Retention and Disposal Schedule Template by p88p

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									[Cover page - Insert the following]:




                                       <Name of Organisation>


                      Retention and Disposal Schedule for Functional Records


                                           <Month Year>


                                      <RD YYYYNNN>
                 [Supplied by the SRO when 1st draft of the revised schedule is
                                         submitted]
                                                            <Name of Organisation>
                                             Retention and Disposal Schedule for Functional Records
Table of Contents




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                                                            <Name of Organisation>
                                             Retention and Disposal Schedule for Functional Records


1 About This Document
    1.1 Background [of the organisation]
    The <Name of Organisation> was established on [insert date].
    [Insert the following]:
     <Brief organisational history, indicating names of any predecessor organisations, and any amalgamations and separations that
        may have occurred and dates when these occurred>;
     <Major functions of the organisation>

    1.2 Purpose of the Retention and Disposal Schedule
    This Retention and Disposal Schedule (R&D) provides a management tool for identifying and determining the retention and disposal
    of functional records created by <Name of Organisation>. It contains valuable information and guidance to the organisation in respect
    to the major categories of records it creates. It is therefore an important business tool and assists to guide compliance with legal
    obligations. This R&D has been created to form part of the Recordkeeping Plan of the <Name of Organisation>, as required under
    section 16(3)(a-c)of the State Records Act 2000.

    The aims of the R&D are to:
     Identify records which are worth preserving permanently as State archives and which will be transferred to the State Records
       Office of Western Australia (SRO) for permanent storage;
     Prevent the premature destruction of records which need to be retained for a specific period to satisfy legal, financial and other
       requirements of public administration; and
     Authorise the destruction of those records not required for permanent retention.

    1.3 Scope of the Retention and Disposal Schedule
    This R&D covers the functional records of:
     The <Name of Organisation>; and
     [List any subordinate/other organisations as appropriate].

    This R&D supersedes:

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                                                            <Name of Organisation>
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         [List any R&Ds superseded by this R&D]

    Records already sentenced under previously approved R&Ds which are still in the custody of <Name of Organisation> will be re-
    sentenced in accordance with this R&D.

    The R&D applies to records in all formats. (See 3.1 Formats)

    Where appropriate the R&D provides directions to the relevant GDA. (See 2.2 General Disposal Authorities)

    [If the organisation reproduces hard copy original records in electronic format as a replacement of the hard copy source record (ie a
    document that has been copied, converted or migrated, or will be the input for such a process. A source record may be an original
    record or it may be a reproduction that was generated by an earlier copying, conversion or migration process (National Archives of Australia
    (2003). General Disposal Authority for Source Records , p.15)), those records will have to be included in the Scope of the Retention and Disposal
    Schedule. See 3.5 Reproduction of Records]

    1.4 Revision of the Retention and Disposal Schedule
    Authorised employees of <Name of Organisation> will review the structure and use of this R&D not less than every five years. The
    revised R&D will be submitted to the State Records Commission for approval prior to its implementation.

    If any record categories are found, for example arising from a new function or new record type, and are not referred to in this R&D,
    they must not be destroyed. In such a situation the SRO must be contacted with a request to amend the R&D. No records in such a
    category are to be destroyed until approval is obtained from the State Records Commission to amend this R&D. Any unauthorised
    destruction of records is an offence under s78 of the State Records Act 2000.

2 Recordkeeping Environment
    2.1    Legislation
    Relevant legislation and regulations include, but are not limited to:
    [List any enabling legislation and regulations and any other legislation explicitly applicable to recordkeeping in the organisation in
    addition to:]

         State Records Act 2000

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         Criminal Code Act 1913
         Electronic Transaction Act 2003
         Evidence Act 1906
         Financial Management Act 2006
         Freedom of Information Act 1992
         Limitation Act 2005
         Public Sector Management Act 1994

    2.2    General Disposal Authorities (GDAs)
    The following GDAs produced by the State Records Office will be used for administrative records, financial and accounting records
    and human resource management records:

         General Disposal Authority for Administrative Records (GDAA);
         General Disposal Authority for Financial and Accounting Records (GDAFA); and
         General Disposal Authority for Human Resource Management Records (GDAHR).

