COMMUNITY RELATIONS The function of establishing rapport with the community and raising and maintaining the organisation's broad public profile. Includes marketing, advertising, media liaison, exhibitions, celebrations, ceremonies, speeches, official representation at functions and participation in community activities. Also includes relationships with professional bodies and industry, the management of customer services, handling reactions to those services, customer consultation and feedback. Note: Where an agency has specific relationships with professional associations and public clients supporting their core functions these should be covered in the agency's own Records Authority. Addresses (presentations) The activity of giving addresses for training, professional, community relations or sales purposes. Includes speeches and multi-media presentations. For papers presented by staff at conferences supporting the community relations function, use COMMUNITY RELATIONS - Conferences. 1003 Final versions of other addresses delivered in the routine promotion of the agency's service or products. Destroy 2 years after last presentation NORMAL 1004 Working papers documenting the development of addresses, including drafts. Destroy when reference ceases NORMAL 20921 Final versions of addresses made by the portfolio Minister, members of the governing body, advisory body or senior agency officers at major public occasions. Retain as national archives [For addresses delivered by the portfolio Minister or senior agency officers at government occasions, use GOVERNMENT RELATIONS - Addresses.] NORMAL Arrangements The activities involved in arranging for a journey or trip. Includes preparing travel itineraries, authorisations, entitlements, etc. Also includes arrangements made for delivery of equipment or goods and the usage made of facilities, vehicles, equipment and space. 1005 Records detailing arrangements carried out to support the community relations function. Includes arrangements for guest speakers. Destroy 1 year after event For arrangements made to support events hosted by the agency, use COMMUNITY RELATIONS - Functions (social); COMMUNITY RELATIONS - Celebrations and/or COMMUNITY RELATIONS - Ceremonies. For making travel arrangements for staff to attend promotional activities supporting the community relations function, use PERSONNEL - Arrangements. NORMAL Celebrations The activities associated with arranging and managing festivities to honour a particular event. For addresses made at celebrations, use COMMUNITY RELATIONS - Addresses. For managing financial transactions supporting celebrations activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1006 Programs, invitations, guest lists and photographs relating to celebratory festivities held to honour an event of major importance to an agency (eg a significant anniversary). Retain as national archives NORMAL 1007 Records documenting routine arrangements supporting celebrations to honour an event of major importance to an agency. Includes catering, venue bookings and entertainment. Destroy 2 years after action completed NORMAL 1008 Records documenting all arrangements for other celebrations of lesser significance. Includes programs, invitations, guest lists, catering, venue bookings and entertainment. Destroy 2 years after action completed NORMAL Ceremonies The activities associated with arranging and managing a formal act performed for a special occasion. For addresses made at ceremonies, use COMMUNITY RELATIONS - Addresses. For managing financial transactions supporting ceremonies, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1009 Programs, invitations, guest lists and photographs relating to ceremonies held to mark a special occasion (eg the opening of a building or major facility, or the conferring of special community awards promoted by the agency). Retain as national archives NORMAL 1010 Records documenting routine arrangements supporting ceremonies to mark special occasions. Includes catering, venue bookings and entertainment. Destroy 2 years after action completed NORMAL 1011 Records documenting all arrangements for other ceremonies of lesser significance. Includes programs, invitations, guest lists, catering, venue bookings and entertainment. Destroy 2 years after action completed NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 1012 Records of internal and external committees formed to consider matters relating to the community relations function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 3 years after action completed NORMAL 1013 Working papers documenting the conduct and administration of committees which consider matters relating to the community relations function. Includes: • agenda • notices of meetings • draft minutes. Destroy when reference ceases NORMAL Conferences The activities involved in arranging, or attending conferences held either by the organisation or by other organisations. Includes registrations, publicity and reports of participants etc. For managing financial transactions supporting conference activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1014 Records documenting arrangements for agency conferences including program development, arranging speakers, promotion, managing registrations and venue bookings. Destroy 3 years after action completed NORMAL 1015 Reports assessing the conduct of agency conferences. Destroy 3 years after action completed NORMAL 1016 Copies of unpublished proceedings, reports, speeches and papers from agency conferences. Includes presentations by agency staff. Destroy when reference ceases For the printing and publication of agency conference proceedings and reports, use PUBLICATION - Production. NORMAL 1018 Copies of published conference proceedings and official reports received at conferences arranged by other organisations. Destroy when reference ceases NORMAL 1019 Participants' reports on conferences arranged by other organisations. Destroy 3 years after action completed NORMAL 20922 Records documenting the attendance of staff or members of the governing or advisory body at conferences arranged by other organisations. Includes the completed conference registration forms, programs and conference promotion material. Destroy when reference ceases NORMAL Customer Service The activities associated with the planning, monitoring and evaluation of services provided to customers by the organisation. This function/activity set should not be used by agencies which have an extensive customer service role. In these instances coverage should be included in the agency’s own functional Records Authority. For services provided to government, use GOVERNMENT RELATIONS - Customer Services. For complaints from the public about customer services, use COMMUNITY RELATIONS – Public Reaction. For suggestions from the public about customer services, use COMMUNITY RELATIONS – Suggestions. 1021 Records documenting the planning, monitoring and evaluation of customer services provided to the agency's public clients. Destroy 3 years after action completed NORMAL 1022 Records documenting the development of service charters and directives relating to the provision of services to the agency's public clients. Includes copies of internal directives and charters. Destroy 3 years after superseded For the production of a service charter, use PUBLICATION - Planning and PUBLICATION - Production. NORMAL 1023 Records documenting the management of specific customer services provided to the public (eg managing an enquiry desk, a telephone information service or interpreter service). Includes planning, monitoring and evaluation of services (eg carrying out customer surveys). Destroy 3 years after action completed NORMAL Donations The activities associated with managing money, items, artefacts or property donated to the organisation, or by the organisation and or its staff to charities etc. Includes managing unsolicited donations. This function/activity set should not be used by agencies where public donations provide major support for core functions (eg National Library of Australia and the National Museum of Australia). In these instances coverage should be included in the agency’s own functional Records Authority. For managing financial transactions associated with donations received or made by the agency, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. For the general management of monetary donations received or given by the agency, use FINANCIAL MANAGEMENT - Donations. 1024 Records documenting donations of money and items, artefacts or property that are of long-term value or ongoing benefit to the nation. Retain as national archives NORMAL 1025 Records documenting all other donations of money that are of little public interest (ie small amounts). Destroy 7 years after donation received NORMAL 1026 Records documenting all other donations of items, artefacts or property that are of little public interest. Destroy 7 years after disposal of item NORMAL 1027 Records documenting donations of money and items made by the agency to public organisations and groups, including charities. Destroy 7 years after donation was made NORMAL Enquiries The activities associated with handling requests for information about the organisation and its services by the general public, agency employees or another organisation. 1028 Records documenting the handling of public enquiries about the agency and its programs, products and services. Destroy 2 years after action completed NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. 1029 Records documenting the evaluation and ongoing monitoring of community relations programs and services. Destroy 5 years after action completed [For the evaluation of goods and services being considered for procurement in support of the community relations function, use PROCUREMENT – Evaluation.] NORMAL Exhibitions The activities associated with using organisational material in mounted displays for the purpose of informing or educating the viewer, or promoting the activities, services, projects or programs of the organisation. This function/activity set should not be used by agencies which mount exhibitions as a core function (eg the National Gallery of Australia and the Australian National Maritime Museum). In these instances coverage should be included in the agency's own functional Records Authority. For exhibition openings, use COMMUNITY RELATIONS - Functions (Social). For managing financial transactions supporting the organisation of an exhibition, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1030 Records documenting the mounting of displays. Includes exhibition brief and design, and arrangements for setting up a display. Destroy 3 years after action completed NORMAL Functions (social) The process of organising and managing an official or formal social occasion conducted by the organisation to enhance its internal and external relationships, or to promote its services and image. For addresses made at functions, use COMMUNITY RELATIONS - Addresses. For managing financial transactions supporting functions, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1031 Records documenting the organisation and management of an official or formal social occasion. Includes venue bookings, guest lists, invitations and catering. Destroy 2 years after action completed NORMAL Grant Funding The activities associated with the application for and receipt of grants. This function/activity set should not be used by an agency who as part of their core functions manage the distribution of grant funding to the community, or by an agency making an application for a grant from a community based organisation to support a core function. In such cases specific coverage should be included in the agency’s own functional Records Authority. For managing corporate strategies for seeking grant funding, use STRATEGIC MANAGEMENT - Grant Funding. 1032 Records documenting successful applications made by the agency for grant funding from a non-government source. Destroy 7 years after action completed For the management of grant money received by the agency, use FINANCIAL MANAGEMENT - Grant Funding. NORMAL 1033 Records documenting unsuccessful applications made by the agency for grant funding from a non-government source. Destroy 2 years after last action NORMAL Greetings The activities associated with preparing, sending and receiving letters of appreciation or condolences. Includes mailing lists for Christmas cards. 1034 Records documenting the preparation, dispatch and receipt of letters of introduction, appreciation, condolence and greetings cards. Includes mailing lists. Destroy when reference ceases NORMAL Implementation The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes the installation of equipment. Also includes monitoring to ensure that the implementation goes according to schedule and that standards are met and includes first aid treatment. 1035 Records documenting the implementation of plans, policies and procedures developed to support the community relations function. Destroy 3 years after action completed NORMAL Joint Ventures The activities involved in managing joint operations between departments, either within the organisation or with other organisations, or with the government, where there is a contract, joint contribution of funds and/or time. Also includes private sector ventures with public sector organisations, and co-research or collaboration between inter-departmental units, departments or organisations. This function/activity set should not be used for joint venture arrangements which support core functions of the agency. In these instances coverage should be included in the agency's own functional Records Authority. 1036 Records documenting the management of joint ventures undertaken to support the community relations function. Includes records relating to the establishment, maintenance and review of joint venture agreements and contracts. Destroy 7 years after termination of arrangement NORMAL 1040 Signed simple joint venture contracts and agreements and supporting records. Destroy 7 years after completion or other termination of contract NORMAL 20923 Signed joint venture contracts under seal prior to 15 November 2005 and supporting records: Western Australia. Destroy 21 years after completion or other termination of contract NORMAL 20924 Signed joint venture contracts under seal and supporting records: Victoria and South Australia. Destroy 15 years after completion or other termination of contract NORMAL 20925 Signed joint venture contacts under seal and supporting records: New South Wales, Western Australia (from 15 November 2005), Queensland, Australian Capital Territory, Northern Territory and Tasmania. Destroy 12 years after completion or other termination of contract NORMAL Liaison The activities associated with maintaining regular general contact between the organisation and professional associations, professionals in related fields, other private sector organisations and community groups. Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects that are not joint ventures. 1041 Records documenting liaison activities undertaken with professional associations, private sector organisations and community groups. Includes collaboration on projects, exchange of information and all the activities of a member of an organisation. Destroy 3 years after action completed For subscriptions to publications of professional bodies where the subscriber does not have to be a member of a organisation, use PROCUREMENT - Acquisition. NORMAL Marketing The process of analysing, creating and selling products and services. Includes market research, sales forecasting, advertising, media releases, promotion, pricing and product evaluation. 1042 Records documenting the marketing of an agency's community relations activities. Includes records covering arrangements for advertising campaigns and promotional photographs. Destroy 3 years after action completed For the development of a marketing plan, use COMMUNITY RELATIONS - Planning. For media releases relating to marketing activities, use COMMUNITY RELATIONS - Media Relations. NORMAL Media Relations The activities associated with establishing a relationship between the media and the organisation. Includes cultivating media contacts, coordinating access to the media, authorising and issuing press releases and briefings, and organising media interviews. 1043 Master set of agency media releases. Retain as national archives NORMAL 1044 Records documenting administrative arrangements with the media. Includes the issuing of media releases, organising interviews and providing information and assistance to support media coverage of an event or promotion of the agency's services or products. Destroy 2 years after action completed NORMAL 1045 Copies of media items specifically relating to the agency's operations. Includes newscuttings, transcripts and electronic items. Destroy when reference ceases For the acquisition of media items through a media monitoring service, use PROCUREMENT - Acquisition. NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1046 Final version of minutes and supporting documents tabled at meetings held to support the community relations function. Includes meetings with external agencies. Destroy 3 years after action completed NORMAL 1047 Working papers documenting the conduct and administration of meetings held to support the community relations function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. 1048 Final version of agency-wide community relations plans. Destroy 3 years after plan is superseded NORMAL 1049 Final version of community relations plans at business unit, state, regional or overseas office level. Destroy 2 years after plan is superseded NORMAL 1050 Working papers used to develop all community relations plans. Includes draft plans, reports analysing issues, and comments received from other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL 1051 Copies of community relations plans. Destroy when reference ceases NORMAL Policy 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. 1052 Records documenting the development and establishment of the agency's community relations policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 5 years after policy is superseded NORMAL 1053 Records documenting comments made on the development of government-wide community relations policies. Destroy 1 year after promulgation of the new policy NORMAL 1054 Working papers documenting the development of all community relations policies. Destroy 1 year after promulgation of the new policy NORMAL 1055 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1056 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the community relations function. Destroy when procedures are superseded NORMAL 1057 Records documenting the development of agency procedures supporting the community relations function. Destroy 1 year after production of procedures NORMAL 1058 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Public Reaction The process of handling public reaction to an organisation's policies or services. Includes anonymous letters, letters of complaint and letters of congratulations or appreciation received from the public. 1059 Records documenting public reaction and agency responses. Destroy 6 years after action completed For suggestions received from the public, use COMMUNITY RELATIONS - Suggestions. NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1060 Final version of internal formal reports and reports made to external agencies relating to the community relations function. Destroy 5 years after action completed NORMAL 1061 Final versions of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the community relations function. Includes the collection and reporting of statistical information relating to visits. Destroy 3 years after action completed NORMAL 1062 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy when reference ceases NORMAL 1063 Copies of community relations reports. Destroy when reference ceases NORMAL 1064 Responses to surveys carried out to support the community relations function. Destroy 3 years after action completed NORMAL Representatives The activities associated with the nomination, appointment or resignation of individuals or groups of personnel appointed by the organisation or their co-workers as official representatives to organisations, offices, unions, workers participation committees, councils or groups. Includes organisational legal representatives. 1065 Records documenting the nomination, appointment and resignation from and/or termination of agency representatives in community organisations. Destroy 3 years after last action For the management of agency representatives on government bodies, use GOVERNMENT RELATIONS - Representatives. NORMAL Research The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc used to support development of projects, standards, guidelines etc and the business activities of the organisation in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc. 1066 Records documenting detailed research carried out to support the community relations function. Destroy 5 years after action completed NORMAL 1067 Records documenting routine research carried out to support the community relations function. Destroy when reference ceases NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1068 Records documenting a review of agency programs and operations supporting the community relations function. Includes documents establishing the review, final report and action plan. Destroy 3 years after action completed NORMAL 1069 Working papers documenting a review of agency programs and operations supporting the community relations function. Destroy 1 year after action completed NORMAL Security The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks. 1070 Records documenting security arrangements made for visits to the agency by dignitaries and the general public. Destroy 5 years after last action For general arrangements for visits, use COMMUNITY RELATIONS - Visits. For building security arrangements made for a visit, use PROPERTY MANAGEMENT - Security. NORMAL Submissions 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, or within the organisation, for the purpose of either gain or support. For submissions made within government, use GOVERNMENT RELATIONS - Submissions. 1071 Final version of successful agency submissions made to community organisations. Destroy 7 years after action completed NORMAL 1072 Final version of unsuccessful agency submissions made to community organisations. Destroy 3 years after action completed NORMAL 1073 Working papers documenting the development of agency submissions. Includes draft submissions. Destroy when reference ceases NORMAL Suggestions The process of using suggestions from personnel and the public to improve the services and processes of the organisation. 1074 Suggestions received from the public relating to agency services or products. Destroy 2 years after action completed For feedback received from the public, use COMMUNITY RELATIONS - Public Reaction. For suggestions received from personnel, use PERSONNEL - Suggestions. NORMAL Visits 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 staff to other organisations. For visits made by representatives of other agencies and interstate and overseas governments, use GOVERNMENT RELATIONS - Visits. For security arrangements made for the visits to the agency, use COMMUNITY RELATIONS - Security. For keeping statistical information relating to visits, use COMMUNITY RELATIONS - Reporting. 1085 Records documenting arrangements for visits or tours to the agency by the general public. Destroy 2 years after last action NORMAL 1086 Records documenting arrangements for visits made to the agency by important community representatives. Destroy 5 years after action completed NORMAL 1087 Records documenting visits by staff to community organisations to promote the image or services of the agency. Includes visit reports. Destroy 2 years after last action [For visits by members of governing bodies to community organisations, use GOVERNING BODIES – Visits (governing and advisory bodies). For visits by members of advisory bodies to community organisations, use ADVISORY BODIES – Visits (governing and advisory bodies)] NORMAL 1088 Public visitor books. Destroy 5 years after last entry For visitor books signed by Royalty or Heads of State, use GOVERNMENT RELATIONS - Visits. NORMAL COMPENSATION The function of providing compensation to personnel and visitors injured while proceeding to or from work, during working hours or on the organisation's premises. Includes the rehabilitation of injured workers and compensation for damage to property where such damage is claimed as the organisation's responsibility. This function excludes Defence military personnel. Note: Records of all current and finalised asbestos-related claims for compensation must be transferred to the central agency with legislative responsibility for the management of asbestos liability in the Commonwealth (currently Comcare) under the Asbestos-related Claims (Management of Commonwealth Liabilities) Act 2005. Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 1090 Records documenting the receipt and provision of general advice to agency managers and employees on the compensation function. Includes the distribution of advice received from the lead agency responsible for the compensation function in the Commonwealth (currently Comcare). Destroy 2 years after action completed For the provision of advice to an employee relating to a specific compensation case, use COMPENSATION - Cases. For legal advice obtained on the management of specific cases, use LEGAL SERVICES - Advice. NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 1091 Records documenting the delegation of power to the agency to make determinations on compensation claims. Destroy 2 years after delegation expires NORMAL 1092 Delegations of power to agency staff to authorise administrative action relating to the compensation function. Destroy 7 years after delegation expires NORMAL 1093 Authorisations for administrative action supporting the compensation function. Destroy 7 years after action completed NORMAL 1094 Records documenting the granting of licences to agencies to self-insure and/or manage their workers' compensation liabilities. Destroy 1 year after licence expires NORMAL Cases This activity descriptor should be used where there is a need to keep a number of activities together on one file, for legislative or operational reasons. Case files relate to particular incidents, persons, organisations or clients. 20926 Cases where a compensation claim has been submitted for personal injury, death, or loss or damage to personal property of the employee. Covers claims made under safety, rehabilitation and compensation legislation. Includes: • Accident reports and associated papers such as witness statements • Claims • Determinations • Correspondence and notes of meeting and conversations with the lead agency (currently Comcare) • Correspondence and notes on meetings or conversations with claimant • Appointment of a case manager or rehabilitation provider • Return to work plan • Progress reports • Assessment reports • Medical reports and certificates • Claim reviews • Appeal records (including reconsideration and appeals to Administrative Appeals Tribunal) • Agreements entered into by the parties • Legal records documenting any legal advice received and action taken in relation to the case. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is longest. If date of birth is unknown assume the person was 15 at the time of the accident [For records relating to claims made by public visitors, use COMPENSATION - Claims. For records relating to claims made by governing body members, use GOVERNING BODIES – Claims. For all asbestos-related claims relating to the Asbestos-related Claims (Management of Commonwealth Liabilities) Act 2005, transfer records to the central agency with legislative responsibility for the management of asbestos liability in the Commonwealth (currently Comcare).] NORMAL Claims The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property. 1096 Records documenting claims for compensation submitted by members of the public managed by an external insurance provider. Destroy 7 years after finalisation of the claim [For accident reports detailing accident/incidents by members of the public, use OH&S - Accidents. For a claim submitted for compensation by an employee, use COMPENSATION - Cases. For all asbestos-related claims relating to the Asbestos-related Claims (Management of Commonwealth Liabilities) Act 2005, transfer records to the central agency with legislative responsibility for the management of asbestos liability in the Commonwealth (currently Comcare).] NORMAL 1097 Copies of claim reports submitted to the agency's central office for action or where claims are determined by the lead agency and are held separately to the agency case file. Destroy when reference ceases NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 1098 Records of internal and external committees formed to consider matters relating to the compensation function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 3 years after action completed NORMAL 1099 Working papers documenting the conduct and administration of committees which consider matters relating to the compensation function. Includes: • agenda • notices of meetings • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1100 Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the compensation function. Destroy 7 years after action completed NORMAL Insurance The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the organisation's premises or whilst engaged during employment. For compensation claims made by employees, use COMPENSATION - Cases. For compensation claims made by members of governing bodies, use GOVERNING BODIES – Claims. For compensation claims made by members of the public, use COMPENSATION - Claims. For managing financial transactions supporting insurance activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1103 Records documenting annual renewals and the management of premium payments. Includes salary statements, advice on premiums payable and any review of premiums levied by an insurance provider (eg Comcare and/or Comcover). Destroy 10 years after action completed NORMAL 20927 Compensation insurance policies. Destroy 7 years after policy expires NORMAL 20928 Records relating to obtaining a licence for the agency to self-insure and/or manage its own compensation liabilities. Includes records documenting the application/accreditation process and advice of its outcome. Destroy 7 years after licence expires NORMAL Payments The activities involved in the preparation and payment of money. 1104 Records documenting the managing of payments for any compensation activity. Destroy 7 years after action completed For managing financial transactions supporting payment activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. NORMAL Policy 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. 1106 Records documenting comments made on the development of government-wide compensation policies. Destroy 3 years after promulgation of the new policy NORMAL 1107 Working papers documenting the development of all compensation policies. Destroy 3 years after promulgation of the new policy NORMAL 1108 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL 20929 Records documenting the development, establishment and review of the agency’s compensation and rehabilitation policies, including an agency’s return to work policy. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents Destroy 5 years after policy is superseded NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1109 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the compensation function. Includes procedures supporting the return to work process. Destroy 5 years after procedures are superseded NORMAL 1110 Records documenting the development of agency procedures supporting the compensation function. Destroy 1 year after production of procedures NORMAL 1111 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 20930 Final versions of formal internal reports and reports made to external organisations relating to the compensation function. Destroy 5 years after action completed NORMAL 20931 Final versions of periodic internal reports on general administrative matters used to monitor and document recurring activities supporting the compensation function. Destroy 3 years after action completed NORMAL 20932 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 1 year after report is completed NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1112 Records documenting a review of agency programs and operations supporting the compensation function. Includes documents establishing the review, final report and action plan. Destroy 5 years after action completed NORMAL 1113 Working papers documenting a review of agency programs and operations supporting the compensation function. Destroy 2 years after action completed NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 20933 Records documenting risk management relating to the compensation function. Includes documentation covering each stage of the process, treatment schedules and action plans. Destroy 7 years after next risk assessment NORMAL 20934 Compensation risk register. Destroy 7 years after next risk assessment NORMAL EQUIPMENT & STORES The function of acquiring, supplying, maintaining, repairing and disposing of equipment and stores stocked and used by the organisation. Items of equipment include instruments, implements, tools, machines, plant, furniture and furnishings. Stores include chemicals, hardware, homeware items, kitchen/cleaning items, medical supplies and stationery. Excludes equipment and stores acquired to support the Defence combat function. Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. For leasing of equipment and stores, use EQUIPMENT & STORES - Leasing and/or EQUIPMENT & STORES - Leasing-out. 1128 Records documenting negotiations, establishment, maintenance and review of agreements. Destroy 7 years after expiry or other termination of agreement NORMAL 20935 Final version of agreements with vendors or other agencies to manage, maintain and dispose of equipment and stores (eg Memoranda of Understanding). Destroy 7 years after expiry or other termination of agreement [For agreements associated with the acquisition of equipment and stores, use PROCUREMENT – Agreements.] NORMAL Allocation The process of assigning of money, items, or equipment to employees or organisational units. 1129 Records held by the area responsible for the management of the function relating to the allocation of equipment or stores to individuals or organisational units. Includes requests for issue of equipment or stores. Destroy 2 years after action completed For the distribution of equipment and stores, use EQUIPMENT & STORES - Distribution. NORMAL 1130 Records held by the requesting area relating to the allocation of equipment or stores to individuals or organisational units. Destroy when reference ceases NORMAL Arrangements The activities involved in arranging for a journey or trip. Includes preparing travel itineraries, authorisations, entitlements, etc. Also includes arrangements made for delivery of equipment or goods and the usage made of facilities, vehicles, equipment and space. For arrangements for the removal and/or storage of personal effects, use PERSONNEL - Moving. 1131 Records documenting arrangements for the delivery of equipment and stores to an agency. Destroy when reference ceases For the dispatch of equipment or stores within an agency or from an agency, use EQUIPMENT & STORES - Distribution. NORMAL 1132 Records documenting the storage of equipment and stores (excluding hazardous materials) within an agency. Includes location management and stock control. Destroy when reference ceases NORMAL 1133 Records documenting the storage of hazardous equipment and stores (ie unused material) within an agency. Includes location management. Destroy 5 years after action completed For storage of hazardous waste prior to disposal, use PROPERTY MANAGEMENT - Maintenance. For Hazardous Substance Register, use OCCUPATIONAL HEALTH & SAFETY - Compliance. NORMAL Audit The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the organisation in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. 1134 Final internal and external audit reports relating to the equipment and stores function. Destroy 5 years after action completed NORMAL 1135 Records documenting the planning and conduct of internal and external audits relating to the equipment and stores function. Includes: • liaison with the auditing body • minutes of meetings • notes taken at opening and exit interviews • draft report • comments. Destroy 2 years after action completed NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 1136 Delegations of power to agency staff to authorise administrative action relating to the equipment and stores function. Destroy 7 years after delegation expires NORMAL 1137 Authorisations for administrative action supporting the equipment and stores function. Destroy 7 years after action completed NORMAL Claims The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property. 1138 Records documenting insurance claims for damage and loss incurred to equipment and stores. Destroy 7 years after finalisation or withdrawal of claim For the management of insurance policies, use EQUIPMENT & STORES - Insurance. NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1139 Records documenting agency compliance with mandatory or with optional standards or with statutory requirements relating to the equipment and stores function. Destroy 7 years after action completed For the licensing processes for the operation of plant items, use OCCUPATIONAL HEALTH AND SAFETY (OH&S) - Compliance. NORMAL Disposal The process of disposing of property no longer required by the organisation, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer to archives, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage. 1142 Records documenting the disposal of leased equipment and stores. Includes written notices and correspondence to and from leasing companies in relation to return of equipment and stores, handover reports and notifications that an agency or their nominee wish to purchase equipment and stores. Destroy 3 years after disposal NORMAL 1143 Records documenting the disposal of Commonwealth-owned equipment and stores. Includes independent valuation certificates verifying that work undertaken on assets was done prior to valuation, written quotes, auction records and routine forms and correspondence relating to the disposal of equipment and stores. Destroy 7 years after disposal [For the disposal of equipment and stores by tender, use PROCUREMENT - Tendering. For the removal of items from the agency’s asset register, use FINANCIAL MANAGEMENT - Asset Register.] NORMAL Distribution The activities associated with disseminating items, correspondence, or publications through sales, deliveries, or other customer services. 1144 Records documenting the distribution of equipment and stores within an office of an agency. Destroy when reference ceases For requests for issue of equipment and stores, use EQUIPMENT & STORES - Allocation. NORMAL 1145 Records documenting the distribution of equipment and stores to other locations (including other offices of the agency). Includes consignment notes. Destroy 7 years after action completed For arrangements relating to the receipt of equipment and stores, use EQUIPMENT & STORES - Arrangements. For arrangements relating to the distribution of equipment and stores via mail services, use INFORMATION MANAGEMENT - Distribution. For managing financial transactions supporting the distribution activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. NORMAL Inspections The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives. 1148 Records documenting inspections of equipment and stores. Destroy 3 years after action completed For formal audits, use EQUIPMENT & STORES - Audit. For stocktakes, use EQUIPMENT & STORES - Stocktake. For inspections relating to occupational health and safety, use OCCUPATIONAL HEALTH AND SAFETY (OH&S) - Inspections. NORMAL Installation Activities involved in placing equipment in position and connecting and adjusting it for use. 1149 Records documenting the installation and initial configuration of equipment and plant. Destroy 2 years after action completed For the installation of equipment and plant within a building, use PROPERTY MANAGEMENT - Installation. NORMAL 1150 Records documenting the reconfiguration and adjustment of equipment and plant after initial installation. Destroy 1 year after either the next reconfiguration or when the equipment is disposed of, whichever is the earlier NORMAL Insurance The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the organisation's premises or whilst engaged during employment. For insurance claims lodged, use EQUIPMENT & STORES - Claims. For managing financial transactions supporting insurance activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1151 Insurance policies covering equipment and stores. Destroy 7 years after policy expires NORMAL 1152 Records documenting the annual renewal of insurance policies. Destroy 1 year after action completed NORMAL Inventory The activities associated with listing and preparing lists of items and assets in the possession of the organisation. 1153 Records documenting the listing of equipment and stores items. Destroy when reference ceases For formal stocktakes of equipment and stores, use EQUIPMENT & STORES - Stocktake. For making subsequent changes to the agency's asset register, use FINANCIAL MANAGEMENT - Asset Register. NORMAL Leasing-out The activities involved in leasing-out items, equipment, accommodation, premises or real estate to another organisation or person for a specified period and agreed price. Includes the formal documentation setting out conditions, rights, responsibilities etc. of both parties. Also includes subleasing. 1155 Arrangements for the leasing-out of agency equipment to other bodies. Includes signed leases. Destroy 7 years after lease expires or is terminated For managing financial transactions supporting leasing-out activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. NORMAL Maintenance The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external conditions of premises, equipment, vehicles etc. 1156 Records documenting the maintenance of equipment and stores. Destroy 3 years after action completed NORMAL Policy 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. 1157 Records documenting the development and establishment of the agency's equipment and stores policies. Includes: • policy proposals • research papers • working papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 3 years after policy is superseded NORMAL 1158 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1159 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the equipment and stores function. Destroy when procedures are superseded NORMAL 1160 Records documenting the development of agency procedures supporting the equipment and stores function. Destroy 1 year after production of procedures NORMAL 1161 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL 1162 Operating manuals and instructions for equipment, plant and stores. Destroy when reference ceases or transfer to new owner on disposal of equipment, plant or stores NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1163 Records relating to reporting on activities involved in the equipment and stores function. Includes: • working papers • comments received • draft reports • final documents. Destroy 2 years after action completed NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. [For reviewing activities relating to the acquisition of equipment, goods and services, use PROCUREMENT – Reviewing.] 