incidents - State Records Office of Western

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1.1 Important Note The State Records Office guideline Records Retention and Disposal Instructions must be consulted before any disposal of government records is conducted, whether as part of a formal / regular disposal program or on an ad hoc basis. 1.2 Records Disposal Authorities

Each Western Australian State government agency is to retain and dispose of its records in accordance with an approved disposal authority. A disposal authority (in general) includes:

  • The agency's Retention and Disposal Schedule covering its core business records; or
  • A Sector Disposal Authority covering the core business records of a group of agencies (a sector), which is produced by the State Records Office; and
  • This General Disposal Authority for State Government Information (GDASG) covering records of common activities / record categories across State government, produced by the State Records Office.
1.3 Purpose of this General Disposal Authority

This GDASG identifies records of common government activities / record categories which are:

  • State archives: records that will be transferred to the State Records Office of Western Australia for permanent retention; and
  • Temporary records: records that will be retained for a minimum period, as stated in the body of the GDASG, to satisfy legal, financial, business and public administration requirements before they may be destroyed.

If an agency identifies any records which are not covered by the agency's approved Retention and Disposal Schedule / Sector Disposal Authority (whichever is applicable) or this GDASG, they must not be destroyed. In such a situation, the State Records Office must be consulted to determine an appropriate course of action. No records in such a situation are to be destroyed until approval is obtained from the State Records Commission to amend the relevant disposal authority.

The unauthorised destruction of government records is an offence under the State Records Act 2000.

1.4 Scope of this General Disposal Authority

This GDASG applies to records of common government activities / record categories typically performed in the public administration of government agencies. The GDASG applies to records in all formats.

The GDASG is arranged alphabetically by government activity / record category, with disposal classes assigned to each activity / category. Each activity / category can be applied to any function in the agency, thus providing the broadest possible application across State government.

Most activities are derived from the Keyword AAA Thesaurus of General Terms (e.g. ARRANGEMENTS). Other record categories represent a particular set or type of record or subject (e.g. PERSONAL FILES).

Agency files / records need not have exactly the same 'title' as an activity or records category listed in this GDASG. To use this GDASG, it is a matter of the scope and content of the agency file / record (i.e. whatever it is titled or named) equating to an activity or record category in this GDASG for the retention and disposal decisions of that category to be applied.

This GDASG supersedes:

  • The General Disposal Authority for Administrative Records - RD 2003016 (April 2003);
  • The General Disposal Authority for Financial and Accounting Records - RD 2005010 (July 2006); and
  • The General Disposal Authority for Human Resource Management Records - RD 2012004 (July 2012).
1.5 Using this General Disposal Authority

With the example provisos outlined below, this GDASG can be applied to the retention and disposal of records of corresponding core business activities in government agencies ("core business" means the main or essential business activity of the agency).

Caution must be exercised in the application of the retention and disposal decisions in this GDASG to corresponding core business activities.

For instance:

  • The lead agency/s charged with responding to and investigating ACCIDENTS, EMERGENCIES or INCIDENTS must include relevant records in their agency Retention and Disposal Schedule.
  • The lead agency/s charged with CONSTRUCTION / CAPITAL WORKS must include relevant records in their agency Retention and Disposal Schedule.
  • Lead agency/s charged with the planning and conduct of AUDITS, the investigation of CORRUPTION, dealing with LITIGATION or PROSECUTIONS, etc. must include the records of such activities in the agency's Retention and Disposal Schedule.

The retention and disposal decisions in the GDASG may be used as a guide for the retention and disposal decisions in the agency's Retention and Disposal Schedule. Upon consultation with the SRO, it may be determined that the retention and disposal decisions for activities covered in this GDASG are appropriate to apply to the records of the corresponding core business activity in the agency.

1.6 Use of the Term "Significant" in this General Disposal Authority

In this GDASG, each disposal class has usually been assigned one Disposal Action e.g. Required as State Archives or Destroy.