    2.3    Freedom of Information
    The Freedom of Information Act 1992 (FOI Act) prescribes rights and procedures for access to documents held by Government
    organisations. If a request for access under the FOI Act has been lodged, all records relevant to the request must be identified and
    preserved until action on the request and on any subsequent reviews by the Information Commissioner or the relevant Court are
    completed. This applies regardless of whether the records in question are due for destruction.

    FOI requests that have been identified as State archives must contain copies of the records that were the subject of the requests.

    2.4    Investigations and Inquiries
    If an Investigation or Inquiry is in progress (or likely or imminent), all records relevant to the Investigation or Inquiry must be identified
    and preserved until the action and any subsequent actions are completed.

    2.5    Publications Produced by the Organisation


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                                                            <Name of Organisation>
                                             Retention and Disposal Schedule for Functional Records
    Premier’s Circular No. 2003/17, Requirements for Western Australian Government Publications and Library Collections” requires
    that:
    “Copies of all publications produced by public sector agencies and statutory authorities are to be deposited with the State Library of
    Western Australia and the National Library of Australia.”
    Four (4) copies of <Name of Organisation> publications are to be sent to the State Library of Western Australia and one (1) copy to
    the National Library of Australia in accordance with Premier’s Circular 2003/17.

3 Organisation’s Records
    3.1    Formats
          3.1.1 Electronic Records
          Electronic records are subject to the provisions of this R&D in the same way as hard copy records. Where they are not printed
          and attached to a hard copy file they will be managed in electronic form to remain accessible for as long as they are required in
          accordance with this R&D and SRC Standard 8, Digital Recordkeeping. Electronic records which are of continuing value will be
          migrated through successive upgrades of hardware and software for the required retention period, in accordance with State
          Records Policy Number 8, Policy for the Ongoing Management of Electronic Records Designated as Having Archival Value.

          3.1.2 Databases
          The following major corporate databases and information systems are held by the <Name of Organisation>. Refer to Part C for
          retention periods for databases.

          [List major databases, their purpose, the types of record held (including whether they are ephemeral, constantly written over,
          summarise information held elsewhere etc) and section of the organisation responsible for maintaining the database.]

          [Databases that contain information relating to the organisation’s functions must be included in the main body of the R&D. If hard
          copy records are produced from the database, the R&D must state which (the hard copy of the electronic copy) constitutes the
          complete and accurate record.]

          3.1.3 Websites


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                                                            <Name of Organisation>
                                             Retention and Disposal Schedule for Functional Records
         Electronic records held on the website will be managed in accordance with the Guidelines for State Government Websites,
         currently maintained by the Office of E-Government as part of the Website Governance Framework, State Records Office Policy
         No 8 Policy for the Ongoing Management of Electronic Records Designated as Having Archival Value and SRC Standard 8, Digital
         Recordkeeping.

          [Describe the type of information contained in the website, system of management of the website (see examples below).]

         The <Name of organisation> maintains <number> website/s. The website contains informational material only. The website is
         relatively small and fairly static. Changes to website information are approved prior to publication by an authorised officer. Web
         pages are printed before and after changes are made and the hard copy is filed. The entire website is printed twice yearly and
         retained permanently for reference and historical purposes.

         OR
         The <Name of organisation> maintains <number> website/s. The website contains informational material only. Changes to
         website information are approved prior to publication by an authorised officer. The web authoring software saves a record of
         previous versions of updated pages which are easily retrieved for reference or to roll back the page if necessary. The entire
         website is burned to CD twice yearly and retained permanently for reference and historical purposes.

         OR
         The <Name of organisation> maintains <number> website/s which are used for both informational and transactional purposes.
         Transactions conducted via the website are retained as records in the Financial Management or Records Management system as
         appropriate. Transactional information is managed in accordance with the Electronic Transactions Act 2003. The website is
         updated and managed using the <Name> content management system. The system maintains a record of all changes to the
         website. Individual pages or the entire website can be rolled back to a specified date if required. Changes to website information
         are approved prior to publication by an authorised officer.

         Refer to Part C for retention periods for the website/s.

         3.1.4 Photographs and Audiovisual
         Audiovisual records (including photographs, videotapes, films and audiotapes) are to be treated in the same manner as any other
         record format, and are to be sentenced in accordance with the subject matter to which they relate.