1164 Records documenting a review of agency programs and operations supporting the equipment and stores function. Includes documents establishing the review, final report, action plan and identification of further problems needing rectification. Destroy 3 years after action completed NORMAL 1165 Working papers documenting a review of agency programs and operations supporting the equipment and stores function. Destroy 1 year after action completed NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. See also the Occupational Health and Safety (OH&S) function. 1166 Records documenting risk management relating to the equipment and stores function. Includes records covering each stage of the process, treatment schedules and action plans. Destroy 7 years after next risk assessment NORMAL 1167 Equipment and stores risk register. Destroy 7 years after next risk assessment NORMAL Security The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks. For theft or damage involving agency staff use, PERSONNEL - Discipline. 1168 Records documenting the management of activities undertaken to protect equipment and stores. Includes investigations into theft or intentional damage and referral of an alleged incident to law enforcement authorities. Destroy 5 years after action completed For disciplinary action resulting from a breach of the law involving APS employees, use PERSONNEL - Discipline. For breaches involving information, use INFORMATION MANAGEMENT - Security. For breaches involving technology, use TECHNOLOGY & TELECOMMUNICATIONS - Security. NORMAL 1169 Records documenting combinations and/or keys for equipment or plant, such as safes, filing cabinets. Includes key register. Destroy when reference ceases For combinations or keys to security containers which are built into the building, use PROPERTY MANAGEMENT - Security. NORMAL Stocktake The activities associated with the examination, counting and valuing of goods in the organisation with the view to reassessing the need for replacing those goods, and to identify missing items and determine the condition of the existing items. 1170 Records documenting the stocktake of equipment and stores. Destroy 3 years after action completed For lists of equipment and stores, use EQUIPMENT & STORES - Inventory. NORMAL ESTABLISHMENT The function of establishing and changing the organisational structure. Including moving employees from one agency to another and reducing and increasing an agency's staffing levels. Also includes internal reorganisations to meet agency goals. Note: Before using this Authority, agencies that employ staff under legislation other than the Public Service Act 1999 should check their own enabling legislation and other regulatory directives for major variations from the Public Service Act. In cases where the variations differ greatly the Administrative Functions Disposal Authority is not applicable and should not be used. Coverage in such circumstances must be included under the agency's own Records Authority. Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 1181 Records documenting the receipt and provision of advice on the establishment function. Destroy 2 years after action completed NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 1182 Delegations of power to agency staff to authorise administrative action relating to the establishment function. Destroy 7 years after delegation expires NORMAL 1183 Authorisations for administrative actions relating to the establishment function. Destroy 7 years after action completed NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. For records of high-level corporate committees responsible for the overall strategic directions of an agency, including establishment structures, use STRATEGIC MANAGEMENT - Committees. 1184 Records of internal and external committees formed to consider matters relating to the establishment function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 5 years after action completed NORMAL 1185 Working papers documenting the conduct and administration of committees which consider matters relating to the establishment function. Includes: • agenda • notices of meetings • draft minutes. Destroy when reference ceases NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. 1186 Records documenting the evaluation of positions and assigned duties of employees against existing or planned organisational structures to support corporate requirements and resource needs. Destroy 5 years after last action NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1187 Final version of minutes and supporting documents tabled at meetings held to support the establishment function. Includes meetings with external agencies. Destroy 3 years after action completed NORMAL 1188 Working papers documenting the conduct and administration of meetings held to support the establishment function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. For corporate plans that include the establishment structure of the agency, use STRATEGIC MANAGEMENT - Planning. 1189 Final version of agency-wide establishment plans. Destroy 10 years after plan is superseded NORMAL 1190 Final version of a section or business unit's establishment plans, including state, regional or overseas office. Destroy 3 years after plan is superseded NORMAL 1191 Working papers used in developing all establishment plans. Includes draft plans, reports analysing issues, and comments received and input made by other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL 1192 Copies of all establishment plans. Destroy when reference ceases NORMAL Policy 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. 1193 Records documenting the development and establishment of the agency's establishment policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 10 years after policy is superseded NORMAL 1194 Records documenting comments made on the development of government-wide establishment policies. Destroy 3 years after promulgation of the new policy NORMAL 1195 Working papers documenting the development of all establishment policies. Destroy 3 years after promulgation of the new policy NORMAL 1196 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1197 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the establishment function. Destroy when procedures are superseded NORMAL 1198 Records documenting the development of agency procedures supporting the establishment function. Destroy 1 year after production of procedures NORMAL 1199 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1200 Final version of formal internal reports and reports made to external agencies relating to the establishment function. Destroy 5 years after report is completed NORMAL 1201 Final version of periodic reports on general administrative matters used to monitor and document recurring activities to support the establishment function. Destroy 3 years after report is completed NORMAL 1202 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 1 year after report is completed NORMAL 1203 Copies of establishment reports. Destroy when reference ceases NORMAL Restructuring The activities involved in the reassessment of the activities, goals and structure of an organisation. Includes consideration of the number of staff, their position descriptions, equipment, and other resources required to meet objectives. 1204 Records documenting the establishment and development of a new agency structure. Includes: • copies of instruments giving effect to the machinery of government changes (including transfers of functions in and out of the Commonwealth) and details provided to facilitate administrative rearrangements relating to the transfer of functions and employees to other agencies • records documenting an internal restructure Destroy 10 years after last action For agreements between transferred employees and the receiving agency relating to remuneration and conditions of employment, use PERSONNEL - Agreements. NORMAL 1205 Records documenting agency adoption of new work level standards. Destroy 7 years after standards are superseded NORMAL 1206 Agency-wide organisational charts produced after major restructure eg a machinery of government change or an extensive internal restructure held by the area of the agency responsible for the establishment function. Retain as national archives NORMAL 1207 Copies of agency-wide organisation charts held in other areas of the agency, or charts showing lower levels of the organisation. Destroy when reference ceases NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1208 Records documenting a review and reassessment of agency organisational structures against identified corporate requirements. Destroy 10 years after action completed NORMAL 1209 Records documenting a review of agency programs and operations supporting the establishment function. Includes documents establishing the review, final report and action plan. Destroy 5 years after action completed NORMAL 1210 Working papers supporting the conduct of an agency review. Destroy 2 years after action completed NORMAL Vacancies The activities associated with managing positions in the organisation that are currently unoccupied. 1211 Records documenting the management of vacancies. Destroy 1 year after last action NORMAL Variations The activities involved in varying the organisation's condition, character or nature of processes and other things that are not physical objects. Includes creating and abolishing individual positions. For the assignment of duties to individual employees, use PERSONNEL - Employment Conditions. 1212 Records documenting the creation, variation, abolition, transfer or reclassification of positions and assigned duties. Includes authorised establishment variation authorities, position profiles and selection criteria. Destroy 7 years after position or assigned duties have been abolished or altered NORMAL 1213 Applications to vary positions and assigned duties not approved or proceeded with. Destroy 3 years after last action NORMAL FINANCIAL MANAGEMENT The function of managing the organisation's financial resources. Includes establishing, operating, and maintaining accounting systems, controls and procedures, financial planning, framing budgets and budget submissions, obtaining grants, managing funds in the form of allocations from the Consolidated Revenue Fund and revenue from charging, trading and investments. Also includes the monitoring and analysis of assets to assist the delivery of economic and social services to government, industry and the community. Accounting The process of collecting, recording, classifying, summarising and analysing information on financial transactions, and subsequently on the financial position and operating results of the organisation. Includes financial statements, and the implementation, maintenance, monitoring and auditing of the organisation's accounting systems and internal controls. 1214 Principal accounting records and associated supporting records managing the agency's revenue and expenditure. Includes: • journals • ledgers • receipt and revenue records • sales and purchase invoices • cheque records (eg cheque butts or computerised cheque issue records) • payment records (including payments for allowances and act of grace payments) • petty cash records • cash books • credit notes • advance registers and associated records • creditor and debtor registers and lists. Destroy 7 years after last action NORMAL 1215 Records documenting taxation matters. Includes: • assessment of Fringe Benefits Tax (FBT) • assessment and payment of Goods and Services Tax (GST), including business activity statements and tax invoices • requests for exemption from Wholesale Sales Tax. Destroy 5 years after last action For taxation records required for the payment of employee salaries and wages, eg tax declaration forms, use PERSONNEL - Salaries. NORMAL 1217 Records documenting the management of banking activities. Includes: • deposit records • bank statements • bank reconciliation statements • investment and dividend statements. Destroy 7 years after last action NORMAL 1218 Records documenting the use of agency credit cards. Includes: • credit card receipts • monthly statements. Destroy 7 years after action completed For authorisations associated with using credit cards, use FINANCIAL MANAGEMENT - Authorisation NORMAL 1219 Finance reports. Includes regular accrual reports (eg operating statements, statements of financial position, cash flow statements and periodic accrual statements). Destroy 7 years after last action NORMAL 1220 Records documenting the management of debt recovery. Includes correspondence and notices issued to debtors and records of negotiations including write-off and waiver arrangements. Destroy 7 years after action completed NORMAL 1221 Records documenting the management of incidental benefits received by agency personnel in the course of their official duties (eg frequent flyer points). Destroy 7 years after last action NORMAL 1222 Administrative records used for control and accountability in handling money and financial records, ie records which do not document agency revenue and expenditure. Includes hand-over or take-over certificates, and reconciliations other than bank reconciliation statements. Destroy 2 years after last action NORMAL 1223 Records documenting the management of surplus, obsolete or damaged accountable forms. Destroy 7 years after write-off action completed NORMAL 1224 Copies of receipts, invoices and other accounting records processed at the central office or at another part of the agency, documenting agency revenue and expenditure. Destroy 2 years after last action NORMAL 1225 Records documenting the process of output costings. Destroy 7 years after last action NORMAL 1226 Records documenting the agency's chart of accounts. Destroy 7 years after action completed NORMAL 20936 Records documenting the establishment and closure of official bank accounts. Destroy 7 years after account has been closed NORMAL Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 1228 Records relating to the receipt and provision of advice on the financial management function. Destroy 7 years after action completed NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. For agreements relating to the acquisition of goods and services to support the financial management function, use PROCUREMENT - Agreements. 1230 Records documenting negotiations, establishment, maintenance and review of agreements. Destroy 7 years after expiry or other termination of agreement NORMAL 20937 Final version of agreements made relating to the financial management function. Destroy 7 years after expiry or other termination of agreement NORMAL Allocation The process of assigning of money, items, or equipment to employees or organisational units. 1231 Records documenting internal fund allocations. Includes restrictions and variations to funding allocations. Destroy 7 years after action completed NORMAL Asset Register The activities involved in recording in a subsidiary ledger all fixed assets owned by the organisation. Includes the date of purchase, depreciation expense, written down value as well as stocktaking and auditing notations. 1232 Asset registers. Destroy 7 years after disposal of asset NORMAL 1233 Records documenting asset valuation and asset management processes, including requests for inclusion on the asset register. Destroy 7 years after action completed NORMAL Audit The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the organisation in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. For the management of an agency's internal audit committee, use STRATEGIC MANAGEMENT - Committees. 1234 Final report of an internal or external financial audit (eg conducted by an external authority such as the Australian National Audit Office) where: • the audit report is qualified by the Auditor-General • there are major or significant changes to agency practices. Includes recommendations and implementation plans. Destroy 10 years after action completed NORMAL 1235 Final report of an internal or external financial audit (eg conducted by an external authority such as the Australian National Audit Office) where: • the audit report has been accepted by the Auditor-General • there are no changes or only minor or routine changes to agency practices. Includes recommendations and implementation plans. Destroy 5 years after action completed NORMAL 1236 Records documenting the planning and conduct of internal and external audits relating to the financial management function. Includes: • liaison with the auditing body • minutes of meetings • notes taken at opening and exit interviews • draft report • comments • declarations nominating accounts exempted from normal disclosure. Destroy 3 years after action completed NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 1237 Delegations of power to agency staff to authorise financial activities and transactions (eg delegation to approve expenditure or appointment of an officer to countersign cheques). Destroy 10 years after delegation superseded NORMAL 1238 Authorisations for administrative actions relating to financial management (eg authorisation to permit an overdraft from a public account or an authorisation to collect money on behalf of another person). Destroy 10 years after action completed NORMAL Budgeting The process of planning the use of expected income and expenditure over a specified period. 1239 Budget estimates and associated records prepared for external approval (eg approval from the parent department of an agency or Ministerial approval). Includes portfolio budget statements. Destroy 7 years after action completed NORMAL 1240 Budget estimates produced for internal use by the agency. Destroy 7 years after action completed NORMAL 1241 Background records used for the production of whole of agency budget estimates by the coordinating element of the agency (eg the central office of an agency). Includes working papers and calculations and their collation. Destroy 4 years after action completed NORMAL 1242 Records documenting spending progress or revenue collection against allocations within the budget estimates. Destroy 3 years after action completed NORMAL 1243 Records documenting the input by state and regional offices or individual programs within an agency to the whole of agency budget estimates. Includes working documents and calculations. Destroy 2 years after action completed NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. For the management of an agency's internal Audit Committee, use STRATEGIC MANAGEMENT - Committees. 1244 Records of internal and external committees formed to consider matters relating to the financial management function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 7 years after action completed NORMAL 1245 Working papers documenting the conduct and administration of committees which consider matters relating to the financial management function. Includes: • agenda • notices of meetings • draft minutes. Destroy 3 years after action completed NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1246 Records documenting agency compliance with mandatory or optional accountability requirements relating to the financial management function. Includes registration of: • Australian Business Number (ABN) • Australian Company Number (ACN) • Data Universal Numbering System Number (DUNS). Destroy 7 years after registration lapses or is superseded NORMAL Donations The activities associated with managing money, items, artefacts or property donated to the organisation, or by the organisation and or its staff to charities etc. Includes managing unsolicited donations. 1248 Records documenting the management of donations of money to and by the agency. Destroy 7 years after action completed For other records documenting the management of donations received from public sources, use COMMUNITY RELATIONS - Donations. NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. 1249 Records documenting the evaluation of potential or existing programs and services supporting the financial management function. Destroy 7 years after action completed [For the evaluation of goods and services being considered for procurement in support of the financial management function, use PROCUREMENT – Evaluation.] NORMAL Financial Statements The process of compiling annual statements presented in prescribed tabular form showing receipts and payments, both actual and budgeted for the current financial year and the actual amounts received or paid for the previous financial year. 1250 Annual financial statements or formal interim financial statements, and background documentation. Includes annual statements of assets and liabilities, operating statement of financial position, balance sheets and statements of cash flows. Destroy 7 years after action completed For regular accrual reports, use FINANCIAL MANAGEMENT - Accounting. NORMAL Fraud The processes which allow the disclosure of fraud, and strategies for the prevention of fraud. Includes involvement in fraud prevention projects and the education of staff about fraud disclosures. For records relating to the management of broad strategies for the prevention of fraud, use STRATEGIC MANAGEMENT - Fraud. For an agency's fraud control plan, use STRATEGIC MANAGEMENT - Planning. For investigations into fraud allegations made against an employee, use PERSONNEL - Discipline. 1251 Records documenting financial management arrangements supporting the agency's fraud control plan. Destroy 7 years after Fraud Control Plan is superseded NORMAL 1252 Records documenting the identification of specific instances of fraud. Includes the report and investigation of fraudulent activities and records documenting liaison with law enforcement authorities. Destroy 7 years after action completed NORMAL Grant Funding The activities associated with the application for and receipt of grants. 1253 Records documenting the administration of grant funds received. Destroy 7 years after grant acquitted For the overall management of grant applications made by the agency, use STRATEGIC MANAGEMENT - Grant Funding. For grant applications made for non-government funding, use COMMUNITY RELATIONS - Grant Funding. NORMAL Inventory The activities associated with listing and preparing lists of items and assets in the possession of the organisation. 1254 Records documenting the listing of items supporting the financial management function (eg cab charge vouchers and other accountable forms). Destroy 2 years after action completed For listing of assets owned by the agency, use FINANCIAL MANAGEMENT - Asset Register. NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1255 Final version of minutes and supporting documents tabled at meetings held to support the financial management function. Includes meetings with external agencies. Destroy 7 years after action completed NORMAL 1256 Working papers documenting the conduct and administration of meetings held to support the financial management function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Payments The activities involved in the preparation and payment of money. 1257 Records documenting the preparation and payment of money. Includes records documenting the checking of invoices, issuing of cheques for payment and the payment of claims. Destroy 7 years after last action For accounting records supporting the payment activity, use FINANCIAL MANAGEMENT - Accounting. NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. For an agency's fraud control plans, use STRATEGIC MANAGEMENT - Planning. 1258 Final version of agency-wide financial management plans. Destroy 7 years after plan is superseded NORMAL 1259 Final version of a section or business unit's financial management plans, including those of state, regional or overseas offices. Destroy 2 years after plan is superseded NORMAL 1260 Working papers used in developing all financial management plans. Includes draft plans, reports analysing issues, and comments received from other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL 1261 Copies of all financial management plans. Destroy when reference ceases NORMAL Policy 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. 1262 Records documenting the development and establishment of the agency's financial management policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents (eg Chief Executive's instructions). Destroy 7 years after policy is superseded NORMAL 1263 Records documenting comments made on the development of government-wide financial management policies. Destroy 3 years after promulgation of the new policy NORMAL 1264 Working papers documenting the development of all financial management policies. Destroy 3 years after promulgation of the new policy NORMAL 1265 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1266 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the financial management function (eg procedural rules derived from Chief Executive's instructions). Destroy 7 years after procedures are superseded NORMAL 1267 Records documenting the development of agency procedures supporting the financial management function. Destroy 2 years after action completed NORMAL 1268 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. For regular finance accrual reports, use FINANCIAL MANAGEMENT - Accounting. For annual financial statements for formal interim statements, use FINANCIAL MANAGEMENT - Financial Statements. 1269 Final version of formal internal reports and reports made to external agencies relating to the financial management function. Includes reports made in response to a statutory obligation or reports required to be submitted on a regular basis. Destroy 7 years after action completed NORMAL 1270 Final version of periodic reports on general administrative matters used to monitor and document recurring activities to support the financial management function. Destroy 7 years after action completed NORMAL 1271 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 2 years after action completed NORMAL 1272 Copies of financial management reports. Destroy when reference ceases NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1273 Records documenting a review of agency programs and operations supporting the financial management function. Includes documents establishing the review, the final report and action plan. Destroy 7 years after action completed NORMAL 1274 Working papers documenting a review of agency programs and operations supporting the financial management function. Destroy 3 years after action completed NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 1275 Records documenting risk management relating to the financial management function. Includes documentation covering each stage of the process, treatment schedules and action plans. Destroy 7 years after next risk assessment NORMAL 1276 Financial management risk register. Destroy 7 years after next risk assessment NORMAL Salaries The process of managing the payment of salaries to personnel. 20938 Records documenting the payment of salaries to agency personnel. Includes payment of employer superannuation contributions. Destroy 7 years after last action [For records such as group certificates, overtime forms, tax declaration forms, and records of superannuation deductions, use PERSONNEL - Salaries.] NORMAL Standards The process of implementing industry or organisational benchmarks for services and processes to enhance the quality and efficiency of the organisation. For compliance with standards (except where other activities apply), use FINANCIAL MANAGEMENT - Compliance. 1278 Records documenting the implementation of industry standards (eg those issued by the Public Sector Accounting Standards Board or by the Australian Accounting Research Foundation) and agency standards to support the financial management function. Destroy 7 years after action completed NORMAL Treasury Management The process of managing the funds of the organisation in an efficient and economical manner by ensuring an effective system of internal control is in operation. Includes investments and loans. 1289 Records documenting the transfer of agency funds between official Commonwealth Funds. Destroy 7 years after last action NORMAL 1290 Records documenting investments or loans undertaken by the agency. Destroy 7 years after investment matures or loan repayment completed NORMAL 1291 Records documenting special accounts. Includes trust funds, unidentified receipts, unclaimed moneys. Destroy 7 years after account finalised NORMAL FLEET MANAGEMENT The function of acquiring (either by purchase, leasing or chartering), managing, maintaining, repairing and disposing of vehicles. Vehicles are any means of conveyance owned or used by the organisation to transport people or items. Excludes vehicles acquired to support the Defence combat function, but includes all other special purpose vehicles. Accidents The activities involved in dealing with mishaps causing injury or damage. Includes damage or injury to the organisation's property or member of staff incurred while coming to, at, or leaving work, or to the general public or visitors whilst on the organisation's premises. Also includes measures to prevent accidents occurring. 1292 Records detailing accidents/incidents involving Commonwealth vehicles. Includes: • vehicle accident reports • investigation reports • documents authorising the use of the vehicle • records of driver/operator/pilot licences and certificates of competencies • logs of vehicle operations • booking schedules and other evidence supporting the use of the vehicle. Destroy 7 years after accident/incident For lodgement of a claim for damages to a Commonwealth vehicle or third party vehicle or property, use FLEET MANAGEMENT - Claims. For accident reports where there is an injury to an employee, use COMPENSATION - Cases. For accident reports where there is an injury to a member of the public who submits a claim for compensation, use COMPENSATION - Claims. For accident reports where an employee was involved in an accident but where no compensation claim was lodged, use PERSONNEL - Accidents. For accident reports sent to the lead agency (currently Comcare) covering deaths, serious personal injury, incapacity and dangerous occurrences for both employees and members of the public, use OH&S - Accidents. For legal action resulting from an accident, use LEGAL SERVICES - Litigation. NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. For records relating to the tendering process and contracts, use PROCUREMENT - Tendering. For managing contract arrangements, use PROCUREMENT - Contracting-out. 1295 Final version of agreements and Memoranda of Understanding made to support the fleet management function. Destroy 7 years after expiry or other termination of agreement NORMAL 1296 Records documenting negotiation, establishment, maintenance and review of agreements. Destroy 7 years after expiry or other termination of agreement NORMAL Allowances The activities involved in arranging and managing money paid to employees in addition to salary to cover expenses incurred in the course of employment, e.g. travelling allowances. 1297 Records documenting applications for allowances to employees for use of private vehicles for official business. Destroy 7 years after action completed For the payment of allowances to employees, use FINANCIAL MANAGEMENT - Salaries. NORMAL Arrangements The activities involved in arranging for a journey or trip. Includes preparing travel itineraries, authorisations, entitlements, etc. Also includes arrangements made for delivery of equipment or goods and the usage made of facilities, vehicles, equipment and space. 1298 Records documenting arrangements for using Commonwealth vehicles. Includes: • booking schedules • trip instructions (eg sailing directions) • travel itineraries and programs • records documenting a check of appropriate authorisations (eg validity of driver/operator/pilot licences and certificate of competencies) • trip logs. Destroy 2 years after action completed For records detailing use arrangements for vehicles involved in accidents, use FLEET MANAGEMENT - Accidents. NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 1299 Delegations of powers to agency staff to authorise administrative action relating to the fleet management function. Destroy 7 years after delegation expires NORMAL 1300 Requests and approvals for the use of vehicles involving financial arrangements. Includes permission for: • use of private vehicles for official business • maintenance and repairs • private use of fuel card and arrangements for reimbursement. Destroy 7 years after action completed For records supporting authorisation if the vehicle is involved in an accident, use FLEET MANAGEMENT - Accidents. NORMAL 1301 Requests and approvals authorising the use of vehicles not involving financial arrangements. Includes giving permission: • to carry non-Commonwealth passengers • for home garaging of vehicles • for Executive Officers to use vehicles while on leave • for learner drivers to drive a vehicle. Destroy 1 year after authority expires For records supporting authorisation if the vehicle is involved in an accident, use FLEET MANAGEMENT - Accidents. NORMAL 1302 Copies of endorsed vehicle-related invoices passed to the delegate for payment. Destroy when reference ceases For the payment of the invoices, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT -Payment. NORMAL Claims The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property. 1303 Records documenting insurance claims. Includes copies of claims, reports and related correspondence. Destroy 7 years after action completed NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 1304 Records of internal and external committees formed to consider matters relating to the fleet management function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 2 years after action completed NORMAL 1305 Working papers documenting the administration of committees which consider matters relating to the fleet management function. Includes: • agenda • notices of meetings • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1306 Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the fleet management function. Destroy 7 years after action completed NORMAL 1307 Records documenting the registration of agency vehicles. Includes inspections and renewal papers. Destroy when registration is renewed or expires NORMAL 1308 Records documenting the calculation of Fringe Benefit Tax (FBT) liabilities. Destroy 5 years after action completed For managing FBT arrangements attached to individual employee's salary packages, use PERSONNEL - Salaries. For the processes involved in managing financial transactions associated with meeting agency FBT obligations, use FINANCIAL MANAGEMENT - Accounting. NORMAL Disposal The process of disposing of property no longer required by the organisation, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer to archives, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage. 1310 Records documenting the disposal of Commonwealth owned vehicles. Includes: • independent valuation • certification of work undertaken on a vehicle prior to disposal • written quotes • auction records • routine forms and correspondence documenting the disposal of vehicles. Destroy 7 years after disposal of vehicle NORMAL 1311 Records documenting the return of leased vehicles. Includes: • written notices and correspondence with leasing companies • handover reports • notification that the agency or its nominee wishes to purchase a vehicle • arrangements for the restoration of the vehicle to the original condition. Destroy 3 years after disposal of vehicle NORMAL Infringements The activities associated with handling breaches of rules. Includes driving or traffic infringements and infringements of the organisation's intellectual property. 1312 Records documenting breaches of the agency's rules and/or driving, traffic, aeronautical or marine laws. Includes copy of infringement notice, correspondence with relevant authority and other supporting documentation. Destroy 1 year after action completed For cases where legal support is sought, use LEGAL SERVICES - Infringements. For cases that proceed to litigation, use LEGAL SERVICES - Litigation. For disciplinary action arising from infringements by employees, use PERSONNEL - Discipline. NORMAL Insurance The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the organisation's premises or whilst engaged during employment. For insurance claims lodged, use FLEET MANAGEMENT - Claims. For managing financial transactions supporting insurance activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1313 Vehicle insurance policies. Destroy 7 years after policy expires NORMAL 1314 Records documenting the annual renewal of insurance policies. Destroy 1 year after action completed NORMAL Maintenance The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external conditions of premises, equipment, vehicles etc. For the payment of accounts relating to maintenance activities, use FINANCIAL MANAGEMENT - Accounting and Payment. 1317 Records documenting the maintenance, repair and modification of Commonwealth owned vehicles. Includes maintenance record books/logs. Transfer to the new owner after sale or destroy 6 months after the write-off of the vehicle. (See instruction on the transfer of custody and ownership of Commonwealth records in Introduction) NORMAL 1318 Records documenting the maintenance and servicing of leased vehicles. Includes maintenance record books/logs. Transfer to leasing company after lease expires or is terminated. (See instruction on the transfer of custody and ownership of Commonwealth records in Introduction) NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1319 Final version of minutes and supporting documents tabled at meetings held to support the fleet management function. Includes meetings with external agencies. Destroy 2 years after action completed NORMAL 1320 Working papers documenting the conduct and administration of meetings held to support the fleet management function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Policy 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. 1321 Records documenting the development and establishment of the agency's fleet management policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 7 years after policy is superseded NORMAL 1322 Records documenting comments made on the development of government-wide fleet management policies. Destroy 2 years after promulgation of the new policy NORMAL 1323 Working papers documenting the development of all fleet management policies. Destroy 2 year after promulgation of the new policy NORMAL 1324 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1325 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the fleet management function. Destroy 7 years after procedures are superseded NORMAL 1326 Records documenting the development of agency procedures supporting the fleet management function. Destroy 2 years after production of procedures NORMAL 1327 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1328 Final versions of formal reports and reports made to external agencies relating to the fleet management function. Destroy 5 years after action completed NORMAL 1329 Final versions of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the fleet management function. Includes reporting on accidents/incidents and theft involving Commonwealth vehicles. Destroy 3 years after action completed NORMAL 1330 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy when reference ceases NORMAL 1331 Copies of financial management reports. Destroy when reference ceases NORMAL GOVERNING BODIES The business of establishing membership and managing the administration of governing bodies, such as boards, trusts, councils, commissions and so on, that direct, oversee or provide a framework for the control of an organisation. Includes governing bodies regulated by the Commonwealth Authorities and Companies Act 1997 (or its equivalent). Covers activities associated with providing secretariat support to the governing body in the performance of its duties and administrative support to governing body members, including arrangements for travel, leave entitlements, allowances and remuneration for duties performed. Also includes the nomination, election, appointment and separation of governing body members, disclosures of pecuniary interests, professional indemnity insurance, relations between an organisation and its governing body and meetings of governing bodies. Excludes governing bodies that do not undertake a governance role. Note: Governing Bodies is a business area relating to the agency’s governance management. The other governance business area is Strategic Management which covers broad systematic administration, planning and reporting. The focus of the Governing Bodies is the establishment and day-to-day administration of an agency’s internal governing authority. The activities of the governing body support other business areas, in particular Community Relations, Government Relations, Strategic Management, and all other agency core businesses where they are covered. Governing bodies does not cover the activities of advisory bodies. Governing bodies have executive powers and focus on administrative control of an agency’s governance framework while advisory bodies provide informed advice to the Minister, the Government and the agency. Advisory bodies undertake no role in governance activities. Their administration and operations are covered by a separate general records authority issued by the National Archives. This business area includes such governing bodies related activities as: • managing accidents involving members of governing bodies; • supporting the development of addresses (presentations); • negotiating and establishing agreements (eg contracts of appointments); • handling appeals; • managing compensation cases; • managing disclosures of interest; • administering leave; • administering meetings of governing bodies; • managing membership of governing bodies (i.e. establishment and composition); • supporting performance management frameworks; • managing remuneration arrangements; and • supporting training requirements. The performance of the business area is supported by routine administrative tasks such as: • providing and receiving advice; • complying with external management requirements; • delegating powers and authorising actions; • managing insurance and claims; • managing administrative meetings; • planning, researching, reporting and reviewing; and • developing policies and procedures. For establishing and changing the structure of an organisation, use ESTABLISHMENT. For the broad systematic administrative management of an organisation, use STRATEGIC MANAGEMENT. For managing the acquisition of goods and services, and tendering and contracting arrangements to support governing bodies, use PROCUREMENT. For managing financial activities relating to governing bodies, use FINANCIAL MANAGEMENT. Accidents The activities involved in dealing with mishaps causing injury or damage. Includes damage or injury to the organisation's property or member of staff incurred while coming to, at, or leaving work, or to the general public or visitors whilst on the organisation's premises. Also includes measures to prevent accidents occurring. 