However, the significance of a given activity or event can vary. For example:

  • Major accident or minor accident;
  • Major acquisition or minor acquisition;
  • Major presentation or minor presentation, etc.

Therefore, to cater for such variations in the significance of events or activities, disposal classes have in many cases been split so that when an activity is deemed significant the records are designated as State archives and when the activity is deemed not significant the records are sentenced for destruction. In these cases, the term "Significant" has been used to identify records of archival value. The criteria for determining which records are Significant are that the activity:

  • Substantially impacts / affects the obligations, responsibilities or liabilities of the State or the agency.
  • Substantially impacts / affects the whole-of-government function.
  • Substantially impacts / affects the agency's business, structure or policy.
  • Substantially impacts / affects the implementation or development of legislation or government policy.
  • Sets a legal or substantive precedent.
  • Generates / involves substantial community or public interest, debate or controversy.
  • Involves / affects property (land, infrastructure, structures, buildings or items) considered to have cultural, Aboriginal, environmental or heritage significance.
  • Concerns / affects the long term environmental impact on State land, waters and air.
  • Led or substantially contributed to a major investigation or formal inquiry.
  • Involves innovative, unique or precedent-setting practices, techniques or methods.

The value of records can 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 historic 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.

1.7 Definition of Terms in this General Disposal Authority

Action completed: this trigger is frequently used for disposal classes in this GDASG. It means the business as documented in the record/s has concluded (e.g. a project has been completed, a case has been closed, etc.). It does NOT mean the date the record/s were last used or accessed. 

Custody: the period the records will be retained before they are archived or destroyed.

Destroy: the disposal action for a class of records identified as having temporary value, and which ultimately will be destroyed.

Disposal Action: the action that occurs to the records once the retention period has expired.  The final disposition will typically be "Destroy", "Required as State archives" or "Retain in agency".

Required as State archives:  the disposal action for a class of records identified as having permanent value.  Such records will be transferred to the State Records Office. (Requests for the agency to retain State archives permanently in their custody need to be approved by the State Records Commission via the agency's Recordkeeping Plan.)

Retain in agency:  the disposal action for a class of records identified as NOT being State archives but which are to be retained permanently in-house by the agency for ongoing reference purposes.

ACCIDENTS / EMERGENCIES / INCIDENTS

Management of accidents, emergencies and incidents, including:

  • Injury to staff.
  • Injury to visitors / clients whilst on agency premises.
  • Damage to infrastructure, land, facilities, buildings, vehicles, equipment.

See also related ACTIVITIES:

  • 18. CLAIMS
  • 67. OCCUPATIONAL SAFETY AND HEALTH
  • 81. REGISTERS
  • 87. RISK MANAGEMENT
  • 89. SECURITY AND SURVEIILANCE

Records of significant accidents, emergencies or incidents, including incidents that cause death or permanent disability.

Records include notification, investigation, response, management and reporting.

5 action completed Required as State archives

Records of accidents, emergencies or incidents which are not included in section 1.1 and which impact the environment (e.g. oil / chemical spills).

Records include notification, investigation, response, management and reporting.

20 action completed Destroy

Records of accidents, emergencies or incidents not included in sections 1.1 or 1.2.

Records include notification, investigation, response, management and reporting.

7 action completed Destroy ACQUISITION / DISPOSAL

Acquisition and disposal of infrastructure, property and other items, including:

  • Land, infrastructure, facilities, buildings.
  • Vehicles, plant.
  • Systems, equipment, stores.

See also related ACTIVITIES:

  • 7. ALLOCATION / DISTRIBUTION
  • 8. ARRANGEMENTS
  • 9. ASSET MANAGEMENT
  • 23. CONSTRUCTION
  • 35. DONATIONS
  • 58. LEASING / LEASING OUT
  • 62. MAINTENANCE
  • 79. RECORDS AND INFORMATION MANAGEMENT
  • 81. REGISTERS
  • 95. TAXATION
  • 96. TENDERING

Records of significant acquisition or disposal, including records of:

  • Land acquired through resumption / compulsory acquisition / surrender or forfeiture.
  • Places, structures, buildings or items considered to have cultural or heritage significance.
  • Highly specialised buildings, vehicles, plant or equipment.
  • Contaminated (asbestos or other hazardous substances) land, buildings, plant or equipment.