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          The content of photographs must be identifiable, that is, the people, places, events and dates depicted in them must be identified.
          If the content cannot be identified, the <Name of Organisation> will consult with the State Records Office.

          The sentencing of audiovisual records must be considered in relation to:
           Their subject matter; and
           Documentary material that relates to their creation and use.

          A photograph, cassette tape or other audiovisual record should be viewed as part of a larger set of records, that is, those records
          that document why it was taken and how it was used. Disposition of audiovisual material must be consistent with these records.

          3.1.5 Duplicates or Copies of State Records
          Duplicates or copies of records are defined as exact copies of original records, that is, where no annotations have been made and
          where the original record forms part of the <Name of Organisation> recordkeeping system. Such records may be destroyed once
          the originals have been captured into the recordkeeping system and when they are no longer needed for reference purposes.

    3.2    Restricted Access Archives
    A restricted access archive is “a State Archive that is a government record and to which access is restricted until it is of a certain age”.
    (State Records Act 2000 s.3). Part 6 of the State Records Act 2000 provides for the restriction of certain categories of State archives.


    [Insert a statement that addresses whether there are any State archives to which the organisation wishes to restrict access.]

    The <Name of Organisation> does not have any State archives that will require restrictions on access.

    OR
    [The organisation must consult with the SRO if restricted access to State archives is being considered. If it is decided that archives
    are to be restricted upon transfer to the SRO, the statement is to include the:
     categories of records that are to be restricted;
     reasons for restriction; and
     proposed open access dates (or restriction period).]

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    3.3    Archives Not Transferred to the State Records Office
    [Section 32 of the State Records Act 2000 provides that State archives older than 25 years will be transferred to the custody of the
    State Records Office. At present the SRO does not have storage space to accept transfers of State archives, however this situation
    will change in the future and this section deals with that scenario.]

    [Insert a statement clarifying whether the organisation intends to transfer all State archives to the State Records Office.]

    The <Name of Organisation> does not have any State archives that will not be transferred to the State Records Office.

    OR
    [The organisation must consult with the SRO if it is being considered that some State Archives will not be transferred to the SRO
    and include details about the following in the statement:
     the categories of State archives that the organisation will request permission to retain;
     the reasons for the organisation wishing to retain the State archives; and
     an assurance that State Archives will be kept in accordance with SRC Standard 7, Storage of State Archives retained by State
       Organizations through an approved Recordkeeping Plan.]

    3.4    Records Relating to Aboriginal People
          3.4.1 Premier’s Circular No. 2003/02
          The Premier’s Circular to Ministers No. 2003/02 requires that:

          ”records relating to Indigenous individuals, families or communities or to any children, Indigenous or otherwise, removed from their
          families for any reason, whether held by government or non-government agencies, be brought to the attention of the Family
          Information Records Bureau (FIRB) and reflected in agency Recordkeeping Plans”

          <Statement addressing whether the organisation holds this type of record>

          3.4.2 State Records Act 2000, S. 76

          <Statement addressing whether the organisation holds any records that fall under section 76 of the State Records Act 2000. >

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                                                            <Name of Organisation>
                                             Retention and Disposal Schedule for Functional Records

          [If the organisation does not hold any records relevant to s.76, the following statement is to be added:]

          Should this situation change the <Name of Organisation> will consult the State Records Office.

    3.5    Reproduction of Records
    [Insert a statement addressing whether the organisation creates electronic versions of hard copy source documents, by scanning,
    imaging or similar method, including clarification of the purpose for creating the electronic version and management practices in
    relation to both the original hard copy documents and the electronic documents created (see examples below). The organisation
    must consult with the SRO if it wishes to replace the source hard copy records with the electronic version (see third example below).]

    The <Name of Organisation> does not reproduce hard copy source records in electronic format.

    OR

    The <Name of Organisation> scans all incoming, hard copy, correspondence (up to 20/50/100 pages) to create a colour/black and
    white PDF/TIFF format file. The correspondence is registered in the recordkeeping system (RKS) and the electronic (PDF/TIFF)
    version is attached to that record in the RKS. The hard copy original is placed on file as the official record. The electronic (PDF/TIFF)
    version is circulated for action and reference purposes as appropriate. Both the original hard copy and the electronic reproduction
    copy of the record will be managed and retained in accordance with the approved retention period for the record series.