19401 Accident/incident reports where a member of a governing body is injured but no compensation claim is lodged. Destroy 75 years after date of birth of governing body member or 7 years after last action, whichever is later. For records relating to accidents where a compensation claim is made by a governing body member, use GOVERNING BODIES - Claims (governing and advisory bodies). For accident reports retained for OH&S purposes, use OH&S – Accidents. NORMAL Addresses (presentations) The activity of giving addresses for training, professional, community relations or sales purposes. Includes speeches and multi-media presentations. 19403 N/A N/A For records relating to addresses or presentations made by members of governing bodies to community groups, use COMMUNITY RELATIONS – Addresses (presentations). For records relating to address or presentations made by members of governing bodies to government agencies and forums, use GOVERNMENT RELATIONS – Addresses (presentations). NORMAL Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. For formal submissions made by the governing body on government matters, use GOVERNMENT RELATIONS – Submissions. For legal advice provided to governing bodies, use LEGAL SERVICES – Advice. 19404 Records documenting advice received or provided in relation to the administration and operation of governing bodies. Excludes Ministerial directives received by governing bodies and advice provided by governing bodies to portfolio Ministers. Destroy 5 years after action completed For advice received from or provided to the portfolio Minister or government agencies, use GOVERNMENT RELATIONS – Advice. For responses to Ministerials, use GOVERNMENT RELATIONS – Representations. NORMAL Agency Liaison The activity associated with maintaining regular general contact between the agency and other government agencies. Includes sharing informal advice and discussions, and collaborating on projects that are not joint ventures. For liaison with professional associations, private sector organisations and community groups, use COMMUNITY RELATIONS – Liaison. 19405 N/A N/A For liaison between members of governing bodies and other government agencies, use GOVERNMENT RELATIONS – Agency Liaison. NORMAL Corruption The processes which allow the disclosure of corruption, and strategies for the prevention of corruption. Includes involvement in corruption prevention projects and the education of staff about corruption disclosures. 19418 N/A N/A For activities relating to the disclosure and prevention of corruption in relation to members of the governing body, use STRATEGIC MANAGEMENT - Fraud. NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. 19422 N/A N/A For the evaluation of the agency’s strategic programs and services, use STRATEGIC MANAGEMENT – Evaluation. NORMAL GOVERNMENT RELATIONS The function of administering the formal relationship between the organisation and those processes of government not covered by general administrative or agency core functions. Includes the organisation's relationship with Ministers and Members of Parliament and the political processes of Government; liaison with bodies carrying out investigations and participating in formal inquiries and investigations such as Royal Commissions, and inquiries by Parliamentary Committees and the Ombudsman; and relationships with Local, State, or overseas governments. This function is NOT designed to cover regular ongoing contact between government agencies, which should be classified under the relevant function. Addresses (presentations) The activity of giving addresses for training, professional, community relations or sales purposes. Includes speeches and multi-media presentations. 1342 Final versions of addresses presented by portfolio Ministers and agency heads at government occasions. Retain as national archives For addresses delivered by portfolio Ministers at public occasions, use COMMUNITY RELATIONS - Addresses. NORMAL 1343 Final versions of addresses presented by other agency staff at government occasions. Destroy 6 years after action completed NORMAL 1344 Working papers documenting the preparation of addresses presented by the portfolio Minister and agency staff. Includes requests for input into ministerial speeches, quality monitoring, comments, clearances, and draft versions. Destroy 1 year after action completed NORMAL Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. For formal submissions made by the agency on government matters, use GOVERNMENT RELATIONS - Submissions. For registers tracking the handling of Cabinet documents, use INFORMATION MANAGEMENT - Security. 1345 Numbered Cabinet memorandums, Cabinet discussion papers, Cabinet minutes and related documents received by the agency. Destroy in accordance with Cabinet Handbook instructions NORMAL 1346 Working papers documenting the development of Cabinet memorandums and Cabinet discussion papers. Includes drafts. Retain as national archives NORMAL 1347 Advice provided by the agency to the portfolio Minister and government agencies on controversial public issues with far-reaching social, economic and international implications relating to the functional responsibilities of the agency. Includes advice provided in the form of: • briefing notes (includes background briefs and Question Time Briefs) • minutes providing advice to the Minister • Ministerial statements • Government responses to Inquiry recommendations • policy papers (White and Green papers) • minutes providing co-ordination comments • advice to other agencies. Retain as national archives NORMAL 1348 Working papers documenting the development of advice provided by the agency to the portfolio Minister and government agencies on controversial public issues with far-reaching social, economic and international implications relating to the functional responsibilities of the agency. Retain as national archives NORMAL 1349 Advice provided by the agency to the portfolio Minister and government agencies on matters of lesser importance, with no far reaching impact on the social, economic and international standing of the country. Includes advice provided in the form of: • briefing notes (includes background briefs and Question Time Briefs) • minutes providing advice to the Minister • minutes providing co-ordination comments • advice to other agencies. Destroy 5 years after action completed NORMAL 1350 Working papers documenting the development of advice provided by the agency to the portfolio Minister and government agencies on matters of lesser importance, with no far-reaching impact on the social, economic and international standing of the country. Destroy 5 years after action completed NORMAL 1351 General administrative records documenting the provision of advice. Includes list of briefing requirements and records documenting the tabling of reports and papers to Parliament. Destroy 2 years after action completed NORMAL 1352 Notes made by agency officials attending Cabinet or Cabinet committee meetings to give advice. Excludes Cabinet notebooks held by the Department of Prime Minister and Cabinet. Destroy in accordance with Cabinet Handbook instructions ie as soon as possible after the meeting NORMAL 20948 Advice received by the agency from the portfolio Minister and government agencies on matters relating to the functional and administrative responsibilities of the agency. Includes Ministerial directives received by the agency. Excludes statements of expectations. Destroy 5 years after action completed [For statements of expectations relating to the performance management of governing bodies, use GOVERNING BODIES – Performance Management (governing bodies). For statements of expectations relating to the performance management of the organisation, use STRATEGIC MANAGEMENT – Performance Management.] NORMAL 20949 Records documenting provision of advice to Government on the nomination, appointment, reappointment, resignation and termination of members of the public to boards, committees and statutory positions which are administered by the agency. Destroy 3 years after action completed [For the provision of advice to Government on the nomination, appointment, resignation and termination of members of the agency’s governing body, use GOVERNING BODIES – Advice. For the provision of advice to Government on the nomination, appointment, resignation and termination of members of the agency’s advisory body, use ADVISORY BODIES – Advice.] NORMAL Agency Liaison The activity associated with maintaining regular general contact between the agency and other government agencies. Includes sharing informal advice and discussions, and collaborating on projects that are not joint ventures. For liaison with professional associations, private sector organisations and community groups, use COMMUNITY RELATIONS – Liaison. 20950 Records documenting liaison activities undertaken with other government organisations. Includes collaboration on projects and exchange of information. Destroy 3 years after action completed [For formal advice provided or received from other government organisations, use GOVERNMENT RELATIONS – Advice. For formal submissions made to other government organisations, use GOVERNMENT RELATIONS – Submissions.] NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. Agencies must use their own Records Disposal Authorities for agreements which relate to their core functions. For agreements relating to joint ventures, use GOVERNMENT RELATIONS - Joint Ventures. 1354 Final version of significant agreements with government bodies. Includes: • policies and procedures applying to the whole of government • changes to the performance of statutory functions • those with implications for major liabilities or obligations for the agency. Retain as national archives NORMAL 1355 Records relating to the negotiations, establishment, maintenance and review of significant agreements. Retain as national archives NORMAL 1356 Final versions of other agreements. Destroy 10 years after expiry of the agreement NORMAL 1357 Records documenting the negotiations, establishment, maintenance and review of other agreements. Destroy 10 years after expiry of the agreement NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. Agencies must use their own Records Disposal Authorities for committees which relate to their core functions. 1358 Records of external high level inter-government (both State/Territory and overseas) or inter-agency committees where the agency provides the Secretariat, is the Commonwealth's main representative, or plays a significant role. Includes: • documents establishing the committee • agendas • minutes • reports • recommendations • supporting documents such as briefing and discussion papers. Retain as national archives NORMAL 1359 Working papers documenting the administrative arrangements made for the conduct of external high level committees. Destroy 5 years after action completed NORMAL 1360 Records of other external inter-government (both State/Territory and overseas) or inter-agency committees where the agency does not provides the Secretariat, is not the Commonwealth's main representative, and plays only a minor role. Includes: • documents establishing the committee • minutes • reports • recommendations • supporting documents such as briefing and discussion papers. Destroy 5 years after action completed NORMAL 1361 Working papers documenting administrative arrangements made for the conduct of other external inter-government and inter-agency committees. Destroy 2 years after action completed NORMAL 1362 Records of internal agency committees formed to consider matters relating to the government relations function. Includes: • documents establishing the committee • minutes • reports • recommendations • supporting documents such as briefing and discussion papers. Destroy 3 years after action completed NORMAL 1363 Working papers documenting the administration of internal committees formed to consider matters relating to the government relations function. Includes: • agenda • notices of meetings • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1364 Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the government relations function (eg submission of Annual Report to the portfolio minister including letter of transmittal). Destroy 7 years after action completed NORMAL Customer Service The activities associated with the planning, monitoring and evaluation of services provided to customers by the organisation. 1365 Records documenting the general planning, monitoring and evaluation of customer services provided to government clients. Destroy 6 years after action completed NORMAL 1366 Records documenting the development of service charters and directives relating to the provision of services to government clients. Destroy 6 years after action completed For the production of the agency's service charter, use PUBLICATION - Planning and PUBLICATION - Production. NORMAL 1367 Records documenting the management of specific customer services delivered to government clients. Includes planning, monitoring and evaluation of services. Destroy 6 years after action completed NORMAL Implementation The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes the installation of equipment. Also includes monitoring to ensure that the implementation goes according to schedule and that standards are met and includes first aid treatment. 1368 Records documenting the implementation of plans, policies, procedures and instructions to support the government relations function. Destroy 3 years after action completed NORMAL Inquiries 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, Parliamentary and Ombudsman's inquiries. Includes the organisation's participation in the inquiry by providing evidence in the form of records, submissions or staff. 1369 Records documenting the agency's contribution and involvement in an inquiry directly relating to its functions. Includes: • agency statements and submissions • responses to final reports • transcripts of oral evidence given by agency officers. Retain as national archives NORMAL 1370 Working papers documenting the agency's contribution and involvement in an inquiry directly relating to its functions. Retain as national archives NORMAL 1371 Records documenting inquiries with no direct relation to the agency's functions where the agency made a substantial contribution. Includes: • agency statements and submissions • responses to final reports • transcripts of oral evidence given by agency officers. Destroy 7 years after final report of inquiry is released NORMAL 1372 Records documenting inquiries with no direct relation to the agency's function where the agency made little or no contribution. Destroy 2 years after final report of inquiry is released NORMAL 1373 Working papers documenting the agency's contribution and involvement in an inquiry with no direct relation to the agency's function. Destroy when reference ceases NORMAL Joint Ventures The activities involved in managing joint operations between departments, either within the organisation or with other organisations, or with the government, where there is a contract, joint contribution of funds and/or time. Also includes private sector ventures with public sector organisations, and co-research or collaboration between inter-departmental units, departments or organisations. Agencies must use their own Records Authority for joint venture operations which relate to their core functions. 1374 Final signed version of joint venture agreements or contracts of major significance to the agency and the Commonwealth. Includes: • policies and procedures applying to the whole of government • changes to the performance of statutory functions • those with implications for major liabilities or obligations for the agency. Retain as national archives NORMAL 1375 Working papers relating to the establishment and negotiations and management of joint venture agreements of major significance. Retain as national archives NORMAL 1376 Final versions of other joint venture agreements or contracts. Destroy 7 years after completion or other termination of agreement or contract NORMAL 1377 Working papers relating to the establishment, negotiations and management of other joint venture agreements or contracts. Destroy 7 years after completion or other termination of agreement or contract NORMAL Legislation The process of making laws. Includes Local, State, Commonwealth and overseas Acts, Bills and subsections of Acts, and amendments to each. For records documenting the development of the legislative requirements, use STRATEGIC MANAGEMENT - Legislation. For advice provided to Cabinet, the portfolio Minister and other government agencies on proposed legislation, use GOVERNMENT RELATIONS - Advice. For submissions relating to legislative proposals to the portfolio Minister and to Cabinet, use GOVERNMENT RELATIONS - Submissions. For legal advice received on the interpretation of legislation and legislation proposals, use LEGAL SERVICES - Advice. 1378 Records documenting the preparation and passage of an agency's legislation through Parliament. Includes: • preliminary drafting instructions • proposed bills • records documenting consultation with relevant government agencies • preparation of the Explanatory Memorandum • Second Reading Speech. Retain as national archives NORMAL Media Relations The activities associated with establishing a relationship between the media and the organisation. Includes cultivating media contacts, coordinating access to the media, authorising and issuing press releases and briefings, and organising media interviews. 1379 Master set of agency produced media releases in the portfolio Minister's name and transcripts of interviews. Retain as national archives NORMAL 1380 Records documenting administrative arrangements with the media. Includes the issuing of media releases in the portfolio Minister's name, organising media interviews for the Minister and providing information and assistance to support media coverage. Destroy 3 years after action completed NORMAL 1381 Copies of media items specifically relating to the portfolio Minister. Includes newscuttings, transcripts and electronic items. Destroy when reference ceases For copies of media items relating to the agency's operations, use COMMUNITY RELATIONS - Media Relations. For the acquisition of media items through media monitoring services, use INFORMATION MANAGEMENT - Acquisition. NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1382 Final version of minutes and supporting documents tabled at meetings held to support the government relations function. Includes meetings with external agencies. Destroy 3 years after action completed NORMAL 1383 Working papers documenting the conduct and administration of meetings held to support the government relations function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Policy 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. 1384 Records documenting the development and establishment of the agency's government relations policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 5 years after policy is superseded NORMAL 1385 Records documenting comments made on the development of government-wide government relations policies. Destroy 3 years after promulgation of the new policy NORMAL 1386 Working papers documenting the development of all government relations policies. Destroy 3 years after promulgation of the new policy NORMAL 1387 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1388 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the government relations function. Includes procedures for preparing materials for a particular Minister. Destroy when procedures are superseded NORMAL 1389 Records documenting the development of agency procedures supporting the government relations function. Destroy 1 year after production of procedures NORMAL 1390 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. For the provision of advice to government, use GOVERNMENT RELATIONS - Advice. For agency contributions to government inquiries, use GOVERNMENT RELATIONS - Inquiries. For agency submissions to Cabinet, use GOVERNMENT RELATIONS - Submissions. 1391 Final version of unpublished formal reports made on the agency's core functions. Retain as national archives For the Annual Report drafting process, use PUBLICATION - Drafting. For published reports (eg Annual Reports), use PUBLICATION - Planning and PUBLICATION - Production. For submission of the agency's Annual Report to the portfolio Minister, use GOVERNMENT RELATIONS - Compliance. NORMAL 1392 Working papers documenting the development of formal reports made on the agency's core functions Retain as national archives NORMAL 1393 Final version of periodic reports required on a regular basis by external government bodies. Destroy 5 years after action completed NORMAL 1394 Working papers documenting periodic reports required on a regular basis by external government bodies. Destroy 3 years after action completed NORMAL 1395 Copies of government relations reports. Destroy when reference ceases NORMAL 1396 Responses to surveys requested by other government agencies. Destroy 2 years after action completed NORMAL Representations The activities involved in preparing responses to questions raised in Parliament by Members of Parliament on behalf of their constituents. Also includes community-based representations and representations directed to the Minister seeking a formal response. For registers of Ministerial correspondence, use INFORMATION MANAGEMENT - Control. 1397 Records documenting the preparation of Ministerial responses to questions raised in Parliament. Destroy 5 years after action completed NORMAL 1398 Records documenting responses to approaches received by the minister ('Ministerials') from peak industry bodies, leading community interest groups, recognised influential stakeholders and individuals concerning issues of a contentious nature which are of major significance to the agency and/or the community at large. Includes: • copies of letters received • draft responses • minutes providing background details for the Minister • requests from the Minister's office for changes • final response. Retain as national archives NORMAL 1399 Records documenting responses to other approaches received by the minister ('Ministerials') from the public of a routine nature concerning issues which are of no major significance to the agency and/or the community at large. Includes: • copies of letters received • draft responses • minutes providing background details for the Minister • requests from the Minister's office for changes • final response. Destroy 2 years after action completed NORMAL 1400 Reference set of all responses to representations ('Ministerials') kept by the coordinating area. Destroy when reference ceases NORMAL 1401 Records documenting the management of communications sent to the Minister. Includes Ministerial directives (project worksheets) and background material, statistics and weekly reports on representations. Destroy 1 year after action completed NORMAL Representatives The activities associated with the nomination, appointment or resignation of individuals or groups of personnel appointed by the organisation or their co-workers as official representatives to organisations, offices, unions, workers participation committees, councils or groups. Includes organisational legal representatives. 1402 Records documenting the nomination, appointment and resignation and/or termination of staff members on government bodies. Destroy 3 years after end of appointment [For the management of agency representatives on community organisations, use COMMUNITY RELATIONS – Representatives. For the management of agency representatives on governing bodies, use GOVERNING BODIES – Membership. For the management of agency representatives appointed to councils and other bodies supporting the administration and operation of governing bodies, use GOVERNING BODIES – Representatives.] NORMAL Research The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc used to support development of projects, standards, guidelines etc and the business activities of the organisation in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc. 1403 Records documenting detailed research carried out to support the government relations function. Destroy 7 years after last action NORMAL 1404 Records documenting routine research carried out to support the government relations function. Destroy 1 year after last action NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1405 Records documenting a review of agency programs and operations supporting the government relations function. Includes documents establishing the review, final report and action plan. Destroy 5 years after action completed NORMAL 1406 Working papers documenting a review of agency programs and operations supporting the government relations function. Destroy 2 years after action completed NORMAL Security The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks. 1407 Records documenting arrangements made by the agency for the security of government representatives, including the portfolio Minister and dignitaries during visits. Destroy 6 years after action completed For general arrangements for visits, use GOVERNMENT RELATIONS - Visits. NORMAL Submissions 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, or within the organisation, for the purpose of either gain or support. For registers tracking the handling of Cabinet documents, use INFORMATION MANAGEMENT - Security. 1408 Numbered Cabinet submissions and related Cabinet documents eg covering memorandums, corrigenda, reports and attachments to submissions and Cabinet minutes requesting submissions. Destroy in accordance with Cabinet Handbook instructions NORMAL 1409 Working papers documenting the development of Cabinet submissions. Includes background and briefing material, drafts and comments received. Retain as national archives NORMAL 1410 Submissions (other than Cabinet submissions) made to the Prime Minister, Minister, and government bodies on issues directly relating to the agency's functions, concerning controversial issues with far reaching social, economic and international implications relating to the functional responsibilities of the agency. Retain as national archives NORMAL 1411 Working papers documenting the development of submissions (other than Cabinet submissions) relating to controversial issues. Retain as national archives NORMAL 1412 Submissions (other than Cabinet submissions) made to the Prime Minister, Minister, and government bodies on issues directly relating to the agency's functions, concerning other matters of lesser importance with no far reaching impact on the social, economic and international standing of the country. Includes submissions concerning administrative matters. Destroy 10 years after action completed NORMAL 1413 Working papers documenting the development of submissions (other than Cabinet submissions) relating to other matters of lesser importance. Destroy 10 years after action completed NORMAL Visits 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 staff to other organisations. For briefings for visits, use GOVERNMENT RELATIONS - Advice. For visits to the agency by public and non-government visitors, use COMMUNITY RELATIONS - Visits. For security arrangements made for the visits of government representatives, including the Minister, and delegations, use GOVERNMENT RELATIONS - Security. 1414 Records documenting visits made by the Minister both within Australia and overseas. Includes: • invitations • travel and accommodation arrangements • itineraries and programs • visit reports • letters of thanks. Destroy 10 years after action completed NORMAL 1415 Records documenting visits to the agency by royalty and Heads of State. Includes visitor books signed by such dignitaries. Retain as national archives NORMAL 1416 Records documenting visits to the agency made by the Prime Minister, Ministers, Members of Parliament, other agency officials and interstate and overseas delegations. Destroy 6 years after action completed NORMAL 1417 Records documenting visits by agency staff to other government organisations both within Australia and overseas. Includes reports on the visit. Destroy 6 years after action completed [For visits by members of governing bodies to other government organisations, use GOVERNING BODIES – Visits (governing bodies). For visits by members of advisory bodies to other government organisations, use ADVISORY BODIES – Visits (governing and advisory bodies).] NORMAL INDUSTRIAL RELATIONS The function of establishing formal relations with the organisation's employees and their representatives to achieve a harmonious workplace. Includes negotiations conducted to obtain determinations, agreements or awards, industrial disputes settled within the organisation or by an external arbitrator and reports of the state of industrial relations within an organisation. Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 1418 Records documenting the receipt and provision of advice on the industrial relations function. Destroy 3 years after action completed For legal advice obtained on industrial relations matters, use LEGAL SERVICES - Advice. NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. For agency collective or enterprise bargaining agreements, use INDUSTRIAL RELATIONS - Enterprise Bargaining. For Australian Workplace Agreements with individual employees, use PERSONNEL - Agreements. 20951 Records documenting cases covering awards and agreements heard or certified by the central arbitration or determining body (eg Australian Industrial Relations Commission or former Public Service Arbitrator) where the agency is a major participant in negotiations. Includes arbitrated variations and consent variations to an award. Destroy 10 years after expiry of agreement NORMAL Allowances The activities involved in arranging and managing money paid to employees in addition to salary to cover expenses incurred in the course of employment, e.g. travelling allowances. 1421 Records documenting arrangements and money paid to enable employees to attend meetings and events to support the industrial relations function (eg Workplace Relations Committee meetings). Destroy 1 year after action completed For the payment of allowances to employees, use FINANCIAL MANAGEMENT - Salaries. NORMAL Appeals (decisions) The activities involved in the process of appeals against decisions by application to a higher authority. 1423 Records documenting appeals against a decision or an order where the agency had little or no input into the negotiations. Destroy 2 years after action completed [For appeals made by individual employees, use PERSONNEL – Reviews (Decisions).] NORMAL 20952 Records documenting appeals made to the central arbitration or determining body (eg Fair Work Australia or the former Australian Industrial Relations Commission or Public Service Arbitrator) against a decision or an order where the agency is a major participant in negotiations. Destroy 7 years after action completed NORMAL Claims The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property. 1424 Records documenting insurance claims for damage and loss incurred by an agency resulting from industrial action. Destroy 7 years after finalisation or withdrawal of claim For the management of insurance policies, use INDUSTRIAL RELATIONS - Insurance. NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 1425 Records of internal and external committees formed to consider matters relating to the industrial relations function (eg Workplace Relations Committee). Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 10 years after action completed For records of the Workplace Relations Committee detailing negotiations for enterprise bargaining agreements, use INDUSTRIAL RELATIONS - Enterprise Bargaining. NORMAL 1426 Working papers documenting the conduct and administration of committees which consider matters relating to the industrial relations function. Includes: • agenda • notices of meetings • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1427 Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the industrial relations function. Destroy 7 years after action completed NORMAL Disputes The process of handling any disagreement pertaining to awards, agreements, demarcation issues, breaches of injunctions, secret ballots, etc. 1429 Records documenting the management of service, agency-wide or local industrial disputes. Includes records documenting liaison with employees, union representatives and the Commonwealth's lead agency. Destroy 6 years after action completed For advice on legal aspects of an industrial dispute, use LEGAL SERVICES - Advice. For a dispute which escalates into industrial action (eg strikes, bans, lock-outs, use INDUSTRIAL RELATIONS - Industrial Action). NORMAL Enterprise Bargaining The process where employees negotiate increased pay or other benefits with their employers in exchange for the implementation of working arrangements that improve the performance of the organisation. Includes the activities associated with establishing an enterprise agreement. 20953 Records documenting negotiation, establishment and implementation of agency collective agreements or enterprise bargaining agreements made under industrial relations legislation. Includes: • negotiations with staff and union representatives • records documenting the conduct of the staff ballot • draft agreement • liaison with the Commonwealth's lead agency • Ministerial approval • records to support lodgement of agreements with the central lodgement authority • certified copy of final agreement • minutes of Workplace Relations Committee meetings considering issues relating to the development of certified agreements. Destroy 10 years after expiry of agreement [For Australian Workplace Agreements with an individual employee, use PERSONNEL - Agreements.] NORMAL Grievances The activities associated with the handling and resolution of grievances. Includes handling complaints over perceived discrimination, or those arising over work environment, work organisation or distribution, peers, supervisors or subordinates. Also includes complaints regarding the provision of access to opportunities such as training, equipment, promotion or higher duties. 1432 Records documenting employee grievances and complaints. Includes records documenting liaison with employees, union representatives and the Commonwealth's lead agency. Destroy 6 years after action completed For a grievance which escalates into a dispute or industrial action, use INDUSTRIAL RELATIONS - Disputes or INDUSTRIAL RELATIONS - Industrial Action. For grievances lodged by individual employees, use PERSONNEL - Grievances. For advice on legal aspects of handling grievances, use LEGAL SERVICES - Advice. NORMAL Industrial Action The activities associated with dealing with a failure or refusal to attend or perform work in association with a dispute between management and workers. Includes lock-outs, strikes etc. For advice on legal aspects of managing an industrial action, use LEGAL SERVICES - Advice. For the management of any variation in employees' pay as a result of an industrial action, use PERSONNEL - Salaries. 1433 Records documenting the management of industrial action (ie strikes, bans, lockouts, go-slows, work-to-rule) of a significant nature (eg involving large numbers of agency staff, where the action has a major affect on the provision of services to the community or if it has service-wide implications). Includes: • notification to Minister • liaison with the relevant lead agency • discussions/ meetings and conferences between parties • hearings with the Australian Industrial Relations Commission (Public Service Arbitrator) • hearings before the Federal Court and predecessor bodies • communications with staff. Retain as national archives NORMAL 1434 Records documenting the management of industrial action (ie strikes, bans, lockouts, go-slows, work-to-rule) of a minor nature (eg involving few staff, with no major effect on the provision of services to the community or confined to a localised area of the agency). Destroy 6 years after action completed NORMAL Infringements The activities associated with handling breaches of rules. Includes driving or traffic infringements and infringements of the organisation's intellectual property. 1435 Records documenting any industrial relations infringements incurred by the agency. Destroy 7 years after action completed NORMAL Inspections The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives. For inspections where a prosecution occurs, use LEGAL SERVICES - Litigation. For records detailing inspections carried out under the OH&S function, use OH&S - Inspections. 1436 Records documenting inspections carried out as a result of an OH&S dispute where breaches are recorded. Destroy 6 years after action completed NORMAL 1437 Records documenting routine inspections. Destroy 3 years after action completed NORMAL Insurance The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the organisation's premises or whilst engaged during employment. For insurance claims lodged, use INDUSTRIAL RELATIONS - Claims. For managing financial transactions supporting insurance activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1438 Insurance policies. Destroy 7 years after policy expires NORMAL 1439 Records documenting the annual renewal of insurance policies. Destroy 1 year after action completed NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1440 Final version of minutes and supporting documents tabled at meetings held to support the industrial relations function. Includes ongoing consultative meetings with union representatives and staff. Destroy 6 years after action completed NORMAL 1441 Working papers documenting the conduct and administration of meetings held to support the industrial relations function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. 1442 Final versions of agency-wide industrial relations plans (eg dispute contingency or action plans). Destroy 5 years after plan is superseded NORMAL 1443 Final version of section or business unit's industrial relations plans, including state, regional or overseas office. Destroy 3 years after plan is superseded NORMAL 1444 Working papers used to develop all industrial relations plans. Includes working papers, draft plans, reports analysing issues, and comments received from other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL 1445 Copies of all industrial relations plans. Destroy when reference ceases NORMAL Policy 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. 1446 Records documenting the development and establishment of the agency's industrial relations policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Retain as national archives NORMAL 1447 Records documenting comments made on the development of government-wide industrial relations policies. Destroy 3 years after promulgation of the new policy NORMAL 1448 Working papers documenting the development of all industrial relations policies. Destroy 3 years after promulgation of the new policy NORMAL 1449 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1450 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the industrial relations function. Destroy 5 years after procedures are superseded NORMAL 1451 Records documenting the development of agency procedures supporting the industrial relations function. Destroy 2 years after completion of procedures NORMAL 1452 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1453 Final version of formal internal reports and reports made to external agencies relating to the industrial relations function. Destroy 5 years after action completed NORMAL 1454 Final version of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the industrial relations function. Destroy 3 years after action completed NORMAL 1455 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 1 year after action completed NORMAL 1456 Copies of industrial relations reports. Destroy when reference ceases NORMAL Research The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc used to support development of projects, standards, guidelines etc and the business activities of the organisation in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc. 1457 Records documenting detailed research carried out to support the industrial relations function. Destroy 3 years after research is completed NORMAL 1458 Records documenting routine research carried out to support the industrial relations function. Destroy when reference ceases NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 20954 Records documenting risk management relating to the industrial relations function. Includes documentation covering each stage of the process, treatment schedules and action plans. Destroy 7 years after next risk assessment NORMAL 20955 Industrial relations risk register. Destroy 7 years after next risk assessment NORMAL INFORMATION MANAGEMENT The function of managing the organisation's information resources. Includes creating, capturing, registering, classifying, indexing, storing, retrieving and disposing of records and developing strategies to manage records. Also includes the acquisition, control and disposal of library and other information products, items kept for reference purposes and the provision of services to internal and external customers, based on information resources. Data administration, archival records and the handling of Freedom of Information (FOI) requests are also classified under this keyword. Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 1470 Records documenting the receipt and provision of advice provided on the information management function. Destroy 1 year after action completed For handling enquiries from employees or other government organisations, use INFORMATION MANAGEMENT - Enquiries. NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. 1471 Final version of agreements made covering the information management function (eg agreements made with National Library of Australia for Kinetica services and agreements made under Section 35 of the current Archives Act, 1983). Destroy 7 years after expiry of agreement For managing financial transactions associated with any agreement, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payment. NORMAL 1472 Records documenting negotiations, establishment, maintenance and review of agreements. Destroy 7 years after expiry of agreement NORMAL Audit The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the organisation in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. 1473 Final internal and external audit report relating to the information management function. Includes the final reports from audits conducted by the Privacy Commissioner or the Australian National Audit Office. Destroy 5 years after action completed NORMAL 1474 Records documenting the planning and conduct of internal and external audits relating to the information management function. Includes: • liaison with the auditing body • minutes of meetings • notes taken at opening and exit interviews • draft report • comments. Destroy 5 years after action completed NORMAL 1475 Records documenting recordkeeping audits. Includes file census. Destroy when results of the file census have been recorded in control records NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 1476 Delegations of powers to agency staff to authorise administrative action relating to the information management function. Destroy 3 years after delegation superseded NORMAL 1477 Authorisations for administrative actions relating to the information management function. Destroy 3 years after authorisation superseded NORMAL Cases This activity descriptor should be used where there is a need to keep a number of activities together on one file, for legislative or operational reasons. Case files relate to particular incidents, persons, organisations or clients. For the application of the privacy principles to an agency's recordkeeping practices and development of access restrictions, use INFORMATION MANAGEMENT - Privacy. For registers of cases, use INFORMATION MANAGEMENT - Control. 