Records include feasibility studies, investigations and analysis that led to acquisition and may include financial records associated with the acquisition or disposal.

NOTE: see  definition of "Significant" in the Introduction of this GDA.

5 action completed Required as State archives Records of the acquisition of land and infrastructure not included in section 2.1. 7 disposal or decommissioning of property or asset Destroy Records of the acquisition of office stationery and consumables (e.g. receipt and delivery of goods). 2 action completed Destroy

Records of the acquisition of any property, items or services not included in sections 2.1, 2.2 or 2.3, including related financial records.

Typically this will include the records of acquisition of general equipment and stores, fleet vehicles, information materials and/or services and technology and telecommunications equipment, goods or services.

6 successful audit Destroy Records of the disposal of any infrastructure, property, items or services not included in section 2.1, including related financial records. 7 disposal of infrastructure, property, items or services Destroy Title deeds, certificates of title. 0 After disposal of property, transfer documents to new owner
  • Acquisition schedules (schedules registering the acquisition of infrastructure, property, vehicles, plant, equipment, etc).
  • Disposal schedules (schedules registering the disposal of  infrastructure, property, vehicles, plant, equipment, etc).
5 action completed Destroy Records of potential acquisitions or disposals not proceeded with or cancelled. 1 action completed Destroy ADDRESSES / PRESENTATIONS / SPEECHES

Addresses, presentations or speeches presented for any purpose, including professional, community relations or sales purposes. Includes multimedia presentations.

See also related ACTIVITIES:

  • 21. CONFERENCES / SEMINARS
  • 36. EDUCATION
  • 97. TRAINING AND DEVELOPMENT

Significant addresses, presentations or speeches including those:

  • Given at major state or public occasions.
  • Delivered by Minister, Board members, senior government officers or invited dignitaries.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives

Addresses, presentations or speeches not included in section 3.1, including:

  • General promotion of agency services / programs.
  • Marketing of products.
5 action completed Destroy Records of the development or preparation of addresses, presentations or speeches, such as working papers, background research and draft versions of addresses, etc. (where not held with the master copy / final version). 2 action completed Destroy ADVANCES Money given or lent for a project or activity before its commencement or completion.

Treasurer's Advance Account - cash advances and sub-advances (TI 307), including:

  • Applications.
  • Authorisations.
  • Certificates of disposition of funds.
  • Refunds.
  • Requisition for Advance (Treasury Form 8).
  • Approval to open bank accounts to hold advances.
6 successful audit Destroy

Petty cash (imprest) advances and stamp account records, including:

  • petty cash books / sheets and receipts.
  • correspondence regarding handovers / takeovers.
  • balances and statements.
  • records of internal checking by internal checking officers / audit.
6 successful audit Destroy Supplementary funding - requisitions for supplementary funding, e.g. Requisition for Excess on Vote (Treasury Form 11) and Requisition for New Vote (Treasury Form 12). 6 successful audit Destroy ADVICE

Provision or receipt of advice as to courses of action or judgement.

See also related ACTIVITIES:

  • 38. ENQUIRIES
  • 60. LEGISLATION
  • 61. LIAISON
  • 82. REPORTING
  • 83. REPRESENTATIONS

Records of the provision of advice or response to Government or Minister concerning substantive aspects of agency functions, responsibilities, obligations and liabilities (e.g. in the form of Briefing Notes/Briefing Papers).

See REPRESENTATIONS for responses to Ministerials and Parliamentary Questions.

5 action completed Required as State archives

Records of significant advice provided or received by the agency.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives

Records of legal advice or opinion obtained by the agency from internal or external sources, where held separately from the activity to which the advice relates.