    OR

    Section 16 (5) of the State Records Act 2000 provides that a Recordkeeping Plan may provide for a government record to be
    reproduced in another form, and for the destruction of a government record if a reproduction of it is being kept, even though the
    destruction occurs at a time when the record would otherwise not be able to be lawfully destroyed.

     The <Name of Organisation> scans all incoming, hard copy, correspondence in full colour PDF/TIFF format. The electronic copy will
    be considered as the official record for evidential purposes as per Section 73A(1) of the Evidence Act 1906. It is anticipated that the
    courts may employ measures outlined in Sections 73A(2) (a)-(d) in determining whether or not imaged documents accurately
    reproduce the contents of hard copy correspondence.


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                                             Retention and Disposal Schedule for Functional Records
    The electronic version of the correspondence is registered in the recordkeeping system as an electronic record. The electronic record
    will be managed and retained in accordance with the approved retention period for the record series.

    The original hard copy correspondence, once reproduced electronically, will be treated as copies/duplicates and as such will be
    retained for 2 years to meet operational requirements and then destroyed. The electronic record ID number will be noted on the hard
    copy which is then day batched and stored in boxes. Refer to Appendix 1 for full documentation of scanning procedures, quality
    control and other processes.

          3.5.1 Exceptions
          [This section should only be included where the third scenario in the above examples is used. The exceptions listed are examples
          only, the organisation should replace and/or include other record categories as appropriate.]
             State archives as identified by this R&D or the GDAs;
             Legal documents such as contracts and leases; and
             Documents with seals, water marks or other features that cannot be reproduced adequately and if such features are essential
              for business or legal purposes.
          These documents will be scanned and the electronic version attached to the record in the recordkeeping system. The hard copy
          original is placed on file as the official record. Both the original hard copy and the electronic reproduction copy of the record will be
          managed and retained in accordance with the approved retention period for the record series.

    [If the Organisation plans to destroy hard copy source records before the expiration of the approved retention period, fully
    documented procedures for their current practices must be attached to this R&D.]

4 Organisation’s Recordkeeping Practices
    4.1       Responsibility for Disposal of State Records
    Before any records are destroyed or transferred to the State Records Office they will be reviewed by the <Position description of
    responsible staff member/s> and authorised for destruction or transfer. A record of destroyed records and, where destruction is
    performed by an external contractor, certificates of destruction, provided by the contractor to the agency’s authorised officer, will be
    retained.

    4.2       Significance of Records

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                                                            <Name of Organisation>
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    In this R&D, each records category has usually been assigned one Disposal Action (for example “Archive” or “Destroy”). However, in
    one/several cases in this R&D it has been considered appropriate to split a category of records into two, such that some of the
    records within the category are “Archive” and some are “Destroy”.

    In these categories the term “Significant” [“significant” should be replaced by “major” or “unique” (or similar) as appropriate] has been
    used to identify records of archival value, and the term “Other” has been used to identify records that may be destroyed.

    The criteria for determining which records are “Significant” records within a category of records are:

              affect the whole-of-government or portfolio function; or
              concern or affect Corporate Executive activity; or
              concern major liabilities or obligations of the organisation and/or the State; or
              relate to the development of legislation, regulations, or policy; or
              otherwise (significantly) impact or affect the organisation’s functions or structure eg proposed changes to organisational
               functions; or
              were precedent setting; or
              involved substantial public debate or controversy; or
              generated wide community interest; or
              caused major changes to organisation policy; or
              involved items or property considered to have cultural heritage significance.

    The value of records may change over time. In assessing records that have reached their minimum retention period and are due for
    destruction, officers should consider those that may have potential business or historical value, for possible further retention or
    archiving. Records that appear to be of interest as archival records should be referred to the State Records Office for review and
    evaluation.

    4.3       Recommended Methods of Destruction
    When State records are due for destruction it must be done completely so that no information is retrievable.

    Hard copy (paper) records are to be destroyed by shredding, pulping or trommelling. Burning or burying of State records are not
    acceptable methods of destruction.