1478 Records documenting requests for public access to records and documents under the FOI Act, the Privacy Act, the Archives Act and other legislation specific to the agency that: • set a precedent • lead to a change of policy • relate to issues of national significance • relate to issues of public controversy • result in appeals to the Administrative Appeals Tribunal or the Federal or High Court. Retain as national archives NORMAL 1479 Records documenting recurring or protracted requests received from the public for access to records and documents under the FOI Act, the Privacy Act, the Archives Act and other legislation specific to the agency. Destroy 10 years after completion of case NORMAL 1480 Records documenting requests for public access to records and documents under the FOI Act, the Privacy Act, the Archives Act and other legislation specific to the agency where: • there has been an internal review • where complaints have been lodged with the Ombudsman • where there have been negotiations between an individual and the agency relating to the amendment or alteration of records. Destroy 5 years after action completed NORMAL 1481 Records documenting requests for public access to records and documents under the FOI Act, the Privacy Act, the Archives Act and other legislation specific to the agency for: • less complex requests • applications which are not proceeded with (eg where requests are withdrawn, lapse because of non-payment of application fees or are referred to another agency). Destroy 2 years after action completed NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 1482 Records of internal and external committees formed to consider matters relating to the information management function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 5 years after action completed NORMAL 1483 Working papers documenting the conduct and administration of committees which consider matters relating to the information management function. Includes: • agenda • notices of meetings • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1484 Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the information management function (eg Australian Standard AS 4390-1996 Records Management). Destroy 3 years after action completed NORMAL 1485 Records documenting the compilation of a list of file titles in accordance with Senate Continuing Order No. 5. Destroy 1 year after action completed For the submission of the file title list to Parliament, use GOVERNMENT RELATIONS - Submissions. NORMAL Conservation The activities involved in the preservation, protection, maintenance, restoration and enhancement of properties, including buildings and land, and information resources and artefacts. This Function/activity set should not be used by agencies where conservation supports a core function. In these instances coverage should be included in such agencies own functional Records Authority. 1486 Records documenting the management of agency conservation projects for the preservation of records and other information resources. Destroy 5 years after project is completed NORMAL 1487 Records documenting routine preservation activities undertaken on agency records, library and other information resources. Includes book binding and repairs. Destroy when reference ceases NORMAL 1488 Records documenting specialised conservation treatment for agency records (eg for specific groups of records such as photographs). Destroy when treated records are disposed of NORMAL Control The activities associated with creating, maintaining and evaluating control mechanisms. Includes classification, indexing, registration, forms design etc. to ensure maximum control over records and recordkeeping systems. Also includes control mechanisms for other information resources and systems. 1490 Master control records for agency recordkeeping systems (both paper and electronic) for central, state, local, and overseas area offices. Includes: • mandatory elements listed in National Archives' Recordkeeping Metadata Standards for Commonwealth Agencies • registers of inwards/outwards correspondence (including Ministerial correspondence) • registers and indexes giving details of control numbers, titles, date, disposal details • file movement cards (if they also constitute the main control record or have been used to record disposal detail) • list of records destroyed, if master control records are not annotated • registers of case files (eg personnel and compensation case files registers.) Retain as national archives NORMAL 1491 Control records documenting library systems. Includes: • catalogues • authority files of subject heading • classification schemes • thesauruses created by libraries for specialised use • loan and inter-library loan records. Destroy when reference ceases For copies of invoices relating to payments for inter-library loans, use INFORMATION MANAGEMENT - Acquisitions. NORMAL 1492 Ancillary records documenting the control of agency records, library and information resources. Includes: • chronological sets of inwards and outwards correspondence • file movements records (if they are a secondary control record to the main registers and indexes and have not been used to record disposal details) • reference sets of master control records • reference sets of control records compiled and held by business units • resubmit lists/notices • barcode lists • location lists Destroy when reference ceases NORMAL 1493 Master copy of file classification systems or an agency's authorised business classification schemes (currently created using the methodology of the Australian Standard AS 4390. 1996 Records Management) and abbreviations used in paper and electronic systems. Retain as national archives NORMAL 1494 Records documenting the creation, maintenance and evaluation of an agency record titling thesauruses. Includes master copy of the thesaurus. Retain as national archives For agency documentation of its functional analysis, the development of its business classification scheme and the recordkeeping requirements necessary for the creation of an agency Records Disposal Authority and functional thesaurus, use INFORMATION MANAGEMENT - Policy. NORMAL 1495 Business rules and configuration settings for agency metadata. Includes developmental records and requests for changes. Retain as national archives For the application, allocation and maintenance of the metadata in electronic systems, other than those covered by the Information Management function, use TECHNOLOGY & TELECOMMUNICATIONS - Control. NORMAL 1496 Records documenting the receipt and dispatch of agency mail. Includes receipts for registered and certified mail. Destroy 3 years after action completed For records supporting security requirement for the dispatch of classified mail, use INFORMATION MANAGEMENT - Security. For the internal distribution of agency mail, use INFORMATION MANAGEMENT - Distribution. NORMAL 1497 Records documenting forms design. Destroy 7 years after action completed For the printing of forms, use PUBLICATION - Production. NORMAL Customer Service The activities associated with the planning, monitoring and evaluation of services provided to customers by the organisation. 1498 Records documenting the planning, monitoring and evaluation of specific services provided to customers of libraries, archives and records management units. Includes customer surveys. Destroy 3 years after action completed NORMAL 1499 Records documenting the development of service charters and directives relating to the provision of information management services. Includes final copies of charters. Destroy when superseded For the production of the service charter, use PUBLICATION - Planning and PUBLICATION - Production. NORMAL 1500 Records documenting the management of a library or a records management unit enquiry desk. Destroy when reference ceases NORMAL 1501 Records documenting the management and use of translation services. Destroy 1 year after action completed NORMAL Data Administration The activities associated with maintaining and using the data that is held in a system, either automated or manual. Includes the maintenance of data dictionaries. 1502 Records documenting the migration of records between formats or from one medium to another (eg paper to electronic ie scanning of paper records into an electronic system). Includes quality assurance checks to confirm the accuracy of information transfer. Destroy 1 year after action completed [For migration strategies and quality assurance checks for migration between electronic systems and from one electronic medium to another, use TECHNOLOGY & TELECOMMUNICATIONS - Data Administration. For direction on the destruction of records of short term value that have been copied, use the General Disposal Authority for Source Records that have been Copied, Converted or Migrated.] NORMAL Disposal The process of disposing of property no longer required by the organisation, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer to archives, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage. For the development of Records Disposal Authorities specific to the operations of an agency, use INFORMATION MANAGEMENT - Policy. 1503 Records documenting the transfer, destruction and storage of records according to National Archives directives. Includes copies of: • transfer proposals • consignment lists • lists of records destroyed • lists of records transferred to alternative storage providers. Destroy when reference ceases For lists of records destroyed if master control records are not annotated, use INFORMATION MANAGEMENT - Control. For the transfer of records to another agency following an administrative change, use INFORMATION MANAGEMENT - Restructuring. NORMAL 1504 Records documenting the transfer of custody, under archives legislation (currently Section 24 (2) (b) of the Archives Act 1983), to or from a contractor under an outsourcing arrangement. Destroy 3 years after contract is terminated or completed NORMAL 1505 Records documenting arrangement for the transfer of ownership of records under archives legislation, (currently Section 24 (2) (b) of the Archives Act 1983), following the corporatisation and privatisation of an agency, or part of an agency. Includes liaison with the National Archives. Retain as national archives NORMAL 1506 Records documenting the culling of library collections and collections of non-agency publications in accordance with Purchasing Australia's Guidelines for Surplus Asset Disposal, Canberra, Australian Government Publishing Service, 1996. Destroy when reference ceases For the disposal of duplicate agency publications, use PUBLICATIONS - Disposal. NORMAL Distribution The activities associated with disseminating items, correspondence, or publications through sales, deliveries, or other customer services. 1507 Records documenting the internal and external distribution of correspondence and other information items (eg paper files, newspaper clippings and mail) within the agency. Includes: • distribution lists • advice on changes of location. Destroy when superseded NORMAL Donations The activities associated with managing money, items, artefacts or property donated to the organisation, or by the organisation and or its staff to charities etc. Includes managing unsolicited donations. This function/activity set should not be used by agencies where public donations are used to support core functions (eg National Library of Australia) or by institutions accepting donations under Commonwealth Gift schemes (eg Cultural Gifts Program). In these instances coverage should be included in such agencies own functional Records Authority. 1508 Records documenting donations of library or manuscript materials to an agency. Includes liaison with the owner on conditions of donation. Destroy 7 years after disposal of item For the disposal of library material after culling collections, use INFORMATION MANAGEMENT - Disposal. NORMAL Enquiries The activities associated with handling requests for information about the organisation and its services by the general public, agency employees or another organisation. For enquiries received from the general public about the agency's programs, products and services, use COMMUNITY RELATIONS - Enquiries. For the management of requests from the public for access to records under the FOI, Privacy and Archives Acts and other Acts specific to the agency, use INFORMATION MANAGEMENT - Cases. 1509 Records documenting the handling of enquiries from agency employees or another government organisations covering the information management function. Includes records relating to the National Archives lending service. Destroy 1 year after action completed For records supporting library loans and inter-library loans, use INFORMATION MANAGEMENT - Control. For records relating to copies of inter-library loan payments, use INFORMATION MANAGEMENT - Acquisitions. NORMAL 1510 Records documenting the management of discovery orders and subpoenas. Includes detailed lists and copies of records found. Destroy 3 years after action completed NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. For the evaluation of the technological aspects of library and recordkeeping systems, use TECHNOLOGY & TELECOMMUNICATIONS - Evaluation. 1511 Records documenting the evaluation of potential or existing information management services and systems. Includes the evaluation of library and recordkeeping systems. Destroy 7 years after evaluation completed [For the evaluation of goods and services being considered for procurement in support of the information management function, use PROCUREMENT – Evaluation.] NORMAL Implementation The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes the installation of equipment. Also includes monitoring to ensure that the implementation goes according to schedule and that standards are met and includes first aid treatment. 1512 Records documenting the implementation of library system and recordkeeping systems within an agency. Destroy 7 years after implementation is completed For staff training to implement a new system, use STAFF DEVELOPMENT - Training. For the technological aspects of implementing library and recordkeeping systems, use TECHNOLOGY & TELECOMMUNICATIONS - Implementation. NORMAL 1513 Records documenting the implementation of vital records plans and counter-disaster plans after disasters such as fire or floods, and implementation of emergency destruction plans covering the organisation's information resources. Includes a copy of current plan implemented for the disaster recovery process. Retain as national archives For the development of the counter-disaster plan, vital records plan, and other plans relating to the information management function, use INFORMATION MANAGEMENT - Planning. NORMAL Inspections The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives. 1514 Records documenting inspections of agency records by a monitoring agency such as the National Archives and the Australian National Audit Office or any inspections of copyright records. Destroy 4 years after action completed For copies of copyright declaration forms, use INFORMATION MANAGEMENT- Intellectual Property. For records relating to formal audits, use INFORMATION MANAGEMENT - Audit. NORMAL Intellectual Property The activities involved in managing the agency's intellectual property, both published and unpublished, and the use of material held by the agency in which another party owns the intellectual property. Includes the management of copyright, design, patents and trademarks, royalties and matters of confidentiality such as trade secrets which are not available to the public under Freedom of Information (FOI) legislation. For applications made to reproduce published material, use PUBLICATIONS – Intellectual Property. For the establishment and general management of an agency’s intellectual property, use LEGAL SERVICES - Intellectual Property. 1515 Records documenting the management of copying services in an agency. Includes the administration of payments made to collecting societies and any sampling undertaken to support the payment process. Destroy 7 years after action completed For the payment of money to collecting societies, use FINANCIAL MANAGEMENT - Payments. For guidelines and procedures to support the administration of reproduction services in the agency, use INFORMATION MANAGEMENT - Procedures. NORMAL 1516 Copyright declaration forms. Destroy 4 years after action completed For inspections carried out by copyright owners of declaration forms and other records supporting the administration of copyright in the agency, use INFORMATION MANAGEMENT - Inspections. NORMAL Inventory The activities associated with listing and preparing lists of items and assets in the possession of the organisation. For the conduct of a file census, use INFORMATION MANAGEMENT - Audit. For inventories of records transferred between agencies following an administrative change, use INFORMATION MANAGEMENT - Restructuring. For lists of records transferred to the National Archives or alternative storage providers, use INFORMATION MANAGEMENT - Disposal. For inventories of equipment used in information management areas, use EQUIPMENT & STORES - Inventory. 1517 Routine inventories of library materials. Includes inventories created for shelf checking. Destroy 1 year after action completed NORMAL Marketing The process of analysing, creating and selling products and services. Includes market research, sales forecasting, advertising, media releases, promotion, pricing and product evaluation. 1518 Records documenting the promotion of library and records management unit services. Includes customer profiles. Destroy when reference ceases For training staff in the efficient use of an agency information unit, use STAFF DEVELOPMENT - Training. NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1519 Final version of minutes and supporting documents tabled at meetings held to support the information management function. Includes meetings with external agencies. Destroy 3 years after action completed NORMAL 1520 Working papers documenting the conduct and administration of meetings held to support the information management function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. 1521 Final versions of agency-wide information management plans. Includes: • Vital records plans • Emergency destruction plans • Counter-disaster plans Destroy 5 years after plan is superseded For the implementation of a counter-disaster plan, vital records plan and emergency destruction plan covering the information management function, use INFORMATION MANAGEMENT - Implementation. NORMAL 1522 Final version of a section or business unit's information management plans, including state, regional or overseas office. Destroy 3 years after plan is superseded NORMAL 1523 Working papers used to develop all information management plans. Includes draft plans, reports analysing issue, and comments received from areas of the agency. Destroy when reference ceases NORMAL 1524 Copies of all information management plans. Destroy when reference ceases NORMAL Policy 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. 1525 Records documenting the development and establishment of the agency's information management policies. Includes: • Information management security policy • Library collection development policy • Recordkeeping policy • E-mail policy. Includes policy proposals, research papers, results of consultations, supporting reports and major drafts and the final policy documents. Destroy 5 years after policy is superseded NORMAL 1526 Records documenting comments made on the development of government-wide information management policies. Destroy 3 years after promulgation of the new policy NORMAL 1527 Working papers documenting the development of information management policies. Includes drafts and input from other areas of the agency. Destroy 3 years after promulgation of the new policy NORMAL 1528 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL 1530 Snapshot of agency's recordkeeping requirement data taken at the point when recordkeeping instructions are issued. Destroy 5 years after recordkeeping instruction is superseded NORMAL 1531 Records documenting the on-going maintenance and review of agency recordkeeping. Destroy when reference ceases NORMAL 20956 Records documenting the creation of the agency's records authority. Includes supporting documentation required by the National Archives and a copy of the final authority. Destroy 20 years after authority is superseded [For the master copy of the business classification schemes developed to support the creation of the agency’s records authority, use INFORMATION MANAGEMENT - Control. For records documenting the transfer, destruction and storage of records, use INFORMATION MANAGEMENT - Disposal. For the recordkeeping risk assessment report, use INFORMATION MANAGEMENT – Risk Management.] NORMAL Privacy The activities associated with applying the principles of privacy. Includes data protection in relation to privacy. Also includes the process of collection, handling, use and disclosure of records of a private, personal, or confidential nature to maintain that the rights of a living person (or immediate family) are secure from unauthorised disclosure or access to such information. For negotiations between an individual and the agency relating to the amendment or alteration of records under the Privacy Act, use INFORMATION MANAGEMENT - Cases. For privacy audits, use INFORMATION MANAGEMENT - Audits. For the mechanisms to protect privacy of information, use INFORMATION MANAGEMENT - Security. For records relating to data matching exercises, use General Disposal Authority 24. 1532 Records documenting the application of the Information Privacy Principles (IPP) outlined in the Privacy Act 1988. Includes records relating to the development of access restrictions. Destroy 5 years after action completed NORMAL 1533 Investigations into alleged privacy breaches relating to information management. Includes unauthorised disposal of records containing personal information. Destroy 5 years after investigation of breach NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1534 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the information management function. Destroy when procedures are superseded NORMAL 1535 Records documenting the development of agency procedures supporting the information management function. Excludes documents supporting the development of agency recordkeeping rules. Destroy 1 year after completion of procedures NORMAL 1536 Master copy of recordkeeping rules/guidelines of the agency. Retain as national archives For recordkeeping requirements data, use INFORMATION MANAGEMENT - Policy. NORMAL 1537 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. For reporting of the agency file title list to the Senate, use INFORMATION MANAGEMENT - Compliance. 1538 Final version of formal internal reports and reports made to external agencies relating to the information management function. Destroy 5 years after action completed NORMAL 1539 Final version of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the information management function. Includes cumulative summary reports and work progress reports. Destroy 3 years after action completed NORMAL 1540 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 1 year after action completed NORMAL 1541 Copies of information management reports. Destroy when reference ceases NORMAL 1542 Responses to information management surveys requested by other agencies or by the central office of an agency. Destroy 3 years after action completed For customer services surveys, use INFORMATION MANAGEMENT - Customer Services. NORMAL Research The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc used to support development of projects, standards, guidelines etc and the business activities of the organisation in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc. 1543 Records documenting detailed research carried out to support the information management function. Destroy 3 years after research is completed NORMAL 1544 Records documenting routine research carried out to support the information management function. Destroy when reference ceases NORMAL Restructuring The activities involved in the reassessment of the activities, goals and structure of an organisation. Includes consideration of the number of staff, their position descriptions, equipment, and other resources required to meet objectives. 1545 Records documenting functions which have been transferred to another Commonwealth agency or institution. Transfer to Commonwealth agency or institution For the transfer of records documenting functions transferred to a non-Commonwealth institution, refer to the National Archives for authorisation. NORMAL 1546 List of records and other supporting documentation for transferring records to another agency following an administrative change. Destroy when the new information is transferred to master control records NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1547 Records documenting a review of agency programs and operations supporting the information management function. Includes documents establishing the review, final version of the report and the action plan. Destroy 5 years after action completed NORMAL 1548 Working papers documenting a review of agency programs and operations supporting the information management function. Destroy 2 years after action completed NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 1549 Records documenting risk management relating to the information management function. Includes documentation covering each stage of the process, treatment schedules and action plans. Destroy 7 years after next risk assessment NORMAL 1550 Risk register relating to the information management function. Destroy 7 years after next risk assessment NORMAL Security The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks. For breaches of privacy of information, use INFORMATION MANAGEMENT - Privacy. 1551 Records documenting major security breaches where classified records and information have been removed from official custody and passed to a third party. Includes referral to law enforcement authorities. Retain as national archives For disciplinary action against staff for security related breaches involving records and information, use PERSONNEL - Discipline. NORMAL 1552 Records documenting minor security breaches where classified records and information have not been appropriately secured. Destroy 5 years after last action For disciplinary action against staff for security related breaches involving records and information, use PERSONNEL - Discipline. NORMAL 1553 Records documenting the management of security arrangements for handling records and information (eg mail) within an agency. Includes: • classified document registers (eg register of Cabinet documents) • safe hand registers • safe hand receipts. Destroy 5 years after last action For the destruction of classified waste, use PROPERTY MANAGEMENT - Maintenance. NORMAL Standards The process of implementing industry or organisational benchmarks for services and processes to enhance the quality and efficiency of the organisation. For compliance with standards (except where other activities apply), use INFORMATION MANAGEMENT - Compliance. 1554 Records documenting the implementation of industry and agency standards to support the information management function (eg Australian Standard AS 4390. 1996 Records Management). Destroy 7 years after standard is implemented NORMAL Submissions 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, or within the organisation, for the purpose of either gain or support. 1555 Records documenting the preparation of agency submissions seeking support for an information management project. Destroy 3 years after action completed NORMAL Suggestions The process of using suggestions from personnel and the public to improve the services and processes of the organisation. 1556 Records documenting suggestions received and used to improve information management services. Destroy 2 years after action completed NORMAL LEGAL SERVICES The function of providing legal services to the organisation. Includes the interpretation and provision of advice to the organisation regarding legal matters, the drawing up of legal agreements and the handling of legal actions and disputes. Also includes legal advice received from in-house consultants and external sources. Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 1569 Copies of legal advice. Destroy when reference ceases For payments made to legal providers, use FINANCIAL MANAGEMENT - Accounting. NORMAL 21021 Records documenting the receipt or provision of advice by an internal or external legal service provider relating to: • Cabinet matters • international law • national security • agency-wide industrial issues • interpretation of an agency's own legislation • proposal for new or amended agency legislation. Includes instructions to the provider, records of ongoing discussions, revisions of instructions, drafts and final advice. Retain as national archives [For advice given on claims, infringements, inquiries, intellectual property and litigation, use these activities attached to LEGAL SERVICES.] NORMAL 21022 Records documenting the receipt or provision of all other advice by an internal or external legal service provider. Destroy 5 years after action completed NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. For all asbestos-related claims relating to the Asbestos-related Claims (Management of Commonwealth Liabilities) Act 2005, transfer records to the central agency with legislative responsibility for the management of asbestos liability in the Commonwealth (currently Comcare). 1570 Final versions of agreements made covering the legal services function and supporting documents Destroy 7 years after expiry or other termination of agreement NORMAL 1571 Signed deeds of release and deeds of indemnity and other similar agreements and supporting documents. Destroy after indemnity ceases NORMAL 1573 Signed agreement and contracts under seal and supporting records: Victoria and South Australia. Destroy 15 years after completion or other termination of contract NORMAL 20957 Signed agreements and contracts under seal prior to 15 November 2005 and supporting records: Western Australia. Destroy 21 years after completion or other termination of contract NORMAL 20958 Signed agreements and contracts under seal and supporting records: New South Wales, Western Australia (from 15 November 2005), Queensland, Australian Capital Territory and the Northern Territory. Destroy 12 years after completion or other termination of contract NORMAL 20959 Signed simple contracts and agreements and supporting records. Destroy 7 years after completion or other termination of agreement or contract NORMAL Claims The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property. 1576 Records documenting the provision of legal representation relating to claims that do not proceed to litigation or settlement by an agreement. Includes withdrawn claims. Destroy 7 years after settlement or withdrawal of claim [For a claim proceeding to a lawsuit or other legal proceedings, use LEGAL SERVICES - Litigation. For negotiations and drafting of final copies of deeds of release and deeds of indemnity for the settlement of claims, use LEGAL SERVICES - Agreements. For settlement of COMPENSATION and OH&S claims without legal intervention, use those functions. For all asbestos-related claims relating to the Asbestos-related Claims (Management of Commonwealth Liabilities) Act 2005, transfer records to the central agency with legislative responsibility for the management of asbestos liability in the Commonwealth (currently Comcare). NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 1577 Records of internal and external committees formed to consider matters relating to the legal services function. Includes: • documents establishing the committee • final version of minutes • copies of legal advice • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 5 years after action completed NORMAL 1578 Working papers documenting the conduct and administration of committees which consider the legal services function. Includes: • agenda • notices of meetings • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1579 Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the legal services function. Includes those set out in: • Legal Services Directions issued by the Attorney-General under Section 55ZF of the Judiciary Act 1903 • Quality System Guidelines AS/NZS 3905:6:1995 for the Legal Profession. Destroy 7 years after action completed NORMAL Infringements The activities associated with handling breaches of rules. Includes driving or traffic infringements and infringements of the organisation's intellectual property. 1581 Records documenting infringements or breaches of mandatory standards, rules or statutory requirements that do not proceed to litigation. Includes notifications of breaches and investigations and negotiations. Destroy 7 years after action completed [For cases that proceed to litigation, use LEGAL SERVICES - Litigation. For driving or traffic infringements, use FLEET MANAGEMENT - Infringements. For industrial relations infringements incurred by the agency, use INDUSTRIAL RELATIONS – Infringements. For infringements by staff, use PERSONNEL - Infringements.] NORMAL Inquiries 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, Parliamentary and Ombudsman's inquiries. Includes the organisation's participation in the inquiry by providing evidence in the form of records, submissions or staff. 1582 Records documenting legal support given to an agency either conducting an inquiry or participating in an inquiry. Destroy 3 years after final report of inquiry is released For a consolidated record of an agency's involvement in an inquiry, including agency submissions, use GOVERNMENT RELATIONS - Inquiries. NORMAL Intellectual Property The activities involved in managing the agency's intellectual property, both published and unpublished, and the use of material held by the agency in which another party owns the intellectual property. Includes the management of copyright, design, patents and trademarks, royalties and matters of confidentiality such as trade secrets which are not available to the public under Freedom of Information (FOI) legislation. For handling infringements of an agency’s intellectual property, use LEGAL SERVICES - Infringements. For the management of an agency’s copying services, including management of copyright declaration forms, use INFORMATION MANAGEMENT – Intellectual Property. For the payment and receipt of royalties, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1583 Records documenting the establishment and general management of an agency's intellectual property. Includes: • patents • trademarks • designs • plant breeder's rights • circuit layouts • trade secrets • all forms of copyright. Destroy 3 years after intellectual property rights lapse For the management of copyright arrangements for publications, use PUBLICATION - Intellectual Property. NORMAL 1584 Records documenting unsuccessful or abandoned attempts to establish intellectual property rights. Destroy 7 years after action completed NORMAL Litigation The activities involved in managing lawsuits or legal proceedings between the agency and other parties in a court or other tribunal. Includes briefs for counsel; copies of documents required by or lodged with a court; consultation with the Attorney-General's Department and other agencies; and records documenting compliance with court instructions, eg subpoenas and discovery orders. For all litigation records pertaining to asbestos-related claims relating to the Asbestos-related Claims (Management of Commonwealth Liabilities) Act 2005, transfer records to the central agency with legislative responsibility for the management of asbestos liability in the Commonwealth (currently Comcare). 1585 Records documenting litigation matters where legal precedents are set. Retain as national archives NORMAL 1586 Records documenting litigation matters that do not set legal precedents. Destroy 7 years after action ceases For appeals to decisions of a court or tribunal relating to INFORMATION MANAGEMENT and COMPENSATION, use the activity Appeals against these functions. For subpoenas and discovery orders, use INFORMATION MANAGEMENT - Enquiries. NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1587 Final version of minutes and related documents tabled at meetings held to support the legal services function. Includes meetings with external agencies. Destroy 3 years after action completed NORMAL 1588 Working papers documenting the conduct and administration of meetings held to support the legal services function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. 1589 Final version of agency-wide legal services plans. Destroy 5 years after plan is superseded NORMAL 1590 Final version of a section or business unit's legal services plans, including state, regional or overseas office. Destroy 3 years after plan is superseded NORMAL 1591 Working papers used in developing all legal services plans. Includes draft plans, reports analysing issues, and comments received from and input made by other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL 1592 Copies of legal services plans. Destroy when reference ceases NORMAL Policy 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. 1593 Records documenting the development and establishment of the agency's legal services policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 5 years after policy is superseded NORMAL 1594 Records documenting comments made on the development of government-wide legal services policies. Destroy 2 years after promulgation of new policy NORMAL 1595 Working papers documenting the development of all legal services policies. Destroy 2 years after promulgation of new policy NORMAL 1596 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1597 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the legal services function. Destroy when procedures are superseded NORMAL 1598 Records documenting the development of agency procedures supporting the legal services function. Destroy 1 year after production of procedures NORMAL 1599 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1600 Final version of formal internal reports and reports made to external agencies relating to the legal services function. Destroy 5 years after action completed NORMAL 1601 Final version of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the legal services function. Destroy 3 years after action completed NORMAL 1602 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 1 year after action completed NORMAL 1603 Copies of legal services reports. Destroy when reference ceases NORMAL Research The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc used to support development of projects, standards, guidelines etc and the business activities of the organisation in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc. 1604 Records documenting detailed research carried out to support the legal services function. Destroy 5 years after action completed NORMAL 1605 Records documenting routine research carried out to support the legal services function. Destroy when reference ceases NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1606 Records documenting a review of agency programs and operations supporting the legal services function. Includes documents establishing the review, final report and action plan Destroy 5 years after action completed NORMAL 1607 Working papers documenting a review of agency programs and operations supporting the legal services function. Destroy 2 years after action completed NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 20960 Records documenting risk management relating to the legal services function. Includes documentation covering each stage of the process, treatment schedules and action plans. Destroy 7 years after next risk assessment NORMAL 20961 Legal services risk register. Destroy 7 years after next risk assessment NORMAL OCCUPATIONAL HEALTH & SAFETY (OH&S) The function of implementing and coordinating occupational health and safety and associated legislation throughout the organisation. Includes safety, occupational hygiene, ergonomic, occupational medicine and first aid measures together with policy, procedural and monitoring matters associated with the organisations' preventive and curative OH&S program. Includes the establishment of committees to investigate and advise on health and safety issues in the workplace. Accidents The activities involved in dealing with mishaps causing injury or damage. Includes damage or injury to the organisation's property or member of staff incurred while coming to, at, or leaving work, or to the general public or visitors whilst on the organisation's premises. Also includes measures to prevent accidents occurring. 1619 Accident/incident reports and supporting documentation of death, serious personal injury, dangerous occurrences and incapacity to Commonwealth employees and the public within the workplace. Includes accident registers. Destroy 30 years after last action For copies of accident reports for employees where a compensation claim is made, use COMPENSATION - Cases. For copies of accident reports where an employee is injured but no compensation claim is lodged, use PERSONNEL - Accidents. NORMAL 1620 All other accident/incident reports for Commonwealth employees retained for agency OH&S assessment purposes. Destroy 7 years after last action NORMAL 1621 Accident/incident reports of personal injuries to members of the public aged under 18 years, not resulting in claims for compensation. Destroy when person reaches 25 years of age, or 7 years after last action, whichever is later For copies of accident reports where a claim for compensation is submitted by a member of the public following an accident, use COMPENSATION - Claims. NORMAL 1622 Accident/incident reports of personal injuries to members of the public aged over 18 years, not resulting in claims for compensation. Destroy 7 years after last action For copies of accident reports where a claim for compensation is submitted by a member of the public following an accident, use COMPENSATION - Claims. NORMAL Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 1623 Records relating to the receipt and provision of advice on the OH&S function. Destroy 2 years after action completed For the distribution of promotional material to employees, use OH&S - Health Promotion. For legal advice on OH&S matters, use LEGAL SERVICES - Advice. NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. 1624 Final version of an agency OH&S agreement. Destroy 5 years after agreement is superseded NORMAL 1625 Records documenting negotiations for and establishment, maintenance and review of an agency OH&S agreement. Destroy 5 years after agreement is superseded NORMAL Appeals (decisions) The activities involved in the process of appeals against decisions by application to a higher authority. 