5 action completed Required as State archives Records of advice provided or received by the agency relating to agency business, not included in sections 5.1 - 5.3. 7 action completed Destroy Records of advice provided or received by the agency relating to routine operational or administrative matters, not included in sections 5.1 - 5.4. 2 action completed Destroy AGREEMENTS / CONTRACTS

Establishment and management of binding arrangements, established for any purpose. Includes:

  • Agreements, including Service Agreements.
  • Contracts under Seal or Deed, or Special Contracts.
  • Joint Venture Agreements / Contracts.
  • Memoranda of Understanding.
  • Partnership Agreements.
  • Simple Contracts.

See also related ACTIVITIES:

  • 51. INDUSTRIAL NEGOTIATION
  • 58. LEASING / LEASING OUT

Significant Agreements / Contracts, including but not limited to:

  • The transfer of Government or agency responsibilities, functions, obligations or liabilities.
  • Substantial Public Private Partnerships.
  • Large scale projects or programs.
  • Agreements / Contracts requiring Ministerial approval.

NOTE: see definition of "Significant" in the Introduction to this GDA.

Also includes strategic or high-level Agreements / Contracts relating to agency functions, responsibilities, obligations and liabilities.

5 expiry of agreement or contract Required as State archives Records of Agreements / Contracts under Seal or Deed not included in sections 6.1. 21 expiry of contract, or at end of defects liability period if applicable Destroy Records of Agreements / Contracts not included in sections 6.1 and 6.2. 7 expiry, or action completed, whichever is later Destroy

Records of Privacy and Confidentiality Agreements between the agency and the entity which the agency has entered into an Agreement with.

(NB: this category does NOT apply to confidentiality agreements with employees which is covered under section 37.3).

1 expiry or termination of agreement Destroy ALLOCATION / DISTRIBUTION

Allocating or assigning of money, items or equipment to employees or agency units.

See also related ACTIVITIES:

  • 8. ARRANGEMENTS
  • 81. REGISTERS
Records of the allocation of funds (including Treasury funds) to the agency in response to budget requests. 6 the financial year in which allocation is made Destroy Records of the allocation of funds within the agency, including proposals for funding for specific projects. 6 successful audit Destroy Accounting records associated with the distribution of agency publications, including subscriptions. 6 successful audit Destroy Records of the distribution of equipment and stores (e.g. booking logs). 0 Destroy Retain until administrative or reference use ceases, then destroy.

Records of:

  • The distribution and supply of agency publications, including distribution lists.
  • Bulk mailouts, details and listings.
3 action completed Destroy ARRANGEMENTS

Administrative arrangements for:

  • A journey or trip.
  • Usage of facilities or space.
  • Usage of vehicles.
  • Usage of equipment or goods, including delivery.

Includes arrangements to support Celebrations, Ceremonies, Competitions, Conferences, Exhibitions and other events.

See also related ACTIVITIES:

  • 11. AUTHORISATIONS / DELEGATIONS
  • 89. SECURITY AND SURVEILLANCE
  • 97. TRAINING AND DEVELOPMENT
  • 100. VISITS
Records of arrangements for the use (including security arrangements) of facilities or equipment known to contain asbestos or other hazardous substances / materials. 75 action completed Destroy Records of arrangements for the use (including security arrangements) of facilities or equipment not included in section 8.1. Includes log books and booking forms. 7 action completed Destroy Records of arrangements for the routine usage of properties or building spaces, including log books, booking registers, running sheets, parking arrangements, etc. 2 action completed Destroy

Records of arrangements for:

  • education, training, conferences or seminars organized by agency.
  • celebrations, ceremonies, competitions and exhibitions.

Records include program development, publicity, registration of participants, venue, catering, accommodation, transport, etc.

7 action completed Destroy Records of arrangements for the use of vehicles by staff or volunteers for work or private purposes, including log books. 7 action completed Destroy

Records of arrangements for staff or volunteer travel including:

  • To attend events, functions.
  • To conduct field trips, excursions, research work.