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    Electronic records should be destroyed either by physical destruction of the storage medium (eg cutting, smashing, or pulverising) or
    by such methods as digital file shredding. Destruction methods must ensure that information is unrecoverable. Rewriting,
    degaussing and reformatting can be used to scramble data which makes recovery more difficult, but be aware that data can still be
    retrieved after applying these methods. The use of the “delete” function in software packages is not sufficient to destroy electronic
    records stored on media such as floppy disks, hard disks and rewritable optical disks, as the information may still be recovered.

    If records are stored on microform or tape (audio or video), the storage medium should be physically destroyed, or the information
    overwritten, so that no information is retrievable. Shredding, cutting or chemical recycling are appropriate methods of destroying such
    records.

5 Arrangement and Definitions of Terms used in the Retention and Disposal Schedule
    This R&D has been arranged in four parts:

             Part A covers Administrative and Functional Keywords
             Part B covers Common Activities
             Part C covers Database and Website records
             Part D covers Defunct Functions’ records

    [Add or remove parts as necessary]

    Parts A and B are arranged alphabetically by keyword with activity descriptors arranged alphabetically under each keyword.

        Archive – a record category identified as having archival value, that is to be transferred to the State Records Office for permanent
         retention as State archives.

        Archive within Agency - a record category identified as having archival value, which the State Records Commission has
         approved to be retained permanently within the <Name of Organisation>. In the case of the <Name of Organisation> ceasing to
         exist and no successor agency identified, the State Records Office will be consulted.

        Description of Records – describes the type of record covered within the section.

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        Destroy – a record category identified as having temporary value, and which ultimately will be destroyed.

        Disposal Action – the final disposition will be Archive (A), Destroy (D), Archive Within Agency (AWA) or Retain (R).

        Disposal Trigger - includes “after last action”, which refers to the last date that a matter was noted on the records. Other disposal
         triggers include “when superseded” and “after expiry of contract”. [Add any other disposal trigger used in the R&D. Include a
         definition for clarification if required.]

        Recommended Custody – specifies the minimum retention period for which records are to be retained, onsite or offsite, prior to
         destruction or transfer to the State Records Office for permanent retention as State archives. Includes the action or trigger that
         begins the retention period.

        Ref No – the reference number within the R&D.

        Retain within <Name of Organisation> – a record category which has been identified as not having archival value, but will be
         retained permanently within the <Name of Organisation>. In the case of the <Name of Organisation> ceasing to exist and no
         successor agency identified, the State Records Office will be consulted.




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                                             Retention and Disposal Schedule for Functional Records
Ref No           Description of Records                                                  Disposal Action Recommended Comments &
                                                                                         A – Archive     Custody     References
                                                                                         D – Destroy
                                                                                         R – Retain
                 [Describe the types of documents that are placed on a file classified
                 under the Activity Descriptor. This should not be the
                 Thesaurus/Business Classification Scheme definition of the activity
                 descriptor]
Part A           ADMINISTRATIVE AND FUNCTIONAL KEYWORDS
                 This section refers to records classified under administrative
                 keywords and functional keywords which represent the unique
                 business of the organisation



Part B           COMMON ACTIVITIES
                 These activities may be applied to keywords throughout the R&D as
                 appropriate.



Part C           DATABASES AND WEBSITES
                 This section refers to records contained in various databases and
                 websites maintained by <Name of organisation>.
                 <Name of Database>
                 [Description of records held in the database and relationship to the
                 business of the organisation]




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                                                            <Name of Organisation>
                                             Retention and Disposal Schedule for Functional Records
Ref No           Description of Records                                                 Disposal Action Recommended Comments &
                                                                                        A – Archive     Custody     References
                                                                                        D – Destroy
                                                                                        R – Retain
                 WEBSITE
                 [Describe the type of information contained in the website. Include
                 recordkeeping procedures eg A hardcopy is made of website pages
                 before and after updating, these are filed …. The entire website is
                 printed six monthly and filed….. All changes to the website are
                 saved in the XYZ content management system…. Individual pages
                 or the entire website content for past dates can be displayed from
                 information saved in the CMS…. The entire website is burnt to CD
                 six monthly and is retained permanently for historical purposes.]



Part D           DEFUNCT FUNCTIONS
                 This section refers to series of records no longer created by <Name
                 of Organisation> due to the function to which they relate no longer
                 being the responsibility of this organisation. Records relating to
                 those function created prior to the function becoming defunct are to
                 be managed in accordance with this R&D.




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INDEX




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