1626 Records documenting an appeal made by the agency against an investigator's decision on a health and safety matter to the Australian Industrial Relations Commission. Destroy 5 years after action completed For any legal advice received on the conduct of the appeal, use LEGAL SERVICES - Advice. NORMAL Audit The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the organisation in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. For inspections, use OH&S - Inspections. 1627 Final reports of health and safety audits conducted by an external authority or internally by the agency. Destroy 5 years after action completed NORMAL 1628 Records documenting the planning and conduct of external and internal audits relating to the OH&S function. Includes: • liaison with the auditing body • minutes of meetings • notes taken at opening and exit interviews • draft report • comments. Destroy 5 years after action completed NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 1629 Delegations of power to agency staff to authorise administrative action relating to the OH&S function. Destroy 5 years after delegation superseded NORMAL 1630 Authorisations for administrative actions relating to the OH&S function. Destroy 5 years after action completed NORMAL Cases This activity descriptor should be used where there is a need to keep a number of activities together on one file, for legislative or operational reasons. Case files relate to particular incidents, persons, organisations or clients. 1631 Records documenting medical examinations of employees which are undertaken for health surveillance purposes as prescribed under the Occupational Health and Safety (Commonwealth Employment) Act 1991. Destroy in the year 2040 or 75 years after date of birth whichever is later For recording potential exposure to hazardous substances, including asbestos, or for records detailing that an employee was employed at places identified as containing a hazardous substance, use PERSONNEL - Employment Conditions. NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. For selection or election of employee representatives to a Health & Safety Committee and the nomination of union representatives, use OH&S - Representatives. 1632 Records of health and safety committees. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 5 years after action completed NORMAL 1633 Records of other internal committees and external committees convened by other agencies or organisations to consider general matters relating to the OH&S function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 5 years after action completed NORMAL 1634 Working papers documenting the conduct and administration of all committees formed to consider general matters relating to the OH&S function. Includes: • agenda • notices of minutes • draft minutes • arrangements with unions. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. For a risk assessment undertaken for hazardous substances, use OH&S - Risk Management. For health surveillance of individual employees exposed to hazardous substances, use OH&S - Cases. For the training of staff in handling hazardous substances, use STAFF DEVELOPMENT - Training. 1635 Records documenting compliance with provisions of the Occupational Health and Safety (Commonwealth Employment) Act 1991 and the Occupational Health and Safety (Commonwealth Employment) (National Standards) Regulations such as: • plant testing and maintenance and • applications for the registration of the design of plant. Destroy when the need for compliance ceases (eg when plant is disposed of) NORMAL 1636 Records documenting the licensing processes for the operation of plant items. Destroy when licence expires NORMAL 1637 Records documenting the identification and control of access to confined spaces. Destroy 5 years after space is no longer accessed NORMAL 1638 All notices issued under the Occupational Health and Safety (Commonwealth Employment) Act 1991 (eg Provisional Improvement Notices). Destroy 5 years after notice lapses NORMAL 1639 Records documenting environmental monitoring of hazardous substances listed in Schedule 2 of the Occupational Health and Safety (Commonwealth Employment) (National Standards) Regulations. Destroy 75 years after last action NORMAL 1640 Hazardous substance register (including asbestos register) identifying substance properties and details of their condition. Destroy 75 years after last entry For the inspection of hazardous substances including asbestos, use OH&S - Inspections. NORMAL 1641 Records documenting the payment of the annual compulsory contribution supporting the administration of the Occupational Health and Safety (Commonwealth Employment) Act 1991 required under Part 4A. Destroy 10 years after action completed NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. 1643 Records documenting the evaluation of OH&S programs and services in an agency. Includes the development of performance indicators. Destroy 5 years after last action [For the evaluation of goods and services being considered for procurement in support of the OH&S function, use PROCUREMENT – Evaluation.] NORMAL Health Promotion The process of promotion by the organisation of programs which encourage the establishment and maintenance of a healthy work environment. For records documenting the treatment or health surveillance of individual employees, use OH&S - Cases. 1644 Records documenting the management of an agency’s first aid centres and occupational health centres and facilities (eg gymnasiums). Includes: • appointment books • drug and x-ray registers • statistical summaries of operations. Destroy 5 years after last action [For the appointment of first aid officers use, OH&S - Representatives. For the provision of first aid treatment to individuals, use OH&S - Implementation. For the equipping of the centres including the supply of medical stores and equipment, use PROCUREMENT - Acquisition, and PROPERTY MANAGEMENT - Fit-outs. For the maintenance of equipment (eg autoclaves and the replenishment of first aid kits) use EQUIPMENT & STORES - Maintenance.] NORMAL 1645 Records documenting the promotion of safe work practices in the workplace. Includes the development and distribution of notices, instructions, posters and other promotional material. Destroy 5 years after action completed For the provision of OH&S training to staff, managers and OH&S Representatives, use STAFF DEVELOPMENT - Training. For the production process for any advertising material produced by the agency, use PUBLICATION - Production. NORMAL 1646 Material safety data sheets (MSDS) Destroy when hazardous material is disposed of NORMAL Implementation The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes the installation of equipment. Also includes monitoring to ensure that the implementation goes according to schedule and that standards are met and includes first aid treatment. 1647 Records documenting the provision of first aid treatment to individual employees. Destroy 5 years after last action For records relating to the management of a first aid centre, use OH&S - Health Promotion. NORMAL Inquiries 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, Parliamentary and Ombudsman's inquiries. Includes the organisation's participation in the inquiry by providing evidence in the form of records, submissions or staff. 1648 Records documenting an inquiry into an agency's performance of the OH&S function. Destroy 10 years after action completed For any legal advice provided to support the agency during the inquiry process, use LEGAL SERVICES - Advice. NORMAL Inspections The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives. For audits, use OH&S - Audits. 1649 Records documenting an OH&S inspection resulting from a major accident in the workplace (eg accidents causing fatalities, serious injuries or dangerous occurrences). Includes documents detailing complaints lodged by agencies about the way the investigation was carried out by the lead agency (currently Comcare). Destroy 75 years after last action NORMAL 1650 Records documenting routine OH&S inspections carried out under the Commonwealth's lead agency for the function (currently Comcare) Planned Investigation Program and/or self-audit program, or as a result of a safety dispute in the workplace. Includes copies of notices issued, copies of reports, and agency responses. Also includes copies of Provisional Improvement Notices (PINS) and records detailing complaints about the way an investigation was carried out. Destroy 10 years after last action For records relating to an industrial dispute undertaken in respect of an OH&S inspection, use INDUSTRIAL RELATIONS - Inspections. NORMAL 1651 Records documenting routine inspections of hazardous substances in the workplace. Destroy 75 years after last action For the hazardous substance and asbestos registers, use OH&S - Compliance. For monitoring and risk assessment, use OH&S - Risk Management. For inspections to determine the presence of asbestos or other hazardous materials, use PROPERTY MANAGEMENT - Inspections. For the removal and disposal of asbestos and other hazardous substances, use PROPERTY MANAGEMENT - Maintenance. NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1652 Final version of minutes and supporting documents tabled at meetings held to support the OH&S function. Includes meetings with external agencies. Destroy 5 years after action completed NORMAL 1653 Working papers documenting the conduct and administration of meetings to support the OH&S function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. 1654 Final versions of agency-wide OH&S plans. Includes: • OH&S plan • Asbestos management plan. Destroy 5 years after plan is superseded NORMAL 1655 Working papers used in developing agency-wide OH&S plans. Includes draft plans, reports analysing issues, and comments received from other areas of the agency. Destroy 3 years after adoption of the final plan NORMAL 1656 Copies of all OH&S plans. Destroy when reference ceases NORMAL Policy 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. 1657 Records documenting the development and establishment of an agency's OH&S policy. Includes: • policy proposals • results of consultations with unions and employees • research papers • supporting reports • major drafts • the final document. Destroy 5 years after policy is superseded For the development and review of the agency's OH&S agreement, use OH&S - Agreements. For the development and review of the agency's OH&S plan, use OH&S - Planning. NORMAL 1658 Records documenting the development and establishment of an agency asbestos policy. Includes: • policy proposals • results of consultations • research papers • supporting reports • major drafts • final policy documents. Destroy 75 years after removal of asbestos NORMAL 1659 Records documenting comments made on the development of government-wide OH&S policies. Destroy 3 years after promulgation of the new policy NORMAL 1660 Working papers documenting the development of all agency-wide OH&S policies. Includes drafts and input from other areas of the agency. Destroy when reference ceases NORMAL 1661 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1662 Master set of agency manuals, handbooks, directives etc detailing OH&S requirements for specific tasks and work procedures. Destroy 75 years after procedures are superseded For records relating to emergency procedures, use PROPERTY MANAGEMENT - Procedures. NORMAL 1663 Master set of other agency manuals, handbooks, directives etc detailing routine procedures supporting the OH&S function. Includes registers of legal responsibilities under OH&S. Destroy 5 years after action completed NORMAL 1664 Records documenting the development of agency procedures supporting the OH&S function. Destroy 5 years after production of procedures NORMAL 1665 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1666 Final copies of other reports, both formal and periodic, produced to support the OH&S function. Destroy 7 years after action completed For all accident reports sent to the lead agency (currently Comcare), use OH&S - Accidents. For copies of accident report forms where a compensation claim is made, use COMPENSATION - Cases. For copies of accident report forms where an employee is injured but no compensation claim is lodged, use PERSONNEL - Accidents. For copies of accident reports where compensation is claimed by a member of the public following an accident, use COMPENSATION - Claims. NORMAL 1667 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy when reference ceases NORMAL 1668 Copies of OH&S reports. Destroy when reference ceases NORMAL Representatives The activities associated with the nomination, appointment or resignation of individuals or groups of personnel appointed by the organisation or their co-workers as official representatives to organisations, offices, unions, workers participation committees, councils or groups. Includes organisational legal representatives. For the training of first aid officers, fire wardens and safety officers etc, use STAFF DEVELOPMENT - Training. For arranging first aid, fire and safety officer allowances etc, use PERSONNEL - Allowances. 1669 Records documenting the selection of an OH&S representative for a designated work group or to act as a first aid officer. Includes documentation on selection, lists of representatives, and resignation documentation. Destroy 1 year after term of office expires or resignation of officer NORMAL 1670 Records documenting the election of OH&S Committee representatives. Includes calling for nominations, managing the ballot and results. Destroy 6 months after action completed NORMAL 1671 Records documenting the appointment of first aid officers, fire wardens and safety officers etc. Includes letter of appointment, and details of roles and responsibilities. Destroy 1 year after appointment lapses NORMAL Research The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc used to support development of projects, standards, guidelines etc and the business activities of the organisation in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc. 1672 Records documenting detailed research carried out to support the OH&S function (eg research on the properties of a hazardous substance). Destroy 5 years after action completed NORMAL 1673 Records documenting routine research carried out to support the OH&S function. Destroy when reference ceases NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. For the review of the agency's OH&S policy, use OH&S - Policy. For the review of the agency's OH&S plan, use OH&S - Planning. For the review of the agency's OH&S agreement, use OH&S - Agreements. For the review of workplace hazards, use OH&S - Risk Management. 1674 Records documenting the review and monitoring of OH&S programs and operations. Includes documents establishing the review, final report and action plan. Destroy 10 years after action completed NORMAL 1675 Working papers documenting the conduct of an agency review and monitoring of OH&S programs and operations. Destroy 3 years after action completed NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 1676 Records documenting risk management of all OH&S hazards including hazardous substances detailed in Schedule 2 of the Occupational Health and Safety (Commonwealth Employment) (National Standards) Regulations where risk assessments indicate risk to the employees and where health surveillance and/or monitoring of the employees is necessary. Includes documentation covering each stage of the process and action plans. Destroy 75 years after last action NORMAL 1677 Records documenting risk management of OH&S hazards where risk assessments indicate no risk to the employees and where no health surveillance and/or monitoring is required. Includes documentation covering each stage of the process, treatment schedules and action plans. Destroy 30 years after last action NORMAL 1678 OH&S risk register containing environmental monitoring and health surveillance data. Destroy 75 years after last entry For environmental monitoring, use OH&S - Compliance. For health surveillance of employees, use OH&S - Cases. For recording an employee's potential exposure to asbestos or employment at places identified as containing asbestos, use PERSONNEL - Employment Conditions. NORMAL Standards The process of implementing industry or organisational benchmarks for services and processes to enhance the quality and efficiency of the organisation. For compliance with standards (except where other activities apply), use OH&S - Compliance. 1679 Records documenting the implementation of industry and agency standards to support the OH&S function (eg Approved Code of Practice for First Aid in Commonwealth Workplaces, and Australian Standard 1885.1 -1990 Workplace Injury and Disease Recording Standard). Destroy 7 years after standards are superseded NORMAL PERSONNEL The function of managing all employees in the organisation employed under the Public Service Act 1999 and previous legislation and volunteer workers. Includes review of actions, overtime, salaries, superannuation and working hours for individuals. Note: Before using this authority agencies that employ staff under legislation other than the Public Service Act 1999 should check their own enabling legislation and other regulatory directives for major variations from the Public Service Act in scope and conditions of employment. In cases where the variations differ greatly the Administrative Functions Disposal Authority is not applicable and should not be used. Coverage in such circumstances must be included under the agency's own Records Authority. Accidents The activities involved in dealing with mishaps causing injury or damage. Includes damage or injury to the organisation's property or member of staff incurred while coming to, at, or leaving work, or to the general public or visitors whilst on the organisation's premises. Also includes measures to prevent accidents occurring. 1690 Accident/incident reports where an employee is injured but no compensation claim is lodged. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later For accidents where a compensation claim is made by an employee, use COMPENSATION - Cases. For accident reports retained for OH&S purposes, use OH&S - Accidents. NORMAL Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 21133 Records relating to the receipt and provision of advice on the personnel function. Destroy 5 years after action completed NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. 1691 Records documenting negotiations, establishment and implementation of an Australian Workplace Agreement (AWA) with an individual employee. Includes an authorised version of the final agreement. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later [For collective or enterprise bargaining agreements, use INDUSTRIAL RELATIONS - Enterprise Bargaining. For performance agreements with individual employees, use PERSONNEL – Performance Management.] NORMAL 1692 Records documenting other employment agreements/contracts made with employees. Includes the agreement and records of negotiations. Destroy 7 years after separation from the APS NORMAL Allowances The activities involved in arranging and managing money paid to employees in addition to salary to cover expenses incurred in the course of employment, e.g. travelling allowances. 1693 Records documenting the payment of allowances to employees. Includes, overtime, first aid, clothing, travelling allowances and higher duties. Destroy 7 years after action completed [For the records of financial transactions relating to the payment of allowances to employees, use FINANCIAL MANAGEMENT - Salaries.] NORMAL Arrangements The activities involved in arranging for a journey or trip. Includes preparing travel itineraries, authorisations, entitlements, etc. Also includes arrangements made for delivery of equipment or goods and the usage made of facilities, vehicles, equipment and space. 1694 Records documenting arrangements for an employee to undertake a journey or trip for work related reasons. Includes arrangements for obtaining official passports and visas. Destroy 2 years after action completed NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. For the delegation of power to agency staff relating to determinations on compensation claims, use COMPENSATION – Authorisation. 1695 Delegations of power to agency staff to authorise administrative action relating to the personnel function. Destroy 7 years after delegation expires NORMAL 1696 Authorisations for administrative actions relating to the personnel function (eg authorisations to collect group certificates). Destroy 7 years after action completed NORMAL Claims The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property. 1697 Records documenting insurance claims. Includes copies of claims, reports and related correspondence. Destroy 7 years after action completed For compensation claims covering personal injury lodged by APS personnel, use COMPENSATION - Cases. For compensation claims covering personal injury lodged by volunteer workers, use COMPENSATION - Claims. NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 1698 Records of internal and external committees formed to consider matters relating to the personnel function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 3 years after action completed For consultations with Workplace Relations Committee, use INDUSTRIAL RELATIONS - Committees. For negotiations with staff and union representatives in establishing a Certified Agreement, use INDUSTRIAL RELATIONS - Enterprise Bargaining. NORMAL 1699 Working papers documenting the conduct and administration of committees held to consider matters relating to the personnel function. Includes: • agenda • notices of meetings • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1700 Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the personnel function. Destroy 7 years after action completed NORMAL Counselling The activities associated with giving advice or guidance to an employee for various reasons. 1702 Records documenting general counselling of staff. Includes: • personal counselling • new entry counselling • career counselling • work performance counselling • counselling for minor breaches to the Code of Conduct Destroy 2 years after action completed For counselling relating to a disciplinary matter, use PERSONNEL - Discipline. For post appointment counselling and counselling of unsuccessful candidates, use PERSONNEL - Recruitment. NORMAL 1703 Records documenting financial counselling of staff on separation. Includes superannuation and retirement counselling. Destroy 7 years after action completed NORMAL Discipline The activities and actions associated with the disciplinary process. Includes investigation, charges, formal inquiries, punishment and appeals. 1705 Records documenting allegations into misconduct where no follow-up investigation is made (ie where allegations are proved to be frivolous or vexatious). Destroy 18 months after action completed NORMAL 1706 Records documenting investigations of misconduct which are investigated, either by the agency or an external authority, and where allegations are proved to be unfounded and the employee has requested the retention of the records. Destroy 75 years after date of birth of employee or 7 years after last action whichever is later, or when requested by employee NORMAL 1707 Records documenting investigations of misconduct which are investigated, either by the agency or an external authority, and where allegations are proved to be unfounded and the employee has not requested the retention of the records. Destroy 18 months after investigation is completed NORMAL 20962 Records documenting investigations of misconduct (eg a breach of the Code of Conduct) or criminal activity by either the agency or an external body, which result in disciplinary action being taken. Destroy 5 years after action completed [For the carrying out of sanctions and suspensions on an employee found to have breached the Code of Conduct or found guilty of misconduct, use the relevant activity under the PERSONNEL function (eg PERSONNEL – Salaries and/or PERSONNEL - Separations). For appeals against a decision on a misconduct charge, use PERSONNEL - Reviews (decisions).] NORMAL Employment Conditions The activities associated with managing the general conditions of employment for personnel. 1708 Records documenting the appointment of heads of executive agencies. Includes report from departmental Secretary on the vacancy, the Ministerial instrument of appointment and arrangements on remuneration and other employment conditions. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later For employment agreements/contracts (eg Australian Workplace Agreements), use PERSONNEL - Agreements. For termination of appointment of heads of executive agencies, use PERSONNEL - Separations. NORMAL 1710 Records documenting potential exposure to hazardous substances, including asbestos, or records detailing that an employee was located at places identified as containing hazardous substances. Destroy in the year 2040 or 75 years after date of birth whichever is later For health surveillance of employees who have been exposed to hazardous substances, use OH&S - Cases. NORMAL 1711 Records documenting the appointment of non-ongoing employees (formerly known as temporary employees). Destroy 7 years after termination of appointment For agreements/contracts undertaken with non-ongoing employees, use PERSONNEL - Agreements. NORMAL 1712 Records documenting the engagement of volunteers and students undertaking work experience placements. Includes personal details, agreed undertakings relating to conditions of engagement and details of work performed. Destroy 2 years after engagement ceases For insuring volunteer/ work experience workers, use PERSONNEL - Insurance. For compensation claims lodged by volunteer/ work experience workers, use COMPENSATION - Claims. NORMAL 1713 Records supporting higher duty arrangements. Destroy 7 years after action completed For arranging the payment of high duties allowances, use PERSONNEL - Allowances. NORMAL 1714 Records documenting redeployment of SES personnel. Includes reassignment both at level and to a lower classification. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later NORMAL 1715 Records documenting the reduction in the classification of an APS employee either with or without the employees consent. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later For disciplinary action leading to a reduction in the classification of an employee, use PERSONNEL - Discipline. NORMAL 1716 Records documenting the management of personnel under employment schemes (eg apprenticeships, scholarships, cadetships and traineeships). Destroy 7 years after completion of training NORMAL 1717 Records documenting the management of non-Commonwealth remuneration for performing duties as an APS employee. Destroy 7 years after action completed NORMAL 1720 Records documenting the management of rosters. Destroy 1 year after action completed NORMAL 20963 Records documenting the consolidated employment history of all ongoing employees (formerly known as permanent officers) and SES employees from initial appointment and subsequent promotions and details of higher duties undertaken. Includes: • letter of appointment and conditions of engagement • letter of acceptance • details of assigned duties (initial and subsequent variations) • probation reports • medical examinations/ health declarations • records detailing personal particulars and supporting documentation (eg birth certificates) • evidence of educational qualifications • declarations of any conflicts of interest • undertakings to preserve official secrets. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later [For employment agreements/contracts (eg Australian Workplace Agreements), use PERSONNEL - Agreements. For pre-employment security checks, use PERSONNEL - Security. For salary and superannuation related records completed on appointment, use PERSONNEL - Salaries. For reviews of recruitment decisions, use PERSONNEL - Reviews (decisions). For moving personnel from one location to another to take up an appointment, use PERSONNEL - Moving.] NORMAL 20964 Records documenting the redeployment of APS employees. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later NORMAL 20965 Attendance records for employees. Includes: • attendance books • clock on/off cards • flextime sheets • overtime records. Destroy 7 years after action completed NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. 1721 Records documenting the evaluation of existing and potential programs and services supporting the personnel function. Destroy 5 years after action completed [For the evaluation of equipment, goods and services being considered for procurement in support of the personnel function (eg training packages), use PROCUREMENT – Evaluation. For the evaluation of strategic personnel programs, use STRATEGIC MANAGEMENT - Evaluation. For the evaluation of the performance of individual employees against performance agreements, use PERSONNEL - Performance Management.] NORMAL Grievances The activities associated with the handling and resolution of grievances. Includes handling complaints over perceived discrimination, or those arising over work environment, work organisation or distribution, peers, supervisors or subordinates. Also includes complaints regarding the provision of access to opportunities such as training, equipment, promotion or higher duties. 1722 Records documenting formal grievances lodged by an individual employee and considered either internally within the organisation and/or by an external body. Includes notes of meetings, reports and recommendations. Destroy 5 years after action completed For records covering disciplinary action resulting from a grievance, use PERSONNEL - Discipline. For records covering grievances lodged by a number of employees, use INDUSTRIAL RELATIONS - Grievances. For appeals against decisions (eg promotion), use PERSONNEL - Reviews (decisions). NORMAL Infringements The activities associated with handling breaches of rules. Includes driving or traffic infringements and infringements of the organisation's intellectual property. 1723 Records documenting infringements by an employee. Destroy 18 months after action completed For infringements which lead to disciplinary action, use PERSONNEL - Discipline. For the management of driving infringements, use FLEET MANAGEMENT - Infringements. NORMAL Insurance The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the organisation's premises or whilst engaged during employment. For workers compensation insurance, use COMPENSATION - Insurance. For managing financial transactions supporting insurance activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1724 Insurance policies supporting the management of the personnel function (eg for personal and household effects being moved overseas and insuring volunteer workers). Destroy 7 years after action completed NORMAL 1725 Records documenting the annual renewal of insurance policies. Destroy 1 year after policy expires NORMAL Leave The process of administering leave for which staff are eligible. Includes unauthorised leave taken by staff. 1726 Consolidated leave history records. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later NORMAL 1727 Records documenting long service leave, parental leave, military leave and leave without pay exceeding 5 days in any one calendar year (ie leave used to calculate entitlements for superannuation or long service leave). Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later NORMAL 1728 Records documenting all other leave (with and without pay). Includes: • sick leave (including war service sick leave) • recreation leave • special and personal leave • study leave • jury service and • Defence training leave. Destroy 7 years after action completed NORMAL Marketing The process of analysing, creating and selling products and services. Includes market research, sales forecasting, advertising, media releases, promotion, pricing and product evaluation. 1729 Records documenting recruitment campaigns run by an agency (eg graduate employment schemes). Destroy 3 years after action completed [For records documenting applications for employment resulting from a recruitment campaign, use PERSONNEL – Recruitment.] NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1730 Final version of minutes and supporting documents tabled at meetings held to support the personnel function. Destroy 3 years after action completed NORMAL 1731 Working papers documenting the conduct and administration of meetings held to support the personnel function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Moving The process of relocation of an agency, business unit, workgroup or individual. For relocation of workgroups, use PROPERTY MANAGEMENT - Moving. 1732 Records documenting the relocation of an employee and their family’s personal effects. Includes arrangements made for the storage of personal and household effects at Commonwealth expense. Destroy 3 years after action completed [For any insurance claims made for loss or damage to property, use PERSONNEL - Insurance. For managing financial transactions supporting the moving of an employee, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payment.] NORMAL Performance Management The process of identifying, evaluating, and developing corporate and employee work performance so that the organisation's goals and objectives are achieved and also benefiting employees through recognition, performance feedback, catering for work needs and offering career guidance. 1733 Records documenting the management of agency performance management schemes. Destroy 5 years after action completed For the development of agency performance management schemes, use PERSONNEL - Policy. For the development, implementation and operation of performance management schemes for members of governing bodies, use GOVERNING BODIES – Performance Management. For training of staff in the conduct of agency performance management schemes, use STAFF DEVELOPMENT - Training. NORMAL 1734 Performance agreements with individual employees. Includes final version of agreement, notes from meetings with employees and assessment and review reports. Destroy 2 years after agreement is superseded For Australian Workplace Agreements and other agreements/contracts covering the employment of individual employees, use PERSONNEL - Agreements. For Certified Agreements made under the Workplace Relations Act 1996, use INDUSTRIAL RELATIONS - Enterprise Bargaining. NORMAL 1735 Records documenting the conferring of awards (honours) on individuals, staff members and teams in recognition of achievements. Destroy 5 years after action completed NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. For broad level human resource planning, use STRATEGIC MANAGEMENT - Planning. For individual development plans produced as part of a performance agreement, use PERSONNEL - Performance Management. 1736 Final versions of agency-wide personnel plans (eg workplace diversity plan or succession plan). Destroy 5 years after plan is superseded NORMAL 1737 Final version of a section or business unit's personnel plans, including state, regional or overseas office. Destroy 3 years after plan is superseded NORMAL 1738 Working papers used to develop all personnel plans. Includes draft plans, reports analysing issues, and comments received from other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL 1739 Copies of all personnel plans. Destroy when reference ceases NORMAL Policy 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. 1741 Records documenting comments made on the development of government-wide policies relating to the personnel function. Destroy 2 years after promulgation of new policy NORMAL 1742 Working papers documenting the development of all personnel policies. Destroy 3 years after promulgation of the new policy NORMAL 1743 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL 20966 Records documenting the development and establishment of the agency’s personnel policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 7 years after policy is superseded NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1744 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the personnel function. Destroy 5 years after procedures are superseded NORMAL 1745 Records documenting the development of agency procedures supporting the Personnel function. Destroy 1 year after completion of procedures NORMAL 1746 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Recruitment The process of recruiting which includes applying for approval to fill existing vacancies, the advertising of vacant positions in the Public Service Notices, and the handling of applications, interviews, selection, culling and appointment. Also includes recruiting volunteers. For review of recruitment decisions, use PERSONNEL - Reviews (decisions). For establishing and managing agency marketing campaigns to support recruitment, use PERSONNEL – Marketing. 1748 Records documenting the management of unsolicited applications. Destroy 1 year after action completed NORMAL 20967 Records documenting the filling of vacancies in an agency. Includes both ongoing APS employees (formerly known as permanent officers) and SES officers, and non-ongoing APS employees (formerly known as temporary employees). Includes: • advertisements • applications • referee reports • psychological testing • interview assessments/exercises • interview reports • gazette notices • notification to unsuccessful applicants. Destroy 7 years after recruitment has been finalised [For letter of appointment to the successful applicant and supporting documentation, use PERSONNEL – Employment Conditions. For post recruitment counselling, use PERSONNEL - Counselling.] NORMAL Rehabilitation The process of managing programs designed to restore the injured worker to the fullest physical, psychological, social, vocational and economic usefulness of which they are capable - consistent with pre-injury status. Includes early intervention with appropriate, adequate and timely services through the use of a Rehabilitation Coordinator. 1749 Records documenting the rehabilitation of workers to full employment which are not related to a compensation case. Includes return to work plans. Retain for 7 years after completion of rehabilitation For rehabilitation records relating to compensation cases, use COMPENSATION - Cases. NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1750 Final version of formal internal reports and reports made to external agencies relating to the personnel function (eg workplace diversity report). Destroy 5 years after action completed NORMAL 1751 Final version of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the personnel function. Destroy 3 years after action completed NORMAL 1752 Records documenting surveys carried out to support the personnel function. Destroy 5 years after action completed NORMAL 1753 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 1 year after report is completed NORMAL 1754 Copies of personnel reports. Destroy when reference ceases NORMAL Representatives The activities associated with the nomination, appointment or resignation of individuals or groups of personnel appointed by the organisation or their co-workers as official representatives to organisations, offices, unions, workers participation committees, councils or groups. Includes organisational legal representatives. 1755 Records documenting the nomination, appointment, resignation from and/or termination of agency representatives on bodies considering matters relating to the personnel function. Destroy 3 years after end of the appointment For appointments on community organisations, use COMMUNITY RELATIONS - Representatives. For appointments on government bodies, use GOVERNMENT RELATIONS - Representatives. NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1756 Records documenting a review of agency programs and operations supporting the personnel function. Includes documents establishing the review, final version of report and action plan. Destroy 5 years after action completed NORMAL 1757 Working papers documenting a review of agency programs and operations supporting the personnel function. Destroy 2 years after action completed NORMAL Reviews (decisions) The activities involved in the process of reviewing actions both by an agency, or an external body. Includes reviews of promotion decisions. For disciplinary action taken as a result of a misconduct charge, use PERSONNEL - Discipline. 1758 Records documenting reviews of promotion decisions. Destroy 1 year after recruitment has been finalised NORMAL 1759 Records documenting reviews of actions, other than reviews of promotion decisions, either carried out within the agency or by an external authority. Destroy 5 years after action completed NORMAL 1760 Records documenting applications for reviews of action that were not proceeded with (eg if the application for review is considered frivolous or vexatious). Destroy 18 months after action completed NORMAL Salaries The process of managing the payment of salaries to personnel. 1763 Records documenting the management of special salary packaging arrangements. Includes Fringe Benefit Tax (FBT) arrangements. Destroy 7 years after action completed NORMAL 20968 Records supporting the payment of employees’ salaries. Includes: • payroll deduction authorities • records relating to the recovery of overpayments • deductions to satisfy a judgement debt • employee pay history records. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later [For records of financial transactions relating to the payment of salaries, use FINANCIAL MANAGEMENT - Salaries.] NORMAL 20969 Records documenting employee superannuation deductions and agency superannuation contributions. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later [For records of financial transactions relating to the payment of superannuation contributions by the agency, use FINANCIAL MANAGEMENT – Salaries.] NORMAL 20970 Employee group certificates. Destroy 5 years after separation from the APS NORMAL 20971 Records documenting taxation declarations for employees. Destroy 2 years after separation from the APS NORMAL Security The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks. For the issue of keys to employees, use PROPERTY MANAGEMENT - Security or EQUIPMENT & STORES - Security. For security breaches by an employee involving the inappropriate handling of records and/or the disclosure of information, use INFORMATION MANAGEMENT - Security. For security breaches by an employee involving premises, use PROPERTY MANAGEMENT - Security. For security breaches by an employee involving equipment and stores, use EQUIPMENT & STORES - Security. For security breaches by an employee involving the use of technology, use TECHNOLOGY & TELECOMMUNICATIONS - Security. For any disciplinary action taken against an employee for a breach of security, use PERSONNEL - Discipline. 1764 Register of security clearances and passes held by agency staff. Destroy 10 years after last entry NORMAL 1765 Records documenting the issue of security passes to employees. Destroy 5 years after pass expires NORMAL 1766 Records documenting security checks (vetting) carried out as part of pre-engagement and pre-employment checks, or periodic reviews. Destroy 5 years after separation from the APS or 6 years after the date of the last clearance check on file, whichever is sooner [For the transfer of Personal Security Files between Commonwealth and State and Territory agencies, use the General Records Authority for the Transfer of Custody and Ownership of Personal Security Files (PSFs).] NORMAL Separations The activities associated with managing any method of leaving an organisation. Includes resignation, retirement, dismissal, death, redundancy, retrenchment and dispensations of services of temporary personnel. Excludes transfers. 