Includes travel itineraries, authorisations, entitlements, etc.

7 action completed Destroy

Records of arrangements for the receipt and dispatch of mail, including courier services and electronic data interchange.

7 action completed Destroy Records of arrangements for the legal deposit of published materials with the State Librarian. 7 action completed Destroy Records of arrangements for the design and production of agency publications, such as printing, copying and binding. Includes records of arrangements for the production of films, videos, multi-media and online services. 2 action completed Destroy Records of arrangements relating to organizing Board, Committee and other meetings. Includes contact lists, venue bookings, equipment, catering, etc. 1 action completed Destroy Records of the delivery of equipment and stores (e.g. delivery instructions, packing slips). 2 successful audit Destroy Records of arrangements to support general community relations activities, including arrangements for guest speakers. 1 action completed Destroy ASSET MANAGEMENT

Monitoring, assessing and managing agency assets.

See also related ACTIVITIES:

  • 81. REGISTERS

Records of the control and management of assets, including:

  • Valuation / revaluation and depreciation schedules and reports.
  • Asset inventories - lists of agency possessions and assets.
  • Stocktake records, including reconciliations with assets register or similar records.
6 successful audit Destroy

Records of the transfer of assets within the agency or to another government agency (including Asset Movement Forms).

See DISPOSAL for the transfer of assets outside the government.

6 successful audit Destroy AUDITING / AUDIT

Internal or external examination of agency business, operations, accounts, quality assurance and records to ensure legislative and regulatory compliance.

See also related ACTIVITIES:

  • 20. COMPLIANCE

Records of significant internal or external audits relating to:

  • Environmental audits.
  • Financial audits.
  • Operations, services and systems audits.
  • Quality assurance and compliance audits.
  • Risk management audits.
  • Safety and security audits.
  • Standards and procedures audits.

NOTE: See definition of "Significant" in the Introduction to this GDA.

Records include, but may not be limited to:

  • Audit plan and strategy.
  • Interim and final report, including findings and recommendations.
  • Responses to findings and implementation of recommendations.
5 audit Required as State archives Records of internal or external audits not included in section 10.1 (including annual financial audits) and minor audits. 6 successful audit Destroy Records of the planning and conduct of audits not included in section 10.1. 3 successful audit Destroy

Working papers - internal audits.

The audits may comprise financial audits, compliance audits or performance audits.

6 successful audit Destroy Records of the appointment of auditor/s for internal or external audits. 7 expiry of auditor's contract or cessation of appointment Destroy Official exemption from internal audit function - approved. 7 expiry of exemption Destroy Requests for exemption from internal audit function - not approved. 2 action completed Destroy AUTHORISATIONS / DELEGATIONS
  • Authorisation or permission to perform certain actions.
  • Delegation of authority to perform certain actions.
  • Authorisations by an accountable officer or authority (under Treasurer's Instruction 107) for other officers to carry out duties which are specified in the Treasurer's Instructions.

See also related ACTIVITIES:

  • 4. ADVANCES
  • 8. ARRANGEMENTS

Records of authorisation or delegation of authority, including financial authority, to principal officers and officers occupying Statutory positions.

5 delegation or authority expires, ceases, superseded or revoked Required as State archives

Records of delegations of authority made by the principal officer or officers occupying Statutory positions associated with:

  • collection agencies (TI 202).
  • certifying officers (TI 304).
  • incurring officers (TI 305).
  • cheque and Electronic Funds Transfer signatories (TI 310).
  • Corporate credit card holders (signatories).
  • Authorised signatories - bank accounts.

Records of authorisations or delegations of authority for all other matters, including financial and accounting and human resource management, not included in sections 11.1.

