unlikely to be required for operational or other reference once the information is superseded.

      If adequate justifications are not provided in draft retention and disposal authorities or the associated supporting documentation, organisations may be asked to resubmit their documentation with revised justifications for each disposal recommendation before State Records undertakes any assessment.

      Expression and wording

      Acronyms and jargon

      Although acronyms and jargon may be commonly used and understood in your organisation, you should avoid using these in retention and disposal authorities. Retention and disposal authorities are documents that generally remain current for a number of years, and terminology such as acronyms and jargon and even classification or taxonomy terms can date and become meaningless within a short time frame.

      • Acronyms should be avoided, or, if used, spelled out in full.
      • More widely understood terms should be used in the place of jargon.

      Tip: The authority must be clear and simple to read

      It is very important to ensure that the retention and disposal authority is readable and understandable. Ideally, if the average person on the street was to read through the document it would give them a good overview of the business your organisation performs and for how long records associated with the various business activities and processes of the organisation will be retained.

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      Appendix 4: Example of a draft retention and disposal authority

      Download an example of a draft retention and disposal authority (PDF, 28kb)

       

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      Appendix 5: Checklist for submitting a draft retention and disposal authority for approval

      Before submitting a draft retention and disposal authority to NSW State Records, check to make sure that you have followed the requirements described in these procedures.

      Note: Staff at NSW State Records will review the draft retention and disposal authority against our requirements before submitting it to the Board for approval. It is likely that we will have some comments on the initial draft. The review process can take some months, depending on the quality of the documentation submitted and the complexity of the organisation’s operating environment and responsibilities.

      Checklist

      Use the following checklist to ensure that the draft retention and disposal authority and supporting documentation comply with NSW State Records’ requirements:

      Content and structure
      The authority only includes functions, activities and classes of records not covered in general retention and disposal authorities
      The authority is structured around functions and activities
      All functions, activities and disposal classes are adequately described
      All retention periods and disposal actions are supported by appropriate justifications
      Format and layout
      The authority complies with NSW State Records’ template
      The layout conventions have been followed
      Expression and wording
      The descriptions of functions, activities and classes of records will make sense to someone outside of the organisation
      NSW State Records’ wording conventions for disposal classes, triggers and actions have been followed
      Supporting documentation
      The supporting documentation includes all the information outlined in Appendix 1: Overview of documentation requirements and templates.
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      Appendix 6: Interviewing business managers and action officers

      Sample questions

      When developing a retention and disposal authority you may wish to ask business managers and action officers some or all of the following questions:

      • What business functions, operations and activities is your area responsible for? What specific processes do you follow or carry out when performing these activities?
      • What records and information do you receive, create or refer to in the course of carrying out these activties and why? What business, information or recordkeeping system(s) do you use to support these processes?
      • Is your area responsible for the administration of any legislation or regulations?
      • Is your work governed by any mandatory or optional best practice standards, industry standards or codes of best practice?
      • Are there any compliance checks made on your work? Are you audited or accredited by external organisations?
      • Do you interact with other business areas when performing your activities? If so, do they need to refer to records and information created and maintained by your business unit or do you rely on any records and information created and maintained by them?
      • Do you interact with external organisations when performing your activities? What information do you routinely report on or submit to senior management, the organisation's executive or to external organisations?
      • What problems have arisen from records and information not being available or accessible as required?
      • Are you subject to any requirements to make information publicly available?
      • Do you provide services to the public and do your records document any rights or entitlements of members of the public?
      • Who are your key stakeholders? What influence do they have over your operations?
      • Are the records created and maintained by your business unit often or likely to be required for legal purposes, such as legal action involving your organisation or litigation between other parties?
      • Are consultants employed to carry out any of your work?
      • How long do records need to be kept to meet your specific business or other needs? How long do records need to be kept to meet the needs of other business areas or key stakeholders?

      Be sure to document any information obtained through interviews.

       

      First published February 2000 / Revised edition June 2003 / Revised edition April 2007 / Revised edition October 2008 / Revised edition October 2010 / Revised edition April 2011/ Revised February 2015/ Revised June 2016 

      ISBN 0-7313-9723-1

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