1767 Records documenting the separation of ongoing (formerly known as permanent officers) and SES employees. Includes: • retirements (including retirement with incentive) • resignations • voluntary redundancies • dismissal • death • retrenchment. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later For the temporary or permanent transfer of officers, use PERSONNEL - Employment Conditions. NORMAL 1768 Records documenting the termination of a non-ongoing employee before the completion of a specified term of employment. Destroy 7 years after termination NORMAL Social Clubs The activities involved in the organisation's relationship with social clubs. 1769 Records documenting staff social clubs including support and/or sponsorship given by the agency. Destroy 2 years after action completed NORMAL Suggestions The process of using suggestions from personnel and the public to improve the services and processes of the organisation. 1770 Records documenting management of staff suggestion schemes promoted by an agency. Destroy 5 years after action completed NORMAL 1771 Records of suggestions made by staff. Destroy 2 years after action completed NORMAL PROCUREMENT The function of obtaining goods and services to support an agency’s business, including the services of consultants and contractors. Includes the activities of acquisition, agreements, contracting-out and tendering. Also includes the development and review of policies and procedures to support the function, planning the procurement process, assessment and management of associated risks, auditing, authorisation of delegations and reporting. Excludes acquisition of land and construction of buildings. Also excludes procurement undertaken to support the Defence combat function. Note: This function should not be used by agencies for records covering the procurement of highly specialised or unique items of equipment or plant peculiar to agency core functions, eg military equipment for Defence, scientific research equipment for CSIRO, or nuclear materials acquired for use in the Lucas Heights Nuclear Reactor. In these cases specific coverage should be included in such agency’s own records authority. Acquisition The process of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions. For the acquisition of equipment, goods and services through a tender process, use PROCUREMENT – Tendering. For records relating to the leasing of equipment, goods and services, use PROCUREMENT – Leasing. For the acquisition of land and construction of buildings, use PROPERTY MANAGEMENT - Acquisition. For the management of contracted services, use PROCUREMENT – Contracting-out. For the initial evaluation of equipment, goods and services, including those available through the whole-of-government procurement framework, use PROCUREMENT – Evaluation. For the entry of equipment and stores into the agency’s Asset Register, use FINANCIAL MANAGEMENT – Asset Register. For managing financial transactions supporting acquisition activities, use FINANCIAL MANAGEMENT – Accounting and/or FINANCIAL MANAGEMENT – Payments. 19477 Records documenting the acquisition of equipment, goods and services where there is no tender or contracting-out process (ie where the cost of the acquisition is below the threshold for tendering or where a purchase is made against a period contract). Includes: • formal requests for quotes • orders • handover reports • correspondence relating to acquisition Excludes the acquisition of vehicles for Commonwealth use. Destroy 7 years after action completed For the assessment of suitability of equipment, goods and services considered for procurement and the preparation of specifications, use PROCUREMENT – Evaluation. NORMAL 19478 Records documenting the acquisition of vehicles for Commonwealth use. Includes: • quotes • justification for choice • orders • handover reports. Destroy 7 years after disposal of vehicle For the assessment of suitability of equipment, goods and services considered for procurement and the preparation of specifications, use PROCUREMENT – Evaluation. NORMAL 19479 Investigations into acquisition of equipment, goods and services not proceeded with. Destroy 2 years after action completed. NORMAL 19480 Records relating to warranties and guarantees for equipment, goods and services. Includes vehicle warrantees and guarantees. Destroy when warranty or guarantee expires or item is disposed of, whichever is sooner NORMAL Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 19481 Records relating to the receipt and provision of advice on the procurement function. Destroy 7 years after action completed NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. For the leasing of equipment, goods and services in support of the agency’s business, use PROCUREMENT – Leasing. 19482 Final version of agreements made relating to the procurement of equipment, goods and services (eg Memoranda of Understanding). Includes agreements with vendors or other agencies to provide equipment, goods and services. Destroy 7 years after expiry or other termination of agreement NORMAL Audit The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the organisation in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. 19483 Final internal or external audit reports relating to the procurement function. Destroy 7 years after action completed NORMAL 19484 Records documenting the planning and conduct of internal and external audits relating to the procurement function. Includes: • liaison with the auditing body • minutes of meetings • notes taken at opening and exit interviews • draft report • comments. Destroy 3 years after action completed NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 19485 Delegations of power to agency staff to authorise administrative action relating to the procurement function. Destroy 7 years after delegation expires NORMAL 19486 Authorisations for administrative action supporting the procurement function. Destroy 7 years after action completed NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 21131 Records of committees formed to consider matters relating to the procurement function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 7 years after action completed NORMAL 21132 Working papers documenting the conduct and administration of committees which consider matters relating to the financial management function. Includes: • agenda • notices of meetings • draft minutes. Destroy 3 years after action completed NORMAL Complaints Activities involved in receiving and responding to complaints. Includes liaison with the complainants, investigations, internal and external reviews and dispute resolution activities. 21130 Records documenting the handling of complaints received about procurement processes. Includes complaints about the tendering activities. Destroy 7 years after action completed NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. 19487 Records documenting agency compliance with mandatory or with optional standards or with statutory requirements relating to the procurement function. Destroy 7 years after action completed NORMAL Construction The process of making or building something. 19488 Records documenting the in-house construction of equipment and plant. Destroy 7 years after disposal of asset For the design of equipment and plant, use PROCUREMENT - Evaluation. For establishing and managing the intellectual property of agency-designed equipment and plant, use LEGAL SERVICES - Intellectual Property. NORMAL Contracting-out The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing. For information on records issues relating to outsourcing and contracting-out see General Disposal Authority 25. 19489 Records documenting contract management relating to the procurement function. Includes: • minutes of meetings with main stakeholders • performance and evaluation reports. Destroy 7 years after completion or other termination of contract NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. For the assessment of suitability of technology and telecommunications equipment, goods and services, use TECHNOLOGY & TELECOMMUNICATIONS - Evaluation. 19490 Records documenting the evaluation of equipment, goods and services for procurement. Includes requirements, criteria and assessments. Destroy 7 years after action completed For the acquisition of equipment, goods and services where there is no tender or contracting-out process, use PROCUREMENT - Acquisition. For the acquisition of equipment, goods and services by a tender or contracting-out process, use PROCUREMENT – Tendering. For the re-evaluation of existing equipment, goods and services, use the Reviewing activity under the relevant function. NORMAL 19491 Records documenting the development and issue of specifications for equipment and stores (including purpose-built equipment and stores). Destroy 7 years after action completed For the development of specifications for technology and telecommunications equipment, goods and services, use TECHNOLOGY & TELECOMMUNICATIONS - Evaluation. NORMAL Leasing The activities involved in leasing items, equipment, accommodation, premises or real estate from another organisation. Includes the process of chartering. For the leasing of accommodation, premises or real estate from another organisation or individual, use PROPERTY MANAGEMENT - Leasing. 19492 Records documenting the leasing of equipment, goods and services (ie where the agency is the lessee). Includes: • negotiations • cost-benefit analysis • assessments • signed leases. Destroy 7 years after lease expires or is terminated NORMAL 19493 Records documenting the administration and management of leased equipment, goods and services. Includes reports received from leasing companies and signed leases. Destroy 7 years after lease expires or is terminated For the disposal of leased equipment, use the Disposal activity under the relevant function. For the maintenance of leased equipment, use the Maintenance activity under the relevant function. For Fringe Benefit Tax reports received from a leasing company, other than for the leasing of vehicles, use PERSONNEL - Salaries. For Fringe Benefits Tax reports relating to the leasing of vehicles, use FLEET MANAGEMENT – Compliance. For managing financial transactions supporting leasing activities, use FINANCIAL MANAGEMENT – Accounting and/or FINANCIAL MANAGEMENT – Payments. NORMAL 19494 Records documenting the administration of short term rental vehicles for official business. Destroy 7 years after action completed For managing financial transactions associated with the short term rental of vehicles, use FINANCIAL MANAGEMENT – Accounting and/or FINANCIAL MANAGEMENT – Payments. NORMAL 19495 Records relating to the leasing of equipment, goods or services, where the lease is not proceeded with. Destroy 2 years after action completed NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 19496 Final version of minutes and supporting documents tabled at meetings held to support the procurement function. Includes meetings with external agencies. Destroy 3 years after action completed NORMAL 19497 Working papers documenting the conduct and administration of meetings held to support the procurement function. Includes agenda, notices of meetings and draft minutes. Destroy 1 year after action completed NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. 19498 Final version of agency-wide plans supporting the procurement function. Destroy 7 years after plan is superseded NORMAL 19499 Final version of a section or business unit's plans supporting the procurement function, including those of state, regional or overseas offices. Destroy 2 years after plan is superseded NORMAL 19500 Working papers used in developing all plans supporting the procurement function. Includes draft plans, reports analysing issues, and comments received from other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL Policy 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. 19501 Records documenting the development and establishment of the agency's policies supporting the procurement function. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 7 years after policy is superseded NORMAL 19502 Records documenting comments made on the development of government-wide policies supporting the procurement function. Destroy 3 years after promulgation of the new policy NORMAL 19503 Working papers documenting the development of all policies supporting the procurement function. Destroy 3 years after promulgation of the new policy NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 19504 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the procurement function. Destroy 7 years after procedures are superseded NORMAL 19505 Records documenting the development of agency procedures supporting the procurement function. Destroy 2 years after action completed NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 19506 Final version of formal internal reports and reports made to external agencies relating to the procurement function. Destroy 7 years after action completed NORMAL 19507 Final version of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the procurement function. Destroy 3 years after action completed NORMAL 19508 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 2 years after action completed NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 19509 Records documenting a review of agency programs and operations supporting the procurement function. Includes documents establishing the review, the final report and action plan. Destroy 7 years after action completed NORMAL 19510 Working papers documenting a review of agency programs and operations supporting the procurement function. Destroy 3 years after action completed NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 19511 Records documenting risk management relating to the procurement function. Includes documentation covering each stage of the process, treatment schedules and action plans. Destroy 7 years after next risk assessment NORMAL 19512 Procurement risk register. Destroy 7 years after next risk assessment NORMAL Tendering The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services. For tendering in relation to the acquisition of land and construction of buildings, use PROPERTY MANAGEMENT - Tendering. For feedback to a successful tenderer during the life of a contract, use PROCUREMENT - Contracting-out. 19513 Records documenting the development and issue of tender documentation. Includes business plan, Statement of Requirements, Request for Proposals, Expressions of Interest, Requests for Tender (RFT), draft contract and tender evaluation plan. Destroy 7 years after tender process completed NORMAL 19514 Evaluation of tenders received against selection criteria. Includes records documenting arrangements for carrying out the evaluation process, evaluation report, recommendations, final report and public notices. Destroy 7 years after tender process completed NORMAL 19515 Records documenting post-offer negotiations and due diligence checks. Destroy 7 years after tender process completed NORMAL 19516 Records of unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued. Includes submissions, notification of outcome and reports on debriefing and feedback sessions. Destroy 3 years after tender process completed or decision made not to continue with the tender NORMAL 19517 Tender register. Destroy 7 years after last entry NORMAL 19518 Signed contracts under seal prior to 15 November 2005 resulting from tenders and supporting records: Western Australia. Includes the successful tender documentation. Destroy 21 years after completion or other termination of contract NORMAL 19519 Signed contracts under seal resulting from tenders and supporting records: Victoria and South Australia. Includes the successful tender documentation. Destroy 15 years after completion or other termination of contract NORMAL 19520 Signed contracts under seal resulting from tenders and supporting records: New South Wales, Western Australia (from 15 November 2005), Queensland, Tasmania, Australian Capital Territory, and Northern Territory. Includes the successful tender documentation. Destroy 12 years after completion or other termination of contract NORMAL 19521 Signed simple contracts and agreements resulting from tenders and supporting records. Includes the successful tender documentation. Destroy 7 years after completion or other termination of contract NORMAL 19522 Contract register. Destroy 7 years after last entry NORMAL PROPERTY MANAGEMENT The function of managing land and working, storage, or living space within premises, and of acquiring, constructing, fitting-out, managing, maintaining, protecting and disposing of premises. Includes buildings and land allotments either owned, rented, or leased by the organisation. Also includes the removal of pollutants and waste. This function also covers properties owned by the Commonwealth or Commonwealth institutions which have national significance including natural, historic and indigenous significance and are listed in the Register of the National Estate, by the World Heritage Commission, classified by the National Trusts or on State heritage listings. Note: Care should be taken when using this function for records covering the management of specialised premises, ie purpose-built, specialised premises supporting core functions or with unique design features eg army barracks, immigration detention centres, Lucas Heights Nuclear Reactor Building or Mt Stromlo Observatory. While this function should provide sufficient coverage for the majority of property management matters relating to specialised premises, there may be unique business and/or recordkeeping requirements that will necessitate specific coverage for specialized premises within an agency’s own Records Authority. Acquisition The process of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions. For submissions to Cabinet relating to the acquisition of property, use GOVERNMENT RELATIONS - Submissions. For legal advice and any litigation resulting from compulsory acquisition of property, use LEGAL SERVICES - Advice and LEGAL SERVICES - Litigation. For the acquisition of property through a tendering process, use PROPERTY MANAGEMENT - Tendering. For the leasing of accommodation, premises or real estate from another organisation or individual, use PROPERTY MANAGEMENT - Leasing. For the leasing-out of agency accommodation, premises or real estate to another organisation or individual, use PROPERTY MANAGEMENT – Leasing-out. For asset registers used to record property details, use FINANCIAL MANAGEMENT – Asset Register. For managing financial transactions supporting acquisition activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1782 Records documenting the acquisition of properties of national significance (see functional scope note) including compulsory acquisitions. Includes: • investigations into and reports on the property • environmental impact assessments • budgetary estimates • cost benefit analyses. Retain as national archives NORMAL 1783 Records documenting the acquisition of properties without national significance (see functional scope note) including compulsory acquisitions. Includes: • investigations into and reports on the property • environmental impact assessments • budgetary estimates • cost benefit analyses. Destroy 7 years after disposal of property NORMAL 1784 Deeds and certificates of title for property owned by the agency. Transfer to new owner when property is disposed of. (See instruction on the transfer of custody and ownership of Commonwealth records in Introduction) NORMAL 1785 Records documenting the negotiations for other properties where the acquisition was not proceeded with. Destroy 7 years after purchase is suspended NORMAL 1786 Records documenting the acquisition of goods and services required for the support of the property management function where there is no tender or contracting-out process (ie where the cost of the acquisition is below the threshold for tendering or where a purchase is made against a period contract). Destroy 7 years after action completed For the acquisition of property management goods and services through a tender process, use PROPERTY MANAGEMENT - Tendering. NORMAL 20978 Signed contracts under seal, prior to 15 November 2005, and supporting records for the acquisition of property in Western Australia when there is no tendering process. Destroy 21 years after disposal of the property NORMAL 20979 Signed contracts under seal and supporting records for the acquisition of property in Victoria and South Australia when there is no tendering process. Destroy 15 years after disposal of property NORMAL 20980 Signed contracts under seal and supporting records for the acquisition of property in New South Wales, Western Australia (from 15 November 2005), Queensland, Tasmania, Australian Capital Territory and Northern Territory when there is no tendering process. Destroy 12 years after disposal of property NORMAL Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 20981 Records documenting the receipt and provision of general advice on the property management function. Destroy 5 years after action completed [For advice relating to the acquisition, conservation, construction, fit-outs, maintenance and disposal of specific properties, use the relevant activity under PROPERTY MANAGEMENT. For legal advice on property management matters, use LEGAL SERVICES - Advice.] NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. For the acquisition of property through an agreement not resulting from a tendering process, use PROPERTY MANAGEMENT – Acquisition. For the disposal of property through an agreement not resulting from a tending process, use PROPERTY MANAGEMENT – Disposal. For the acquisition or disposal of property through an agreement resulting from a tendering process, use PROPERTY MANAGEMENT – Tendering. For leasing of accommodation, premises or real estate from another organisation or individual, use PROPERTY MANAGEMENT - Leasing. For leasing-out of accommodation, premises or real estate to another organisation or individual, use PROPERTY MANAGEMENT - Leasing-out. 1792 Records documenting negotiations, establishment, maintenance and review of agreements. Destroy 7 years after expiry or other termination of agreement NORMAL 1793 Records documenting agreements made with property owners relating to easement and right-of-way arrangements. Destroy 7 years after expiry of agreement NORMAL 20982 Final versions of agreements made to support the property management function (eg Memoranda of Understanding). Destroy 7 years after expiry or other termination of agreement NORMAL Appeals (decisions) The activities involved in the process of appeals against decisions by application to a higher authority. 1794 Records documenting appeals made against the level of compensation for compulsory acquisition of property. Destroy 10 years after last action For the compulsory acquisition of property, use PROPERTY MANAGEMENT - Acquisition. For claims made against the compulsory acquisition of property, use PROPERTY MANAGEMENT - Claims. For legal advice and any litigation resulting from compulsory acquisition of property, use LEGAL SERVICES - Advice and Litigation. NORMAL Arrangements The activities involved in arranging for a journey or trip. Includes preparing travel itineraries, authorisations, entitlements, etc. Also includes arrangements made for delivery of equipment or goods and the usage made of facilities, vehicles, equipment and space. 1795 Records documenting routine arrangements for the use of properties. Includes parking arrangements and facility bookings. Destroy 1 year after action completed [For managing financial transactions associated with the use of properties, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. For leasing-out arrangements, use PROPERTY MANAGEMENT- Leasing-out.] NORMAL Audit The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the organisation in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. For routine inspections of hazardous substances in the workplace, use OH&S - Inspections. 1797 Records documenting the planning and conduct of internal and external audits relating to the property management function. Includes: . liaison with the auditing body . minutes of meetings . notes taken at opening and exit interviews . draft report . comments. Destroy 5 years after action completed NORMAL 20983 Records documenting internal and external audits of processes and systems to detect the presence of hazardous substances or conditions in buildings or land. Includes records documenting the planning and conduct of audits. Includes: • final audit reports • liaison with the auditing body • minutes of meetings • notes taken at opening and exit interviews • draft report • comments. Destroy 75 years after last action NORMAL 20984 Final internal and external audit report relating to the agency’s property or property management processes and systems, not related to hazardous substances. Includes the final reports from audits conducted by the Australian National Audit Office and environmental audits. Destroy 5 years after action completed NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 1798 Delegations of power to agency staff to authorise administrative action relating to property management. Destroy 7 years after delegation expires NORMAL 1799 Authorisations for administrative actions relating to property management. Destroy 7 years after authorisation expires NORMAL Claims The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property. 1800 Records documenting claims made against compulsory acquisition of property. Destroy 10 years after finalisation or withdrawal of claim For the compulsory acquisition of property, use PROPERTY MANAGEMENT - Acquisition. For appeals made against compensation received for compulsory acquisition of property, use PROPERTY MANAGEMENT - Appeals. For legal advice and any litigation resulting from compulsory acquisition of property, use LEGAL SERVICES - Advice and Litigation. NORMAL 1801 Records documenting insurance claims for damage to and/or loss of property. Destroy 7 years after finalisation or withdrawal of claim For insurance policies and annual renewals, use PROPERTY MANAGEMENT - Insurance. NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 1802 Records of committees formed to consider the management of properties of national significance (see functional scope note). Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Includes both internal and external committees. Retain as national archives NORMAL 1803 Records of committees formed to consider the management of properties without national significance (see functional scope note) and general matters relating to the property management function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Includes both internal and external committees. Destroy 7 years after action completed NORMAL 1804 Working papers documenting the conduct and administration of all committees formed to consider matters relating to the property management function. Includes: • agenda • notices of minutes • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1805 Records documenting compliance with mandatory or optional standards or with statutory requirements relating to the property management function. Destroy 7 years after action completed [For conducting inspections to determine compliance, use PROPERTY MANAGEMENT – Inspections.] NORMAL Conservation The activities involved in the preservation, protection, maintenance, restoration and enhancement of properties, including buildings and land, and information resources and artefacts. For environmental audits, use PROPERTY MANAGEMENT - Audits. 1807 Records documenting the activities involved in the restoration and enhancement of properties without national significance (see functional scope note). Destroy when property is disposed of or transfer to new owners. (See instruction on the transfer of custody and ownership of Commonwealth records in Introduction) [For construction, major renovation or restoration of buildings, structures or environs, use PROPERTY MANAGEMENT – Construction. For ongoing maintenance of property, use PROPERTY MANAGEMENT – Maintenance.] NORMAL 1808 Records documenting the restoration of contaminated land. Retain as national archives For inspection to identify the type of contamination, use PROPERTY MANAGEMENT - Inspection. NORMAL 20985 Records documenting the activities involved in the preservation, protection, restoration and enhancement of properties of national significance (see functional scope note). Retain as national archives [For construction, major renovation or restoration of buildings, structures or environs, use PROPERTY MANAGEMENT – Construction. For ongoing maintenance of property, use PROPERTY MANAGEMENT – Maintenance.] NORMAL Construction The process of making or building something. For tendering of work to support construction activities, use PROPERTY MANAGEMENT - Tendering. For managing the performance of contracted-out services to support the construction process, use PROCUREMENT - Contracting-out. For the planning of construction programs, use PROPERTY MANAGEMENT - Planning. For submissions to Cabinet and the Parliamentary Works Committee seeking support for construction projects, use GOVERNMENT RELATIONS - Submissions. 1811 Records documenting construction activities not proceeded with. Destroy 7 years after decision to suspend construction activities NORMAL 1812 Working papers documenting the construction activities on properties without national significance (see functional scope note.) Destroy when reference ceases NORMAL 20986 Records documenting the construction activities for properties without national significance (see functional scope note). Includes: • records of consultations (eg with owners and local authorities) • specifications • building plans • project management records. Destroy 7 years after property is disposed of or, if required, transfer to new owners. (See instruction on the transfer of custody and ownership of Commonwealth records in Introduction) NORMAL Contracting-out The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing. For information on records issues relating to outsourcing and contracting-out see General Disposal Authority 25. 1813 Records documenting contract management relating to the property management function. Includes: • minutes of meetings with main stakeholders • performance and evaluation reports. Destroy 7 years after completion or other termination of contract NORMAL Disposal The process of disposing of property no longer required by the organisation, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer to archives, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage. For the disposal of property through a tendering process, use PROPERTY MANAGEMENT - Tendering. 1814 Records documenting the disposal of properties of national significance (see functional scope note). Includes: • assessments and investigations • valuation certificates • details of preparation undertaken before disposal ('making good'). Retain as national archives NORMAL 1815 Records documenting the disposal of properties without national significance (see functional scope note) by sale, transfer, termination of lease, auction or destruction. Includes: • assessments and investigations • valuation certificates • details of preparation undertaken before disposal ('making good'). Destroy 7 years after last action NORMAL 20987 Signed contracts under seal, prior to 15 November 2005, and related records for the disposal of Commonwealth property in Western Australia when there is no tendering process. Destroy 21 years after completion or other termination of contract NORMAL 20988 Signed contracts under seal and related records for the disposal of Commonwealth property in Victoria and South Australia when there is no tendering process. Destroy 15 years after completion or other termination of contract NORMAL 20989 Signed contracts under seal and related records documenting records for the disposal of Commonwealth property in New South Wales, Western Australia (from 15 November 2005), Queensland, Tasmania, Australian Capital Territory and Northern Territory when there is no tendering process. Destroy 12 years after completion or other termination of contract NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. 1819 Records documenting the evaluation of matters relating to the property management function. Destroy 5 years after action completed NORMAL Fit-outs The process of establishing or refurbishing a workplace. Includes painting, floor coverings, furnishings, furniture, partitions/walls fittings and equipment. 1820 Records documenting the fit-outs of properties of national significance (see functional scope note). Includes justification, notification of intent and assessment of obligations regarding heritage properties. Retain as national archives NORMAL 20990 Records documenting fit-outs of properties without national significance (see functional scope note). Includes economic justification and any required notification of intent. Destroy 1 year after next fit-out or when property is disposed of, or transfer to new owner or lessee of property if applicable. (See instruction on the transfer of custody and ownership of Commonwealth records in Introduction) [For construction activities, use PROPERTY MANAGEMENT - Construction.] NORMAL Implementation The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes the installation of equipment. Also includes monitoring to ensure that the implementation goes according to schedule and that standards are met and includes first aid treatment. 1822 Records documenting the implementation of counter-disaster plans after disasters such as fire and floods to property of national significance (see functional scope note). Includes a copy of the plan implemented in the disaster recovery process. Retain as national archives NORMAL 1823 Records documenting the implementation of counter-disaster plans after disasters such as fires and floods for properties without national significance (see functional scope note) both leased and owned. Includes a copy of the plan implemented in the disaster recovery process. Destroy 7 years after disposal of building NORMAL 1824 Records documenting the implementation of plans (other than counter disaster plans), policies and procedures relating to property management. Destroy 5 years after action completed NORMAL 1825 Records documenting arrangements relating to the flying of flags. Destroy when reference ceases NORMAL Inspections The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives. 1826 Records documenting routine inspections of land, buildings or premises. Includes: • requests for inspections • administrative arrangements and inspection reports. Destroy 5 years after action completed For inspections carried out for the construction of a building, use PROPERTY MANAGEMENT- Construction. NORMAL 1827 Records documenting inspections undertaken to determine whether asbestos and other hazardous substances are present in a building or land. Destroy 75 years after last action or transfer copies to new owner if sold before this date. (See instruction on the transfer of custody and ownership of Commonwealth records in Introduction) For the removal of hazardous substances, use PROPERTY MANAGEMENT - Maintenance. For OH&S related routine inspections and regular inspections of asbestos material, use OCCUPATIONAL HEALTH & SAFETY (OH&S) - Inspections. For audit related inspections, use PROPERTY MANAGEMENT - Audit. For decontamination of land, use PROPERTY MANAGEMENT- Conservation. NORMAL Installation Activities involved in placing equipment in position and connecting and adjusting it for use. For the installation of furniture and fittings, use PROPERTY MANAGEMENT - Fit-outs. 20991 Records documenting installation of equipment (eg heating, plumbing, air-conditioning, security equipment and cabling) in properties. Includes arranging installations and location details (eg fire panel, alarm panels). Destroy after replacement of equipment or when property is disposed of, or transfer to new owner or lessee of property if applicable. (See instruction on the transfer of custody and ownership of Commonwealth records in Introduction) [For the installation of cabling from the point of entry of service to outlets for technology and telecommunications equipment and facilities, use TECHNOLOGY & TELECOMMUNICATIONS - Installation.] NORMAL Insurance The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the organisation's premises or whilst engaged during employment. For records relating to insurance claims, use PROPERTY MANAGEMENT - Claims. For managing financial transactions supporting insurance activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1829 Property insurance policies. Destroy 7 years after policy expires NORMAL 1830 Records documenting the annual renewal of property insurance policies. Destroy 1 year after action completed NORMAL Inventory The activities associated with listing and preparing lists of items and assets in the possession of the organisation. 1831 Inventories relating to the property management function. Destroy when reference ceases NORMAL Leasing The activities involved in leasing items, equipment, accommodation, premises or real estate from another organisation. Includes the process of chartering. For the leasing-out of accommodation, premises or real-estate to another organisation or individual, use PROPERTY MANAGEMENT – Leasing-out. 1832 Records documenting the leasing of property (ie where the agency is the lessee). Includes: • space and accommodation assessments • negotiations • cost-benefit analysis • assessments • signed leases. Destroy 7 years after lease expires or is terminated NORMAL 1833 Records documenting the on-going management of leases. Destroy 7 years after lease expires or is terminated For legal advice received on the leasing of property, use LEGAL SERVICES - Advice. For repairs and maintenance to leased properties, use PROPERTY MANAGEMENT - Maintenance. For managing financial transactions associated with leasing activities, use FINANCIAL MANAGEMENT- Accounting and FINANCIAL MANAGEMENT - Payments. NORMAL 20992 Records relating to the leasing of property which is not proceeded with. Destroy 2 years after action completed. NORMAL Leasing-out The activities involved in leasing-out items, equipment, accommodation, premises or real estate to another organisation or person for a specified period and agreed price. Includes the formal documentation setting out conditions, rights, responsibilities etc. of both parties. Also includes subleasing. For the leasing of accommodation, premises or real estate from another organisation or individual, use PROPERTY MANAGEMENT – Leasing. 1834 Records documenting leasing-out arrangements (ie where the agency is the lessor), including leasing residential accommodation to individual employees. Includes negotiations and signed leases. Destroy 7 years after lease expires or is terminated NORMAL 1835 Working papers documenting the on-going management of leases where the agency is the lessor. Destroy 7 years after lease expires or is terminated For legal advice received on the leasing-out of property, use LEGAL SERVICES - Advice. For repairs and maintenance to leased properties, use PROPERTY MANAGEMENT - Maintenance. NORMAL 20993 Records relating to the leasing-out of property which is not proceeded with. Destroy 2 years after action completed NORMAL Lost Property The activities involved in collecting and managing items of property lost by staff or members of the public on agency premises. Includes maintaining registers of lost property, liaising with owners of lost property and disposing of unclaimed lost property. For lost property protocols and procedures, use PROPERTY MANAGEMENT - Procedures. 20994 Records documenting the collection and management of items of property lost by staff or members of the public on agency premises. Includes: • correspondence with owners of lost property • property deposit/claim receipts • records of disposal arrangements (eg destruction, sale, return of property). Destroy 2 years after last action NORMAL 20995 Lost property register. Destroy 5 years after last entry NORMAL Maintenance The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external conditions of premises, equipment, vehicles etc. For tendering cleaning services and other contracted-out services for the maintenance of property, use PROPERTY MANAGEMENT - Tendering. For the management of contracting-out maintenance services, use PROPERTY MANAGEMENT - Contracting-out. For planning maintenance programs, use PROPERTY MANAGEMENT - Planning. 1836 Records documenting repairs made to properties of national significance (see functional scope note) after a disaster (eg fire, floods etc). Retain as national archives For the implementation of a counter-disaster plan, use PROPERTY MANAGEMENT - Implementation. For construction work carried out after a disaster, use PROPERTY MANAGEMENT - Construction.For fit-outs carried out after a disaster, use PROPERTY MANAGEMENT - Fit-outs. NORMAL 1837 Records documenting repairs made to properties without national significance (see functional scope note) after a disaster (eg fire, floods etc). Destroy when property is disposed of or transfer to new owners. (See instruction on the transfer of custody and ownership of Commonwealth records in Introduction) For the implementation of a counter disaster plan, use PROPERTY MANAGEMENT - Implementation. For construction work carried out after a disaster, use PROPERTY MANAGEMENT - Construction. For fit-outs carried out after a disaster, use PROPERTY MANAGEMENT - Fit-outs. NORMAL 1838 Records documenting major maintenance work carried out during the lifetime of a building (eg sometimes referred to as the maintenance history of a building). Retain for the life of the property and transfer to new owner of the property NORMAL 1839 Records documenting the removal and disposal of hazardous materials (including asbestos) from the fabric of the building. Destroy 75 years after removal of hazardous materials For inspections carried out to identify the presence of hazardous materials in a building, use PROPERTY MANAGEMENT - Inspections. For the ongoing inspections of the state of asbestos in buildings, use OH&S - Inspections. For plant testing and maintenance to meet OH&S compliance requirements, use OH&S - Compliance. NORMAL 1840 Records documenting removal, storage and disposal of hazardous waste (eg chemicals from laboratories and pesticides). Destroy 30 years after last action For the storage of hazardous materials, use EQUIPMENT & STORES - Arrangements. NORMAL 1841 Records documenting the removal of non-toxic waste, including classified waste. Destroy 2 years after action completed NORMAL 1842 Records documenting the maintenance of cooling water systems. Includes operating and maintenance manuals, test results and service log sheets for cooling towers. Destroy 7 years after action completed For the inspection of water cooling systems, use PROPERTY MANAGEMENT - Inspections. NORMAL 1843 Records documenting routine upkeep, repair and maintenance activities (eg cleaning, painting, pest control, grounds maintenance and electrical maintenance). Destroy 2 years after action completed For material safety data sheets, use OH&S - Health Promotion. NORMAL 1844 Records documenting the monitoring of building management systems or energy management systems. Destroy 3 years after last action NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1845 Final version of minutes and supporting documents tabled at meetings held to support the property management function. Includes meetings with external agencies. Destroy 7 years after action completed NORMAL 1846 Working papers documenting the conduct and administration of meetings held to support the property management function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Moving The process of relocation of an agency, business unit, workgroup or individual. 