7 delegation or authority expires, ceases, superseded or revoked Destroy Handing over statements (used by relieving and relieved staff in relation to monetary transactions and forms). 2 successful audit Destroy

Authorisations to conduct financial transactions on behalf of clients, such as:

  • direct debit authorisations.
  • credit card authorisations.
6 action completed Destroy BANKING / BANK ACCOUNTS Banking transactions and the keeping of bank accounts. Bank accounts - establishment records. 7 account closed Destroy

Bank deposit records, including:

  • deposit books, slips or butts.
  • Bank Receipts (Treasury Form 17).
  • lists of cheques lodged for collection.
  • amounts banked and amounts recorded on bank abstracts or Remittances to Treasury and Finance (Treasury Form 4).
6 successful audit Destroy

Bank statement and reconciliation records, including:

  • statements or certificates of balance.
  • interest statements.
  • dividend statements.
  • reconciliation statements.
6 successful audit Destroy BOOKS OF ACCOUNT Systematic documenting of agency financial transactions (e.g. cash books, ledgers, journals).
  • Cash books, or consecutive records of cash receipts and payments from each account / fund.
  • General or subsidiary journals.
  • General or subsidiary ledgers and ledger accounts in any format, produced for the purposes of preparing certified financial statements of published information.
  • Creditors ledgers and debtors ledgers.
6 successful audit Destroy Supporting records e.g. chart of accounts. 0 Destroy When superseded. BUDGETING

Managing agency income and expenditure, usually within a specified period, such as the financial year.

See also related ACTIVITIES:

  • 82. REPORTING
  • 99. TREASURY REPORTING
Annual estimates by the agency for Consolidated Funds, sent to Minister for approval. 3 successful audit Destroy Annual estimates and budgeting documents for agencies which do not have access to the Consolidated Fund e.g. Government Trading Enterprises or Government Financial Enterprises. 3 successful audit Destroy Calculations and costings - regular (e.g. annual or quarterly): forward, draft, revised and additional estimates and working papers for ongoing budget estimate policy and programs. Includes adjustments due to indexation. 2 successful audit Destroy CELEBRATIONS / CEREMONIES / COMPETITIONS / EVENTS / HONOURS AND AWARDS
  • Managing special occasions and events.
  • Launches, openings, closures.
  • Community relations events.
  • Honours or awards presented or received by the agency.
  • Competitions run by the agency.
  • Social functions.

See also related ACTIVITIES:

  • 8. ARRANGEMENTS

Records of significant celebrations, ceremonies, competitions, events, honours and awards, including:

  • Those of State, Government or agency significance.
  • Major anniversaries, launches, openings.
  • Substantial honours or awards conferred on agency or staff for distinction or notable achievement.
  • Substantial honours or awards presented by the agency.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives

Records of:

  • Other celebrations, ceremonies, competitions, honours and awards not included in section 15.1.
  • Social functions.
5 action completed Destroy
  • Unsuccessful nominations for honours / awards.
  • Entries for competitions.
  • Invitations to sponsor, judge or nominate for awards / prizes from external parties.
1 action completed Destroy CHEQUE MANAGEMENT

Preparation and management of cheques and money orders.

See also related ACTIVITIES:

  • 81. REGISTERS
Cheques - preparation: including cheque books / butts / counterfoils. 6 successful audit Destroy

Records of successful recovery or write off actions for cheques, including:

  • actions taken regarding stale, lost and cancelled cheques.
  • return of irregular cheques.
  • post-dated cheques records.
6 successful audit Destroy Cancelled, dishonoured, stale, or stopped cheques or card/payments - notices and including associated correspondence. 6 successful audit Destroy CIRCULARS

Information circulars (notices) created and issued by the agency to alert staff to policy or procedural matters.

See also related ACTIVITIES:

  • 72. POLICY
Circulars produced by the agency relating to core business or agency policy. 5 action completed Required as State archives Circulars produced by the agency relating to agency administration and procedures. 7 action completed Destroy CLAIMS
  • Claims and associated provision of compensation to employees and volunteers for accidents, injury or disease arising out of, or in the course of their employment.
  • Insurance claims for loss or damage to property or injury to members of the public.
  • Financial loss and indemnity claims.
  • Industrial Relations Claims.