1847 Records documenting the relocation of an agency's business operations. Includes inventories, costings and records detailing arrangements with removalists. Destroy 2 years after last action For tendering to select a removalist, use PROPERTY MANAGEMENT - Tendering. For the management of contracting-out arrangements, use PROPERTY MANAGEMENT - Contracting-out. For the relocation of individual employees, use PERSONNEL - Moving. NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. For diagrams and drawings used to support the property management function, use the appropriate activity. 1848 Final version of plans to support the management of properties of national significance (see functional scope note). Retain as national archives NORMAL 1849 Final version of agency-wide property management plans. Includes: • counter disaster plan • annual maintenance plans • acquisition and disposal plans • space usage plans. Destroy 6 years after plan is superseded For implementation of counter disaster plans, use PROPERTY MANAGEMENT - Implementation. NORMAL 1850 Final version of a section or business unit's property management plans, including state, regional or overseas offices. Destroy 3 years after plan is superseded NORMAL 1851 Working papers used in developing all property management plans. Includes draft plans, reports analysing issues, and comments received from other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL 1852 Copies of all property management plans. Destroy when reference ceases NORMAL Policy 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. 1853 Records documenting the development and establishment of the agency's property management policies (eg energy policy). Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 7 years after policy is superseded NORMAL 1854 Records documenting comments made on the development of government-wide property management policies. Destroy 2 years after promulgation of new policy NORMAL 1855 Working papers documenting the development of all property management policies. Destroy 2 years after promulgation of new policy NORMAL 1856 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1857 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the property management function. Includes emergency procedures. Destroy 5 years after procedures are superseded NORMAL 1858 Records documenting the development of agency procedures supporting the property management function. Destroy 2 years after procedures are superseded NORMAL 1859 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1860 Final versions of formal internal reports and reports made to external agencies on properties of national significance (see functional scope note). Retain as national archives NORMAL 1861 Final versions of formal internal reports and reports made to external agencies relating to properties without national significance (see functional scope note). Includes reports based on the Commonwealth Property Principles. Destroy 10 years after action completed NORMAL 1862 Final versions of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the property management function. Destroy 3 years after action completed NORMAL 1863 Records documenting property surveys requested by the central office of an agency (eg fire and security surveys). Destroy 2 years after action completed NORMAL 1864 Working papers documenting the development of reports. Includes drafts and comments received. Destroy 2 years after action completed NORMAL 1865 Copies of property management reports. Destroy when reference ceases NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1866 Records documenting the review of programs and operations impacting on the management of properties of national significance (see functional scope note). Includes documents establishing the review, final report and action plan. Retain as national archives NORMAL 1867 Records documenting a review of programs and operations impacting on the management of properties without national significance (see functional scope note). Includes documents establishing the review, final report and action plan. Includes reviews based on the Commonwealth Property Principles. Destroy 5 years after last action NORMAL 1868 Working papers documenting a review of agency programs and operations supporting the property management function. Destroy 2 years after last action NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 1869 Records documenting risk management including each stage of the process, risk assessments, treatment schedules and action plans. Includes risk assessment reports for water cooling systems. Destroy 7 years after next risk assessment NORMAL 1870 Property management risk register. Destroy 7 years after next risk assessment NORMAL Security The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks. 1871 Records documenting major security breaches or incidents (eg which result in the laying of charges, or where sabotage is strongly suspected). Includes: • break-ins • unauthorised access or entry/trespass • intrusions into restricted areas • terrorism • intentional damage • bomb threats • fires • records of investigations • liaison with law-enforcement agencies. Retain as national archives For disciplinary action resulting from a breach involving APS employees, use PERSONNEL - Discipline. For breaches involving information, use INFORMATION MANAGEMENT - Security. For breaches involving equipment, use EQUIPMENT & STORES - Security. For breaches involving technology, use TECHNOLOGY & TELECOMMUNICATIONS - Security. NORMAL 1872 Records documenting minor security breaches or incidents (eg which do not result in the laying of charges, or where sabotage is not suspected). Destroy 5 years after incident For disciplinary action resulting from a breach involving APS employees, use PERSONNEL - Discipline. For breaches involving information, use INFORMATION MANAGEMENT - Security. For breaches involving equipment, use EQUIPMENT & STORES - Security. For breaches involving technology, use TECHNOLOGY & TELECOMMUNICATIONS - Security. NORMAL 1873 Records documenting property guarding, surveillance and patrol operations. Includes rosters and security reports. Destroy 2 years after last action For tendering for the provision of security services, use PROPERTY MANAGEMENT - Tendering. For managing the performance of contracted-out security activities, use PROPERTY MANAGEMENT - Contracting-out. NORMAL 1874 Records documenting property access controls to secure areas. Includes: • access registers (eg visitor books) • keys register • security data logs • issue of security passes to visitors • reports on responses to alarm warnings. Destroy 3 years after action completed For the monitoring of building management systems (including security systems), use PROPERTY MANAGEMENT - Maintenance. For the issue of passes and identity cards to staff, use PERSONNEL - Security. NORMAL 1875 Records of combinations for building locks. Destroy when combination changes NORMAL 1876 Surveillance camera tapes. Destroy when no longer required NORMAL Tendering The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services. 1878 Evaluation of tenders received against selection criteria. Includes records documenting arrangements for carrying out the evaluation process, evaluation report, recommendations, final report and public notices. Destroy 7 years after tender process completed NORMAL 1879 Records documenting post-offer negotiations and due diligence checks. Destroy 7 years after tender process completed NORMAL 1881 Tender register. Destroy 7 years after last entry NORMAL 1886 Contract register. Destroy 7 years after last entry NORMAL 20996 Records documenting the development and issue of tender documentation. Includes business plan, Statement of Requirements, Request for Proposals, Expression of Interest, Request for Tender (RFT), draft contract and tender evaluation plan. Destroy 7 years after tender process completed NORMAL 20997 Records of unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued. Includes submissions, notification of outcome and reports on debriefing sessions. Destroy 3 years after tender process completed or decision made not to continue with the tender NORMAL 20998 Signed contracts under seal prior to 15 November 2005 resulting from tenders and supporting records: Western Australia. Includes the successful tender documentation. Destroy 21 years after completion or other termination of contract NORMAL 20999 Signed contracts under seal resulting from tenders and supporting records: Victoria and South Australia. Includes the successful tender documentation. Destroy 15 years after completion or other termination of contract NORMAL 21000 Signed contracts under seal resulting from tenders and supporting records: New South Wales, Western Australia (from 15 November 2005), Queensland, Tasmania, Australian Capital Territory, Northern Territory. Includes the successful tender documentation. Destroy 12 years after completion or other termination of contract NORMAL 21001 Signed simple contracts and agreements resulting from tenders and supporting records. Includes the successful tender documentation. Destroy 7 years after completion or other termination of contract NORMAL PUBLICATION The function of having works, irrespective of format, issued for sale or distribution internally or to the public. Includes drafting, manual or electronic production (design, layout, typesetting, printing etc.), marketing and supply of publications by the organisation. Includes external publications (such as technical papers, issues papers, articles for professional journals and reports) and leaflets which aim to promote the services and public image of the organisation; and internal publications (such as newsletters, circulars, procedure manuals etc.), which are not produced for public relations reasons. Also includes multi media publications, CD-ROM and on-line information services. Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 1887 Records documenting the receipt and provision of advice provided on the publication function. Destroy 3 years after action completed NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. For contracts and agreements entered into for publishing joint ventures, use PUBLICATION - Joint Venture. For contracts concluded through carrying out a tendering process, use PROCUREMENT - Tendering. 1888 Final version of agreements made to support the agency's publication function. Destroy 7 years after expiry or completion or termination of agreement NORMAL 1889 Records documenting negotiations, establishment, maintenance and review of agreements. Destroy 7 years after expiry or completion or termination of agreement NORMAL 1890 Records documenting agreements made when an agency vests Crown copyright in another author or person/organisation. Destroy 50 years after date of agreement or after the expiry date as specified in the agreement NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 1891 Records of internal and external committees formed to consider matters relating to the publication function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Includes both internal and external committees. Destroy 3 years after action completed NORMAL 1892 Working papers documenting the conduct and administration of committees which consider matters relating to the publication function. Includes: • agenda • notices of minutes • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1893 Records documenting agency compliance with mandatory or optional standards or with statutory requirements for the publication function. Includes: • lodgements of agency publications under the Commonwealth Library Deposit and Free Issues Scheme and Section 201 of the Copyright Act 1968 • allocation of ISBN, ISSN, barcodes and URL addresses • the attachment of privacy statements to websites to support the Information Privacy Principles (IPP) specified in Section 14 of the Privacy Act 1988 • notification to lead agency (currently AusInfo) of new titles • use of official symbols • Internet domain names. Destroy 7 years after action completed NORMAL Corporate Style The activity of compiling and administering guidelines on the consistency in written style, graphic design etc within the organisation's documents. Includes designing logos, letterhead, stationery, publications etc. that incorporate the corporate image of the organisation. 1895 Agency style manuals Destroy when style manual is superseded NORMAL 1896 Records documenting the development and approval of designs for agency logos, letterhead, stationery and publications incorporating the corporate image of the organisation. Destroy when style superseded For records documenting the production process, use PUBLICATION - Production. For records documenting forms design, use INFORMATION MANAGEMENT - Control. NORMAL 1897 Records documenting rejected designs. Destroy when reference ceases NORMAL 1898 Records documenting the implementation and administration of the approved corporate style for agency documents, stationery and publications. Destroy when style superseded NORMAL Disposal The process of disposing of property no longer required by the organisation, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer to archives, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage. For records relating to disposal of non-agency publications, use INFORMATION MANAGEMENT - Disposal. 1899 Duplicate agency publications produced before 1968 (ie before the commencement of legal deposit under the Copyright Act 1968). Undertake disposal action in accordance with Purchasing Australia's Guidelines for Surplus Asset Disposal, Canberra, Australian Government Publishing Service, 1996. Destroy when reference ceases NORMAL 1900 Duplicate agency publications produced after 1968. Destroy when reference ceases NORMAL Distribution The activities associated with disseminating items, correspondence, or publications through sales, deliveries, or other customer services. 1901 Records documenting the distribution activity for agency publications. Includes address lists. Destroy when reference ceases For accounting records supporting the sale of publications, use FINANCIAL MANAGEMENT - Accounting. NORMAL Drafting The activities associated with preparing preliminary drafts or outlines of addresses, reports, articles, plans, sketches, etc. prior to production. 1902 Records documenting the drafting process of agency publications ( including annual reports). Destroy when reference ceases For final electronic/paper drafts, use PUBLICATION - Production. For the drafting of legislation, use STRATEGIC MANAGEMENT - Legislation. NORMAL Enquiries The activities associated with handling requests for information about the organisation and its services by the general public, agency employees or another organisation. 1903 Enquiries received from the public or another government agency seeking information about the agency's publications. Destroy after action completed NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. For the evaluation of equipment, goods and services being considered for procurement in support of the publication function, use PROCUREMENT – Evaluation. 1904 Records documenting the evaluation of publication programs and products (eg websites and publications). Destroy 5 years after evaluation completed NORMAL 1905 Records documenting the evaluation of manuscripts against the agency's publication plan and selection criteria. Destroy 2 years after evaluation completed For manuscripts chosen for publication, use PUBLICATION - Production. NORMAL Intellectual Property The activities involved in managing the agency's intellectual property, both published and unpublished, and the use of material held by the agency in which another party owns the intellectual property. Includes the management of copyright, design, patents and trademarks, royalties and matters of confidentiality such as trade secrets which are not available to the public under Freedom of Information (FOI) legislation. For handling infringements of an organisation's intellectual property, use LEGAL SERVICES - Infringements. For the establishment and general management of intellectual property, use LEGAL SERVICES - Intellectual Property. For the payment and receipt of royalties, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 1906 Requests from the public and other agencies for permission to reproduce either published or unpublished material in which the agency retains copyright. Includes liaison with the lead agency (currently AusInfo). Destroy 7 years after action completed NORMAL 1907 Applications made by the agency to reproduce published material held under copyright by another agency, organisation or individual. Destroy 7 years after action completed For agreements undertaken to vest Crown copyright in another author or person/organisation, use PUBLICATION - Agreements. NORMAL Joint Ventures The activities involved in managing joint operations between departments, either within the organisation or with other organisations, or with the government, where there is a contract, joint contribution of funds and/or time. Also includes private sector ventures with public sector organisations, and co-research or collaboration between inter-departmental units, departments or organisations. 1908 Records documenting the management of publishing joint ventures. Includes records relating to the establishment, maintenance and review of joint venture agreements and contracts. Destroy 7 years after action completed NORMAL 1910 Signed joint venture contracts under seal and supporting records: Victoria and South Australia. Destroy 15 years after completion or other termination of contract NORMAL 1912 Signed simple joint venture contracts and agreements and supporting records. Destroy 7 years after completion or other termination of contract NORMAL 21002 Signed joint venture contracts under seal prior to 15 November 2005 and supporting records: Western Australia. Destroy 21 years after completion or other termination of contract NORMAL 21003 Signed joint venture contracts under seal and supporting records: New South Wales, Western Australia (from 15 November 2005), Queensland, Australian Capital Territory and Tasmania. Destroy 12 years after completion or other termination of contract NORMAL Marketing The process of analysing, creating and selling products and services. Includes market research, sales forecasting, advertising, media releases, promotion, pricing and product evaluation. 1913 Records documenting the marketing of publications. Includes research and assessment of products against market trends, sale forecasting, pricing and liaison with retailers. Destroy 5 years after action completed For the development of a marketing plan, use PUBLICATION - Planning. NORMAL 1914 Records documenting the promotion of agency publications. Includes arranging advertising, product launches, displays at appropriate venues and photographs taken. Destroy 3 years after action completed NORMAL 1915 Records documenting the sale of an agency's publications. Includes the receipt and processing of orders. Destroy 1 year after sale For managing financial transactions supporting the sale of the agency's publications, use FINANCIAL MANAGEMENT - Accounting. NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1916 Final version of minutes and supporting documents tabled at meetings held to support the publication function. Includes meetings with external agencies. Destroy 3 years after action completed NORMAL 1917 Working papers documenting the conduct and administration of meetings held to support the publication function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. 1918 Final version of agency-wide publication plans. Destroy 3 years after plan is superseded NORMAL 1919 Final version of a section or business unit's publication plans, including state, regional or overseas office. Destroy 3 years after plan is superseded NORMAL 1920 Final version of publication project plan for the production of a specific product or publication. Destroy 1 year after production of publication NORMAL 1921 Final version of marketing plans for a specific product or publication. Destroy 3 years after action completed NORMAL 1922 Working papers used to develop all publication plans. Includes draft plans, reports analysing issues, and comments received and input made by other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL 1923 Copies of all publication plans. Destroy when reference ceases NORMAL Policy 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. 1924 Records documenting the development and establishment of the agency's publication policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 5 years after policy is superseded NORMAL 1925 Records documenting comments made on the development of government-wide publication policies. Destroy 2 years after promulgation of new policy NORMAL 1926 Working papers documenting the development of all publication policies. Destroy 2 years after promulgation of new policy NORMAL 1927 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1928 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the publication function. Destroy when procedures are superseded NORMAL 1929 Records documenting the development of agency procedures supporting the publication function. Destroy 1 year after production of procedures NORMAL 1930 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Production The process involved in producing material into an end result or output, eg a product or publication. Includes design, layout, typesetting, desktop publishing, printing, binding etc. 1931 Master set of agency publications produced before 1968 (ie before the commencement of legal deposit under the Copyright Act 1968). Retain as national archives For the disposal of duplicate agency publications produced before 1968, use PUBLICATIONS - Disposal. NORMAL 1932 Agency publications produced after 1968 (ie after commencement of legal deposit with the National Library of Australia under the Copyright Act, 1968 which was extended to include the Commonwealth Library Deposit and Free Issues Scheme in 1970). Includes all publications on CD-ROMs, disks, videos, audio tapes produced for the public using Commonwealth funding and covers: • books • booklets • brochures • conference proceedings • pamphlets, programs • newsletters • published reports (eg annual reports) • published training material • maps • plans • charts • posters • greeting cards • calendars • reprints of journal articles. (1) Lodge with NLA according to legal deposit requirements and adhere to the Commonwealth Library Deposit and Free Issues Scheme and (2) place master set with agency's Library and retain according to 4.1 of ALIA Guidelines for Aust. Special Libraries. For the disposal of duplicate agency publications produced after 1968, use PUBLICATIONS - Disposal. NORMAL 1934 Master copy of agency-produced films. Retain as national archives NORMAL 1935 Snapshot of agency's public website taken in accordance with National Archives policy on archiving websites. Retain as national archives For carrying out a risk analysis to determine the timing of taking a snapshot of an agency's website, use PUBLICATIONS - Risk Management. For system logs recording changes to websites and intranet site, use TECHNOLOGY & TELECOMMUNICATIONS - Control. NORMAL 1936 Snapshot of agency's intranet site, extranet sites and websites hosted on behalf of other organisations taken in accordance with National Archives policy on archiving websites. Destroy when reference ceases NORMAL 1938 Records documenting the production process. For paper-based publications includes: • graphic design • indexing • final drafts of publications (electronic/paper version) • proof-reading • printing/binding. For electronic publications includes: • graphic design • preparation of source files • marking-up of document, including applying metadata • quality assurance and testing of final HTML files • creation of master version • production of electronic media products (eg CD-ROMs, diskettes) • updating and maintaining information and websites. For films and videos: • production script • selection of a production company • liaison with production company Destroy 3 years after production For the activities associated with the preparation of drafts prior to publication, use PUBLICATION - Drafting. For documenting the assignment of identifiers (eg URL, ISSN and ISBN) use PUBLICATION - Compliance. For planning the production of a specific product or publication, use PUBLICATION - Planning. NORMAL 21188 Publications produced only in an electronic format on an agency's public website. Retain as national archives NORMAL 21189 Agency publications other than those paper publications lodged with the National Library of Australia (NLA) under legal deposit or electronic publications selected for preservation by the NLA’s Pandora project (eg procedures, manuals and circulars). Destroy according to disposal action directed under a relevant function in this Authority or an agency's RDA NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1939 Final version of formal internal reports and reports made to external agencies relating to the publication function. Destroy 5 years after action completed NORMAL 1940 Final version of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the publication function. Includes work progress reports, production reports, reports against work plans and reports on statistical and other surveys. Destroy 3 years after action completed NORMAL 1941 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 1 year after action completed NORMAL 1942 Copies of publication reports. Destroy when reference ceases NORMAL Research The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc used to support development of projects, standards, guidelines etc and the business activities of the organisation in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc. 1943 Records documenting research undertaken to support major publications of the agency. Destroy 6 years after publication NORMAL 1944 Records documenting routine research undertaken to support other publications of the agency. Destroy 1 year after publication NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1945 Records documenting a review of agency programs and operations supporting the publication function. Includes documents establishing the review, final report and action plan. Destroy 5 years after action completed NORMAL 1946 Working papers documenting a review of agency programs and operations supporting the publication function. Destroy 2 years after action completed NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 1947 Records documenting risk management relating to the publication function (eg risk analysis to determine timing for a snapshot to be taken of the agency's web/intranet site). Includes records covering each stage of the process. Destroy 7 years after last snapshot of website was taken NORMAL 1948 Records documenting other risk management analysis undertaken to support the publication function. Includes records covering each stage of the process, treatment schedules and action plans. Destroy 7 years after next risk assessment NORMAL 1949 Publications risk register. Destroy 7 years after last risk assessment NORMAL Stocktake The activities associated with the examination, counting and valuing of goods in the organisation with the view to reassessing the need for replacing those goods, and to identify missing items and determine the condition of the existing items. 1950 Records documenting stocktakes of agency's publications (eg stocktake lists). Includes recommendations for the reprint/reproduction of a publication. Destroy 2 years after action completed NORMAL STAFF DEVELOPMENT The function of encouraging staff to develop their skills and abilities (through activities, programs and events) to maximise their potential and increase their productivity. Includes identifying and implementing all aspects of training needs and programs (internal and external) available to staff. Addresses (presentations) The activity of giving addresses for training, professional, community relations or sales purposes. Includes speeches and multi-media presentations. For the publication of addresses in conference proceedings or training material, use PUBLICATION - Production. 1962 Final versions of addresses delivered to conferences and training courses supporting the staff development function. Destroy when reference ceases NORMAL 1963 Records documenting the preparation of addresses. Includes working papers and drafts. Destroy when reference ceases NORMAL Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 1964 Records relating to the receipt and provision of advice on the staff development function. Includes the procurement and distribution of advice on training courses. Destroy 3 years after action completed NORMAL Allowances The activities involved in arranging and managing money paid to employees in addition to salary to cover expenses incurred in the course of employment, e.g. travelling allowances. 1965 Records documenting the payment of allowances to employees to attend training courses. Destroy 7 years after action completed For the payment of allowances to employees, use FINANCIAL MANAGEMENT - Salaries. NORMAL Arrangements The activities involved in arranging for a journey or trip. Includes preparing travel itineraries, authorisations, entitlements, etc. Also includes arrangements made for delivery of equipment or goods and the usage made of facilities, vehicles, equipment and space. 1966 Records relating to travel and accommodation arrangements made for employees to attend training courses and conferences. Destroy 1 year after action completed NORMAL Audit The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the organisation in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. 1967 Final versions of internal and external audit reports relating to the staff development function. Includes agency skills audit reports. Destroy 5 years after report is completed NORMAL 1968 Records documenting the planning and conduct of internal and external audits relating to the staff development function. Includes: • liaison with the auditing body • minutes of meetings • notes taken at opening and exit interviews • draft report • comments. Destroy 2 years after action completed For the identification of training and development needs of individuals, use PERSONNEL- Performance Management. NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 1969 Delegations of power to agency staff to authorise administrative action relating to the staff development function. Destroy 7 years after delegation expires NORMAL 1970 Authorisations for administrative action relating to the staff development function. Destroy 7 years after action completed NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 1971 Records of internal and external committees formed to consider matters relating to the staff development function. Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 3 years after action completed NORMAL 1972 Working papers documenting the conduct and administration of committees which consider matters relating to the staff development function. Includes: • agenda • notices of meetings • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 1973 Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the staff development function. Destroy 7 years after action completed NORMAL Conferences The activities involved in arranging, or attending conferences held either by the organisation or by other organisations. Includes registrations, publicity and reports of participants etc. 1974 Records documenting conferences arranged by the agency to support the staff development function. Includes: • program development • invitations to speakers • promotion activities • registrations • venue bookings • copies of financial statements. Destroy 3 years after action completed NORMAL 1975 Reports commenting on and assessing agency-arranged conferences held to support the staff development function. Destroy 5 years after action completed NORMAL 1976 Master copies of unpublished proceedings and reports, speeches and papers from agency arranged conferences to support the staff development function. Destroy 5 years after last action For published agency-arranged conference proceedings, use PUBLICATIONS - Production. NORMAL 1977 Records documenting the attendance of staff at conferences arranged by other organisations. Includes conference promotion material, programs and conference registration forms. Destroy when reference ceases For travel and accommodation arrangements made for staff to attend conferences, use STAFF DEVELOPMENT - Arrangements. NORMAL 1978 Copies of published conference proceedings and official reports received at conferences arranged by other organisations. Place one copy in agency library or information centre. Destroy when reference ceases NORMAL 1979 Assessments of conferences arranged by other organisations. Destroy 3 years from the date of the conference NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. 1981 Records documenting the evaluation of potential or existing activities, programs and events relating to an agencies staff development function. Destroy 5 years after evaluation [For the evaluation of goods and services being considered for procurement in support of the staff development function (eg training packages), use PROCUREMENT – Evaluation.] NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 1982 Final version of minutes and supporting documents tabled at meetings held to support the staff development function. Includes meetings with external agencies. Destroy 3 years after action completed NORMAL 1983 Working papers documenting the conduct and administration of meetings held to support the staff development function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. 1984 Final version of agency-wide staff development plans. Includes training project management plans. Destroy 5 years after plan is superseded NORMAL 1985 Final version of a section or business unit's staff development plans, including state, regional or overseas office. Destroy 3 years after plan is superseded NORMAL 1986 Working papers used to develop all staff development plans. Includes draft plans, reports analysing issues, and comments received from other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL 1987 Copies of all staff development plans. Destroy when reference ceases NORMAL Policy 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. 1988 Records documenting the development and establishment of the agency's staff development policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents. Destroy 5 years after policy is superseded NORMAL 1989 Records documenting comments made on the development of government-wide staff development policies. Destroy 1 year after promulgation of the new policy NORMAL 1990 Working papers documenting the development of all staff development policies. Destroy 1 year after promulgation of the new policy NORMAL 1991 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 1992 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the staff development function. Destroy when procedures are superseded NORMAL 1993 Records documenting the development of agency procedures supporting the staff development function. Destroy 1 year after production of procedures NORMAL 1994 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 1995 Final version of formal reports and reports made to external agencies relating to the staff development function. Includes general staff surveys. Destroy 5 years after action completed NORMAL 1996 Final version of periodic reports on general administrative matters used to monitor and document recurring activities to support the staff development function. Destroy 3 years after action completed NORMAL 1997 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 1 year after action completed NORMAL 1998 Copies of staff development reports. Destroy when reference ceases NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 1999 Records documenting a review of agency programs and operations supporting the staff development function. Includes documents establishing the review, final report and action plan. Destroy 5 years after action completed NORMAL 2000 Working papers documenting a review of agency programs and operations supporting the staff development function. Destroy 2 years after action completed NORMAL Training The activities associated with all aspects of training (external/internal) available to staff. 2011 Records documenting the administration of government-wide initiatives (eg the administration of the Training Guarantee [Administration] Act 1990-1996). Destroy 5 years after action completed NORMAL 2012 Records documenting the administration of specific study schemes (eg Studybank, scholarships, agency-supported apprenticeship and other specific trainee schemes). Destroy 7 years after action completed NORMAL 2013 Records detailing staff attendance at both internal and external courses. Destroy 3 years after action completed NORMAL 2014 Records detailing administrative arrangements supporting the attendance of staff on training courses. Includes confirmation of course attendance and lodgement of application forms. Destroy 2 years after action completed For travel and accommodation arrangements made for staff to attend training courses, use STAFF DEVELOPMENT - Arrangements. NORMAL 2015 Notices of examination results of either internal or external courses attended by staff. Destroy 7 years after action completed Individual formal assessments and examination results should be kept on the staff member's personnel history file. In such instances, use PERSONNEL - Cases. NORMAL 2016 Records documenting assessments of internally and externally conducted courses. Includes course evaluations made by staff after attending courses. Destroy 3 years after action completed NORMAL 2017 Master set of training material for courses run internally by the agency (eg induction courses, graduate training and training of volunteers). Includes: • programs • lecture notes • hand-outs • films and videos. Destroy when course is superseded or when training material is no longer relevant For publishing training material, use PUBLICATION - Production. NORMAL 2018 Working papers documenting the development of training material for courses run internally by the agency. Destroy 1 year after training material is produced NORMAL 2019 Records detailing administrative arrangements supporting the conduct of training courses run internally by the agency. Includes: • processing applications • venue bookings • hire of equipment • catering • copies of financial records. Destroy 2 years after action completed For the payment of accounts supporting the running of internal courses, use FINANCIAL MANAGEMENT - Accounting and Payments. NORMAL 2020 Records documenting occupational health and safety (OH&S) training provided to agency staff including managers and OH&S representatives. Includes hazardous substance training and training provided to staff working in confined spaces. Destroy 50 years after training is completed NORMAL 2021 Occupational health and safety (OH&S) training register. Destroy 50 years after last entry NORMAL STRATEGIC MANAGEMENT The function of applying broad systematic management planning for the organisation. Includes the activities involved with the development, monitoring and reviewing of business plans, strategic plans, corporate plans, and other long-term organisational strategies. Also includes the development of the corporate mission, objectives, continuous improvement processes, quality assurance and certification, and the formulation and amendment of legislation which provides the legislative basis for the organisation. Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 21004 Records documenting the receipt and provision of advice relating to the strategic management function. Destroy 5 years after action completed [For the receipt or provision of advice to the portfolio Minister or government agencies, use GOVERNMENT RELATIONS - Advice.] NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. 2022 Final version of agreements made to support the agency's strategic management function. Includes service level agreements made between various units of the agency. Destroy 5 years after agreement expires or is superseded NORMAL 2023 Records documenting negotiations, establishment, maintenance and review of agreements. Destroy 5 years after agreement expires or is superseded NORMAL Audit The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the organisation in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. 2024 Final internal and external audit reports relating to the strategic management function. Destroy 10 years after action completed NORMAL 2025 Records documenting the planning and conduct of internal and external audits relating to the strategic management function. Includes: • liaison with the auditing body • minutes of meetings • notes taken at opening and exit interviews • draft report • comments. Destroy 5 years after action completed NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 2026 Records documenting high-level corporate committees with overall responsibility for making major decisions in the area of agency policy and agency corporate planning (eg executive management boards). Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Retain as national archives NORMAL 2027 Records of internal committees formed to consider specific matters relating to the strategic management function (eg audit committee, steering committees and ad hoc committees). Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing and discussion papers. Destroy 10 years after action completed Other committees that have a strategic management perspective should be linked to more specific functions (eg use PERSONNEL - Committees for personnel committees, and TECHNOLOGY & TELECOMMUNICATIONS - Committees for information technology steering committees). NORMAL 2028 Records documenting external or inter-agency committees formed to consider strategic management issues where the agency is a member. Includes: • documents establishing the committee • appointment of members • minutes • supporting documents such as briefing and discussion papers. Destroy 5 years after action completed NORMAL 2029 Working papers documenting the conduct and administration of all committees which consider matters relating to the strategic management function. Includes: • agenda • notices of minutes • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. Other activities within this function may also be relevant to the Compliance activity. 2030 Records documenting agency compliance with broad legislative and regulatory requirements. Destroy 7 years after action completed NORMAL Customer Service The activities associated with the planning, monitoring and evaluation of services provided to customers by the organisation. For specific plans supporting customer service strategies, use STRATEGIC MANAGEMENT - Planning. For an agency's customer service policy, use STRATEGIC MANAGEMENT - Policy. 2032 Records documenting the development of agency-wide strategies to deliver quality customer services. Destroy 5 years after strategies are superseded NORMAL 2033 Records documenting development of an agency-wide service charter. Destroy 5 years after Service Charter is superseded For the development of specific service charters, use the activity Customer Service under COMMUNITY RELATIONS and INFORMATION MANAGEMENT. For the development and production of the publication of the service charter, use PUBLICATION - Planning and PUBLICATION - Production. NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. 2034 Records documenting the evaluation of an agency’s strategic programs and services. Destroy 5 years after action completed [For the evaluation of goods and services being considered for procurement in support of the strategic management function, use PROCUREMENT – Evaluation. For the evaluation of performance management programs, use STRATEGIC MANAGEMENT – Performance Management.] NORMAL Fraud The processes which allow the disclosure of fraud, and strategies for the prevention of fraud. Includes involvement in fraud prevention projects and the education of staff about fraud disclosures. This function/activity set should not be used by agencies who undertake fraud surveillance and associated action to support a core function. In such cases specific coverage should be included in the agency’s own Records Authority. For agency fraud control plan supporting Government policy, use STRATEGIC MANAGEMENT - Planning. For financial management arrangements supporting the agency’s fraud control plan, use FINANCIAL MANAGEMENT - Fraud. For investigations into fraud allegations made against an employee, use PERSONNEL - Discipline. 2035 Records documenting the management of broad strategies to prevent fraud within the agency. Destroy 7 years after strategies are superseded NORMAL 2036 Records documenting the disclosure and investigation of fraud allegations made by or about an agency. Destroy 7 years after action completed NORMAL Grant Funding The activities associated with the application for and receipt of grants. 2037 Records documenting the development of strategies for managing processes associated with the agency applying for grants. Destroy 7 years after strategies are superseded For specific plans supporting strategies for the receipt of grant funding, use STRATEGIC MANAGEMENT - Planning. For an agency's grant funding policy, use STRATEGIC MANAGEMENT - Policy. For the application and management of grant funding from a public source, use COMMUNITY RELATIONS - Grant Funding. For the administration of grant funds received by an agency, use FINANCIAL MANAGEMENT - Grant Funding. NORMAL Implementation The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes the installation of equipment. Also includes monitoring to ensure that the implementation goes according to schedule and that standards are met and includes first aid treatment. 2038 Records documenting the implementation of plans, policies, strategies, procedures and instructions formulated to support the strategic management function. Includes monitoring the implementation activities. Destroy 3 years after action completed NORMAL Legislation The process of making laws. Includes Local, State, Commonwealth and overseas Acts, Bills and subsections of Acts, and amendments to each. 2039 Records documenting the development of proposals for new legislation and amendments to existing legislation administered by the agency. Includes submissions prepared for the agency's executive or corporate management board. Retain as national archives For submissions to the portfolio Minister and to Cabinet relating to legislative proposals, use GOVERNMENT RELATIONS - Submissions. For records supporting the preparation and passage of agency legislation through Parliament, use GOVERNMENT RELATIONS - Legislation. For advice provided to Cabinet, the portfolio Minister and other government agencies on the proposed legislation for the agency and for comments made on other agencies' proposed legislation, use GOVERNMENT RELATIONS - Advice. For legal advice received on the interpretation of legislation, use LEGAL SERVICES - Advice. NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 2040 Final version of minutes and supporting documents tabled at meetings held to support the strategic management function. Includes meetings with external agencies and internal management conferences held to discuss strategic issues. Destroy 7 years after action completed [For records of meetings of governing bodies, use GOVERNING BODIES For records of meetings of advisory bodies, use ADVISORY BODIES]. NORMAL 2041 Copies of minutes and supporting documents tabled at meetings held to support the strategic management function convened by another agency or organisation. Destroy 5 years after action completed NORMAL 2042 Working papers documenting the conduct and administration of all meetings to support the strategic management function. Includes agenda, notices of meetings and draft minutes. Destroy 1 year after action completed NORMAL Performance Management The process of identifying, evaluating, and developing corporate and employee work performance so that the organisation's goals and objectives are achieved and also benefiting employees through recognition, performance feedback, catering for work needs and offering career guidance. 21005 Records documenting the setting of performance expectations for the agency. Includes: • statement of expectations • statement of intent • final versions of formal performance agreements (where appropriate) • documentation of negotiations involved in setting performance expectations, including notes from meetings. Retain as national archives [For the establishment of performance management agreements for governing bodies or members of governing bodies, use GOVERNING BODIES – Performance Management. For individual employee performance agreements, use PERSONNEL – Performance Management.] NORMAL 21006 Records documenting the corporate performance management evaluation and assessment process. Covers internally and externally conducted performance assessment processes. Includes: • determination and evaluation of performance indicators • assessment, evaluation and monitoring of activities as part of the performance improvement cycle of the agency against broader Commonwealth goals • preparation of performance reports. Destroy 5 years after action completed [For formal reporting of the outcomes of corporate performance management processes, use STRATEGIC MANAGEMENT – Reporting. For identifying, evaluating and developing performance programs for agency staff, use PERSONNEL – Performance Management.] NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. 2044 Final version of agency-wide strategic or corporate plans. Retain as national archives NORMAL 2045 Final versions of national business plans and unit level work plans. Destroy 5 years after plan is superseded NORMAL 2046 Final versions of other plans formulated to support the management of specific strategic management activities (eg fraud control plan and human resource management plan). Destroy 7 years after plan is superseded NORMAL 2047 Working papers documenting the development of all strategic management plans. Includes input into plans, comments received and drafts. Destroy 3 years after action completed NORMAL 2048 Copies of all strategic management plans. Destroy when reference ceases NORMAL Policy 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. 2049 Records documenting the development and establishment of the agency's strategic management policies. Includes: • policy proposals • research papers • results of consultations • supporting reports • major drafts • final policy documents • national policy statements. Retain as national archives For the development of the Chief Executive instructions, use FINANCIAL MANAGEMENT - Policy. NORMAL 2050 Records documenting comments made on the development of government-wide strategic management policies. Destroy 3 years after promulgation of the new policy NORMAL 2051 Working papers documenting the development of all strategic management policies. Destroy 3 years after promulgation of the new policy NORMAL 2052 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 2053 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the strategic management function. Destroy when procedures are superseded NORMAL 2054 Records documenting the development of agency procedures supporting the strategic management function. Destroy 1 year after production of procedures NORMAL 2055 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 2056 Final versions of formal internal reports and reports made to external agencies relating to the strategic management function. Retain as national archives For the Annual Report drafting process, use PUBLICATION - Drafting. For the design, printing and retention of the final copy of an agency's Annual Report, use PUBLICATION - Production. For the submission of the agency's Annual Report to the portfolio Minister, use GOVERNMENT RELATIONS - Compliance. NORMAL 2057 Final versions of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the strategic management function. Includes work progress reports against business and work plans and unit level performance reporting. Destroy 7 years after action completed NORMAL 2058 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 2 years after action completed NORMAL 2059 Copies of strategic management reports. Destroy when reference ceases NORMAL 2060 Responses to surveys by other agencies or by the central office of an agency. Destroy 3 years after action completed NORMAL Research The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc used to support development of projects, standards, guidelines etc and the business activities of the organisation in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc. 2061 Records documenting major research carried out to support the strategic management function. Destroy 5 years after action completed NORMAL 2062 Records documenting minor research carried out to support the strategic management function. Destroy when reference ceases NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. For reviews of an agency structure to meet organisational goals, use ESTABLISHMENT - Restructuring. 2063 Records documenting a review of agency programs and operations supporting the strategic management function. Includes documents establishing the review, final report and action plan. Destroy 10 years after action completed NORMAL 2064 Working papers documenting a review of agency programs and operations supporting the strategic management function. Destroy 3 years after action completed NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 2065 Records documenting risk management including each stage of the process, risk assessments, treatment schedules and action plans Destroy 7 years after next risk assessment NORMAL 2066 Strategic management risk register. Destroy 7 years after next risk assessment NORMAL Standards The process of implementing industry or organisational benchmarks for services and processes to enhance the quality and efficiency of the organisation. For compliance with standards (except where other activities apply), use STRATEGIC MANAGEMENT - Compliance. 2067 Records documenting the implementation of industry and agency standards to support the strategic management function. Destroy 7 years after action completed NORMAL TECHNOLOGY & TELECOMMUNICATIONS The function of developing or acquiring, testing and implementing applications, systems and databases to support the business needs of the organisation, to capture, store, retrieve, transfer, communicate and disseminate information through automated systems. Includes the evaluation of software and hardware and the acquisition, tendering, leasing, licensing and disposal of systems. Also includes communication network systems such as video conferencing, voice mail and electronic mail and the technical aspects of the Internet, Intranet and Web Sites. Advice The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising. 2081 Records documenting the receipt and provision of external advice on technology and telecommunications issues. Includes advice provided by consultants. Destroy 5 years after action completed [For the management of contracts with consultants, use PROCUREMENT – Contracting-out.] NORMAL 2082 Records documenting the receipt and provision of internal advice on technology and telecommunications issues. Destroy 1 year after action completed NORMAL Agreements The processes associated with the establishment, maintenance, review and negotiation of agreements. For agreements relating to the acquisition of technology and telecommunications equipment, goods and services, use PROCUREMENT. For lease agreements, use PROCUREMENT - Leasing or TECHNOLOGY & TELECOMMUNICATIONS - Leasing-out. 2084 Records documenting negotiations, establishment, maintenance and review of agreements made. Destroy 7 years after completion or other termination of agreement NORMAL 21007 Final version of agreements made relating to the technology and telecommunications function (eg Memoranda of Understanding). Destroy 7 years after completion or other termination of agreement NORMAL Allocation The process of assigning of money, items, or equipment to employees or organisational units. 2085 Records documenting the allocation of equipment, services, facilities or software to individuals or organisational units. Includes the allocation of international subscriber dialling, subscriber trunk dialling, voicemail facilities and mobile phones. Destroy 3 years after last action NORMAL Application Development The activities associated with developing software and programming codes to run business applications. Includes specifications, testing, pilots, prototyping and metadata requirements. 2086 Records documenting the development, modification and maintenance of specific applications to meet business needs which go into production. Includes: • feasibility studies • pilot studies • final version of all system documentation, user and technical manuals • application specific data dictionaries • final version of business rules • final version of user requirements • final version of system specifications • rectification of problems (includes Year 2000 remediation) • requests for system changes • final sign-off by all parties. Destroy 5 years after (sub)system is defunct and any data supported is either migrated or destroyed For system analysis and development of specifications, user requirements and business rules, use TECHNOLOGY & TELECOMMUNICATIONS - Evaluation. For business process reengineering and revision of specifications, use TECHNOLOGY & TELECOMMUNICATIONS - Reviewing. For the maintenance of agency-wide data dictionaries, use TECHNOLOGY & TELECOMMUNICATIONS - Data Administration. For the ongoing management of database applications, use TECHNOLOGY & TELECOMMUNICATIONS - Database Management. For requests for changes to existing systems, use TECHNOLOGY & TELECOMMUNICATIONS - Reviewing. NORMAL 2087 Records documenting the development and modification of specific applications to meet business needs which do not go into production or are otherwise abandoned. Includes: • feasibility studies • pilot studies • system documentation, user and technical manuals • application specific data dictionaries • business rules • user requirements • system specifications Destroy 2 years after last action NORMAL 2088 Records documenting testing activities where unexpected results are found. Includes: • testing strategies • result forms • test report. Destroy when problem has been rectified NORMAL 2089 Records documenting testing activities where expected results are found. Includes: • testing strategies • result forms • test report. Destroy 7 years after action completed NORMAL Audit The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the organisation in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. 2090 Final internal and external audit reports relating to the technology and telecommunications function. Destroy 5 years after action completed For audit logs, use TECHNOLOGY & TELECOMMUNICATIONS - Control. NORMAL 2091 Records documenting the planning and conduct of internal and external audits relating to the technology and telecommunications function. Includes: • liaison with the auditing body • minutes of meetings • notes taken at opening and exit interviews • draft report • comments. Destroy 3 years after action completed NORMAL Authorisation The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. 2092 Delegations of power to agency staff to authorise administrative action relating to the technology and telecommunications function. Destroy 7 years after delegation expires NORMAL 2093 Authorisations for administrative action supporting the technology and telecommunications function. Destroy 7 years after action completed NORMAL Committees The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 2094 Records of committees and/or subcommittees formed to consider specific matters relating to the technology and telecommunications function (eg configuration control board). Includes: • documents establishing the committee • final versions of minutes • reports • recommendations • supporting documents such as briefing papers and discussion papers. Destroy 5 years after action completed NORMAL 2095 Working papers documenting the conduct and administration of committees which consider matters relating to the technology and telecommunications function. Includes: • agenda • notices of minutes • draft minutes. Destroy when reference ceases NORMAL Compliance The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. For Year 2000 compliance, use general classes under: * TECHNOLOGY & TELECOMMUNICATIONS - Implementation * TECHNOLOGY & TELECOMMUNICATIONS - Planning * TECHNOLOGY & TELECOMMUNICATIONS - Reviewing (including testing) * TECHNOLOGY & TELECOMMUNICATIONS - Reporting * TECHNOLOGY & TELECOMMUNICATIONS - Application Development * TECHNOLOGY & TELECOMMUNICATIONS - Risk Management 2096 Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the technology and telecommunications function. Destroy 5 years after action completed NORMAL Control The activities associated with creating, maintaining and evaluating control mechanisms. Includes classification, indexing, registration, forms design etc. to ensure maximum control over records and recordkeeping systems. Also includes control mechanisms for other information resources and systems. 2098 Records documenting the development of control mechanisms (eg authenticity and version control). Destroy 5 years after mechanism is superseded For development of business rules etc for recordkeeping metadata mechanisms, use INFORMATION MANAGEMENT - Control. NORMAL 2099 System logs which are used to show a history of access or change to data (eg system access logs, internet access logs, system change logs and audit trails etc). Destroy 7 years after action completed NORMAL 2100 System logs which are not used to show a history of access or change to data (eg backup logs). Destroy when reference ceases NORMAL 2101 Records documenting the allocation and maintenance of metadata in electronic systems. Destroy when reference ceases For the allocation of recordkeeping metadata, use INFORMATION MANAGEMENT - Control. NORMAL 2102 Records documenting the maintenance of e-mail address lists (internal and external) and/or telephone lists, telephone call pick up groups etc. Destroy when reference ceases NORMAL Customer Service The activities associated with the planning, monitoring and evaluation of services provided to customers by the organisation. For Help Desk services, use TECHNOLOGY & TELECOMMUNICATIONS - Operations. 2103 Records documenting the planning, monitoring and evaluation of customer services. Includes market research, feedback mechanisms and performance and response time monitoring. Destroy 3 years after action completed NORMAL 2104 Records documenting the development of internal service charters for the provision of technology and telecommunications services in an agency. Destroy 3 years after superseded NORMAL Data Administration The activities associated with maintaining and using the data that is held in a system, either automated or manual. Includes the maintenance of data dictionaries. For the allocation and maintenance of metadata in electronic systems, use TECHNOLOGY & TELECOMMUNICATIONS - Control. 2105 Records documenting the migration of records between electronic systems and from one electronic medium to another. Includes strategies for the migration and quality assurance checks to confirm accuracy of the migration process. Destroy 1 year after data is either migrated again or destroyed For the copying of records from one medium to another (eg paper to electronic), use INFORMATION MANAGEMENT - Data Administration. For arranging the transfer or integration of systems following an administrative change, use TECHNOLOGY & TELECOMMUNICATIONS - Restructuring. NORMAL 2106 Records documenting the maintenance of agency-wide data dictionaries. Destroy when superseded For the maintenance of application specific data dictionaries, use TECHNOLOGY & TELECOMMUNICATIONS - Application Development. NORMAL Database Management The activities associated with the building, prototyping and testing of databases. Includes the management of user rules, passwords and monitoring usage and response times. For the development and maintenance of database applications, use TECHNOLOGY & TELECOMMUNICATIONS - Application Development For requests for password changes, use TECHNOLOGY & TELECOMMUNICATIONS - Operations. For backup related issues, use TECHNOLOGY & TELECOMMUNICATIONS - Implementation. 2107 Records documenting database management. Includes requests for changes to schemas, views and configuration management. Destroy 7 years after action completed NORMAL 2108 Ad-hoc requests for information from agency databases. Destroy 1 year after action completed NORMAL Disposal The process of disposing of property no longer required by the organisation, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer to archives, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage. For the disposal of records in electronic systems in accordance with Records Disposal Authorities, use INFORMATION MANAGEMENT - Disposal. 2109 Records documenting the disposal of leased assets. Includes written notices and correspondence to and from leasing companies in relation to return of assets, handover report and notification that agency or their nominee wishes to purchase assets. Destroy 3 years after disposal of asset NORMAL 2110 Records documenting the disposal of Commonwealth owned assets. Includes independent valuation, certificate verifying that work undertaken on asset was prior to valuation, written quotes, auction records and routine forms and correspondence relating to the disposal of assets. Destroy 7 years after disposal of asset [For the disposal of equipment and goods by tender, use PROCUREMENT - Tendering.] NORMAL Evaluation The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring. 2111 Records documenting analysis of business processes. Includes systems analysis and business process analysis. Destroy 7 years after action completed NORMAL 2112 Records documenting the evaluation of potential or existing technology and telecommunications services and systems. Destroy 7 years after action completed NORMAL 2113 Records documenting the development and issue of specifications for technology and telecommunications equipment, goods and services. Includes statement of requirements, request for proposals, expression of interest and business case. Destroy 7 years after last action [For Requests for Tender (RFT) and draft contract, use PROCUREMENT - Tendering. For the acquisition of equipment, goods and services by means other than tender, use PROCUREMENT - Acquisition.] NORMAL 2114 Initial evaluation of ’commercial-off-the-shelf’ (COTS) products and services and whole-of-government solutions to be used in new technology or telecommunications projects (including shared system suite and endorsed suppliers). Also includes justification of decisions not to proceed with whole-of-government solutions. Destroy 7 years after action completed [For the process of acquiring technology and telecommunications equipment, goods and services, use PROCUREMENT - Acquisition. For the management of technology and telecommunication contracts, use PROCUREMENT - Contracting-Out. For reevaluation of existing products and services, use TECHNOLOGY AND TELECOMMUNICATIONS - Reviewing. For the evaluation of the non-technological aspects of an evaluation, use appropriate function (eg FINANCIAL MANAGEMENT for the evaluation of a finance system and PERSONNEL for the evaluation of a personnel system).] NORMAL 2115 Records documenting investigations into the feasibility of contracting out technology and telecommunication activities. Destroy 7 years after action completed NORMAL 2116 Records documenting assessments of, and input into, whole-of-government outsourcing solutions. Includes justification of decision not to proceed with such solutions. Destroy 7 years after action completed NORMAL Implementation The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes the installation of equipment. Also includes monitoring to ensure that the implementation goes according to schedule and that standards are met and includes first aid treatment. 2117 Records documenting the application of an agency's counter-disaster plan or business continuity plan following an incident. Includes records covering the protection and re-establishment of data and the agency backup plan. Retain as national archives For the development of a counter-disaster plan covering the technology and telecommunications function, use TECHNOLOGY & TELECOMMUNICATIONS - Planning. For the recovery of information on an ad-hoc basis, use TECHNOLOGY & TELECOMMUNICATIONS - Operations. For the implementation of the counter-disaster plan, vital records plan and emergency destruction plan within the organisation's information resources, use INFORMATION MANAGEMENT - Implementation. NORMAL 2118 Records documenting the implementation of plans, policies, strategies, procedures and instructions formulated to support the technology and telecommunications function. Includes monitoring implementation activities (eg regular backups) and the introduction of new equipment and software to a wide audience. Destroy 5 years after action completed For post implementation reviews, use TECHNOLOGY & TELECOMMUNICATIONS - Reviewing. For the non-technological aspects of an implementation, use the appropriate function (eg FINANCIAL MANAGEMENT for the implementation of a finance system and PERSONNEL for the implementation of a personnel system). NORMAL 2119 Records documenting project management of all technology and telecommunications projects. Destroy 5 years after action completed NORMAL Inspections The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives. 2120 Records documenting the routine inspection of technology and telecommunications assets and facilities (eg to ensure that unauthorised software or equipment is not being used). Destroy 3 years after action completed For formal audits, use TECHNOLOGY & TELECOMMUNICATIONS - Audit. NORMAL Installation Activities involved in placing equipment in position and connecting and adjusting it for use. 2121 Records documenting installation, configuration and relocation of technology and telecommunications equipment and facilities. Includes cabling from wall socket to a device and configuration of network hubs. Destroy 2 years after action completed For the installation of cabling for communications networks from a network hub or PABX etc to a user wall socket or to the telecommunications provider point of entry, use PROPERTY MANAGEMENT- Installation. NORMAL 2122 Records documenting configuration of corporate software. Destroy 5 years after software is defunct and any data supported is either migrated or destroyed NORMAL Intellectual Property The activities involved in managing the agency's intellectual property, both published and unpublished, and the use of material held by the agency in which another party owns the intellectual property. Includes the management of copyright, design, patents and trademarks, royalties and matters of confidentiality such as trade secrets which are not available to the public under Freedom of Information (FOI) legislation. For the establishment and general management of intellectual property, use LEGAL SERVICES - Intellectual Property. For handling infringements of intellectual property, use LEGAL SERVICES - Infringements. For the payment and receipt of royalties, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. 2123 Applications made by the agency to use portions of software developed by another agency, organisation or individual. Destroy 7 years after action completed [For the purchase of licences to use commercial-off-the-shelf (COTS) solutions, use PROCUREMENT - Acquisition.] NORMAL 2124 Requests from the public and other agencies for permission to reproduce portions of agency-developed software. Destroy 7 years after action completed NORMAL Leasing-out The activities involved in leasing-out items, equipment, accommodation, premises or real estate to another organisation or person for a specified period and agreed price. Includes the formal documentation setting out conditions, rights, responsibilities etc. of both parties. Also includes subleasing. 2126 Records documenting arrangements for the leasing out of agency equipment and facilities to other bodies. Destroy 7 years after lease expires or is terminated For managing financial transactions associated with leasing-out activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments. NORMAL Maintenance The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external conditions of premises, equipment, vehicles etc. 2127 Records documenting the maintenance and modification of technology and telecommunications assets. Destroy 3 years after action completed For the rectification of minor faults by agency staff, use TECHNOLOGY & TELECOMMUNICATIONS - Operations. For the maintenance and modification of software, use TECHNOLOGY & TELECOMMUNICATIONS - Application Development. For system change requests, use TECHNOLOGY & TELECOMMUNICATIONS - Reviewing. NORMAL Meetings The activities associated with ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the management of the section, department, or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. 2128 Final version of minutes and supporting documents tabled at meetings held to support the technology and telecommunications function. Includes meetings with external agencies. Destroy 3 years after action completed NORMAL 2129 Working papers documenting the conduct and administration of meetings held to support the technology and telecommunications function. Includes agenda, notices of meetings and draft minutes. Destroy when reference ceases NORMAL Modelling The processes involved in designing, testing and evaluating sample model profiles of systems under analysis. 2130 Development of business or technical models or prototypes used to support the technology and telecommunication function. Destroy 7 years after action completed For systems analysis, use TECHNOLOGY & TELECOMMUNICATIONS - Evaluation. For models which support the application development activity, use TECHNOLOGY & TELECOMMUNICATIONS - Application Development. NORMAL Operations The activities associated with keeping computer systems in effective operation on a daily basis. Includes fault reporting, help and desktop support. 2131 Records relating to help desk operations. Includes: • minor maintenance and advice • technical assistance to an individual • requests to reset passwords • requests to recover data from backup tapes, etc Destroy 1 year after action completed For the repair of equipment by an external service provider, use TECHNOLOGY & TELECOMMUNICATIONS - Maintenance. For the introduction of new equipment or software to a wider audience, use TECHNOLOGY & TELECOMMUNICATIONS - Implementation. For the planning, monitoring and evaluation of services, use TECHNOLOGY & TELECOMMUNICATIONS - Customer Service.For the recovery of data on a wide scale (ie after a disaster), use TECHNOLOGY & TELECOMMUNICATIONS - Data Administration. NORMAL Planning The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. For project management/implementation plans (including Year 2000 implementation plans), use TECHNOLOGY & TELECOMMUNICATIONS - Implementation. 2132 Final version of agency-wide technology and telecommunications plans. Includes: • System security plan • Information system security plan • Business continuity plan • Forensic plan • Information technology strategic management plan • Access control plans • Counter-disaster plans relating to technology and telecommunications • Telecommunications plan Destroy 5 years after plan is superseded For the implementation of counter disaster plans and business continuity plans, use TECHNOLOGY & TELECOMMUNICATIONS - Implementation. NORMAL 2133 Final version of agency Year 2000 Compliance plan. Destroy 7 years after all action contained in the plan is completed NORMAL 2134 Final version of a section or business unit's technology and telecommunications plans, including state, regional or overseas office. Destroy 3 years after plan is superseded NORMAL 2135 Working papers used in developing all technology and telecommunications plans. Includes draft plans, reports analysing issues, and comments received from other areas of the agency. Destroy 1 year after adoption of the final plan NORMAL 2136 Copies of all technology and telecommunications plans. Destroy when reference ceases NORMAL Policy 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. 2137 Records documenting the development and establishment of the agency's technology and telecommunications policies. Includes policy proposals, research papers, results of consultations, supporting reports and major drafts and final policy documents. Includes: • information system security policy • IT security policy • small system security scheme policy • mobile phone policy Destroy 5 years after policy is superseded For an agency's overall information security policy, use INFORMATION MANAGEMENT - Policy. NORMAL 2138 Records documenting comments made on the development of government-wide policies. Destroy 1 year after promulgation of the new policy NORMAL 2139 Working papers documenting the development of all technology and telecommunication policies. Destroy 1 year after promulgation of the new policy NORMAL 2140 Copies of policy documents and supporting papers. Destroy when reference ceases NORMAL Privacy The activities associated with applying the principles of privacy. Includes data protection in relation to privacy. Also includes the process of collection, handling, use and disclosure of records of a private, personal, or confidential nature to maintain that the rights of a living person (or immediate family) are secure from unauthorised disclosure or access to such information. For direction on the disposal of records relating to data matching, use General Disposal Authority 24. For the mechanisms to protect privacy, use TECHNOLOGY AND TELECOMMUNICATIONS - Security. For audit and access logs, use TECHNOLOGY & TELECOMMUNICATIONS - Control. 2141 Records documenting the application of Information Privacy Principles and guidelines to agency technology and telecommunication applications and systems. Destroy 7 years after action completed NORMAL 2142 Records documenting investigations into alleged breaches of privacy involving the use of technology and telecommunication applications and systems. Includes referral of those breaches to law enforcement authorities and/or the Office of the Privacy Commissioner. Destroy 5 years after action completed For disciplinary action against staff for privacy related breaches, use PERSONNEL - Discipline. NORMAL Procedures Standard methods of operating laid down by an organisation according to formulated policy. 2143 Master set of agency manuals, handbooks, directives etc detailing procedures supporting the technology and telecommunications function. Destroy 5 years after procedures are superseded For user and technical manuals for agency developed applications, use TECHNOLOGY & TELECOMMUNICATIONS - Application Development. NORMAL 2144 Records documenting the development of agency procedures supporting the technology and telecommunications function. Destroy 1 year after action completed NORMAL 2145 Copies of manuals, handbooks, directives etc. Destroy when reference ceases NORMAL 2146 Operating manuals for technology and telecommunications equipment, facilities or software not developed by the agency. Destroy when reference ceases or transfer to new owner on disposal of equipment, facilities or software For user and technical manuals developed for agency-developed applications, use TECHNOLOGY & TELECOMMUNICATIONS - Application Development. For distribution and implementation of procedures, use TECHNOLOGY & TELECOMMUNICATIONS - Implementation. NORMAL Reporting 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 to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 2147 Final copies of formal internal reports and reports made to external agencies relating to the technology and telecommunications function. Destroy 7 years after action completed NORMAL 2148 Periodic internal reports on general administrative matters used to monitor and document recurring activities to support the technology and telecommunications function. Includes summary reports, work progress reports and production reports. Destroy 3 years after action completed NORMAL 2149 Responses to surveys by other agencies or by the central office of an agency. Destroy 3 years after action completed NORMAL 2150 Working papers documenting the development of all reports. Includes drafts and comments received. Destroy 1 year after action completed NORMAL 2151 Copies of technology and telecommunications reports. Destroy when reference ceases NORMAL Research The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc used to support development of projects, standards, guidelines etc and the business activities of the organisation in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc. 2152 Records documenting detailed research carried out to support the technology and telecommunications function. Destroy 3 years after action completed For systems analysis, use TECHNOLOGY & TELECOMMUNICATIONS - Application Development, TECHNOLOGY & TELECOMMUNICATIONS - Evaluation or TECHNOLOGY & TELECOMMUNICATIONS - Modelling. NORMAL 2153 Records documenting routine research carried out to support the technology and telecommunications function. Destroy when reference ceases NORMAL Restructuring The activities involved in the reassessment of the activities, goals and structure of an organisation. Includes consideration of the number of staff, their position descriptions, equipment, and other resources required to meet objectives. 2154 Arrangements for the transfer or integration of technology and telecommunications systems/assets etc to or from other agencies (ie after administrative change). Destroy 7 years after last action For migration of information, use TECHNOLOGY & TELECOMMUNICATIONS - Data Administration. NORMAL Reviewing The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 2155 Records documenting a review of agency programs and operations supporting the technology and telecommunications function. Includes documents establishing the review, final report, action plan and identification of problems needing rectification. Destroy 7 years after action completed For the rectification of identified problems, use TECHNOLOGY & TELECOMMUNICATIONS - Application Development. NORMAL 2156 Working papers documenting the conduct of an agency review into programs and operations supporting the technology and telecommunications function. Destroy 2 years after action completed NORMAL 2157 Records documenting the development of methodologies for conducting reviews. Destroy 7 years after action completed NORMAL 2158 Records documenting post implementation reviews. Destroy 7 years after action completed NORMAL 2159 Records documenting testing activities where unexpected results are found. Includes: • testing strategy • testing plan • result forms • test report. Destroy when problem has been rectified NORMAL 2160 Records documenting testing activities where expected results are found. Includes: • testing strategy • testing plan • result forms • test report. Destroy 7 years after action completed NORMAL 2161 Certificates of compliance/completion. Destroy 7 years after action completed NORMAL Risk Management The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. 2162 Records documenting risk management relating to the technology and telecommunication function. Includes documentation covering each stage of the process, risk assessments, treatment schedules and action plans. Destroy 7 years after next risk assessment NORMAL 2163 Technology and telecommunications risk register. Destroy 7 years after next risk assessment NORMAL Security The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks. For the security classification and appropriate protection of data, use INFORMATION MANAGEMENT - Security. For physical security (including control of access to computer rooms etc), use PROPERTY MANAGEMENT - Security. For the protection of personal information in technology and telecommunication systems, use TECHNOLOGY & TELECOMMUNICATIONS - Privacy. 2164 Records documenting the implementation of security arrangements for technology and telecommunications systems. Includes authentication, encryption, reports on security leaks, investigation into alleged security breaches and referral of those breaches to law enforcement authorities. Destroy 7 years after action completed For requests for changes to passwords etc, use TECHNOLOGY & TELECOMMUNICATIONS - Operations. For disciplinary action against staff for security related breaches, use PERSONNEL - Discipline. NORMAL 2165 Requests for advice and approval from other organisations (eg Defence Signals Directorate) about technology and telecommunication security issues. Includes requests for the issue of crypto variables etc. Destroy 7 years after approval ceases NORMAL 2166 Records documenting arrangements for the sanitisation of technology equipment prior to disposal. Destroy 1 year after action completed NORMAL 2167 Requests for approval to connect equipment to agency networks, either on agency premises or via dial-up communications links. Destroy 3 years after action completed NORMAL 2168 Records documenting the control of removable media in secure systems. Includes inventory of removable items, media musters and register of media import and export (eg floppy disks and the removal of hard disks). Destroy 7 years after action completed NORMAL 2169 Records documenting the oversight of projects by a 'security accreditation authority' and appropriate certifying authorities. Includes appointment of members to the authorities. Destroy 7 years after action completed NORMAL Standards The process of implementing industry or organisational benchmarks for services and processes to enhance the quality and efficiency of the organisation. For compliance with standards (except where other activities apply), use TECHNOLOGY & TELECOMMUNICATIONS - Compliance. 2170 Records documenting the implementation of industry and agency standards to support the technology and telecommunications function. Destroy 7 years after action completed NORMAL