See also related ACTIVITIES:

  • 1. ACCIDENTS / EMERGENCIES / INCIDENTS
  • 56. INSURANCE
  • 67. OCCUPATIONAL SAFETY AND HEALTH

Records of significant claims, including:

  • Compensation claims from land owners for land acquired or for changed land use.
  • Professional indemnity liabilities insurance claims.
  • Industrial relations claims.

Includes, as applicable, records of appeals against compensation decisions.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Claims - public liability, not included in section 18.1. 7 the claimant reaches age of 18 years old or 7 years after action completed, whichever is later Destroy
  • Claims - motor vehicles, property risk, fire, construction or other assets, not included in section 18.1.
  • Volunteers' Personal Accident Claims or equivalent accident claim, not included in section 18.1.
  • Claims for reimbursement for loss and damage to clothing or personal effects.
7 claim is finalised Destroy Workers Compensation Claims - original workers' compensation claims lodged with RiskCover or equivalent agency, including records relating to injury, accident, disease and rehabilitation. 75 employee's date of birth or 7 years after cessation of employment, whichever is later, or 7 years after death Destroy Workers Compensation Claims - copies held by originating agency (where the original is lodged with RiskCover or equivalent agency). 7 claim is finalised Destroy All compensation / industrial relations / insurance / indemnity claims not proceeded with. 7 action completed Destroy COMMITTEES / BOARDS

Establishment and management of Boards and Committees for functional or administrative purposes, including:

  • Boards of management.
  • Advisory or Approval Committees or similar, established by a Board or Commission for business requirements, or established by legislation to perform a legislative function.
  • Internal core business or administrative committees.
  • External (to agency) core business or administrative committees.
  • Task Forces and Working Groups.

See also related ACTIVITIES:

  • 8. ARRANGEMENTS
  • 51. INDUSTRIAL NEGOTIATION

Records of the establishment of:

  • The Board.
  • Advisory or Approval Committees managed by the agency.
  • Internal core business and high-level administrative Committees.
  • External core business and high-level administrative Committees coordinated by the agency.
  • Task forces and high-level working groups established by the Board or agency.

Records include:

  • Terms of Reference and procedures.
  • Delegations of authority.
  • Nomination, appointment, resignation / termination of members.
5 establishment Required as State archives

Records of Boards and external committees, where the agency has a coordinating or secretarial role, relating to the agency's:

  • Core business operations.
  • Agency planning or policy.
  • Strategic and corporate management.

Includes agendas, minutes and supporting papers.

5 action completed Required as State archives

Records of inter-agency / external committees where the agency has a coordinating or secretarial role, relating to the agency's administrative activities or branch / unit level management.

Includes agendas, minutes and supporting papers.

5 action completed Destroy

Records of inter-agency / external committees where the agency has NO coordinating or secretarial role.

Includes agendas, minutes and supporting papers.

5 action completed Destroy Records of the establishment of other committees and groups not included in section 19.1, including the nomination, appointment and resignation / termination of members. 5 action completed Destroy

Records of internal committee/s established and managed by the agency relating to the agency's:

  • Core business functions or operations.
  • Agency planning or policy.
  • Strategic and corporate management.

Includes agendas, minutes and supporting papers.

5 action completed Required as State archives

Records of internal committee/s established and managed by the agency relating to agency administrative activities or branch / unit level management.

Includes agendas, minutes and supporting papers.

5 action completed Destroy Records of remuneration, entitlements and allowances (e.g. sitting fees, travelling allowances) for members of all Committees / Boards. 7 action completed Destroy Audio / visual recordings of committee meetings. 1 minutes confirmed Destroy COMPLIANCE

Compliance with mandatory or optional accountability, legal, regulatory or quality standards or requirements to which the agency is subject.

See also related ACTIVITIES:

  • 10. AUDITING / AUDIT
  • 26. CORRUPTION
  • 95. TAXATION

Proof of compliance with environmental and heritage requirements, including:

  • Environmental Impact Statements / Studies.
  • Conservation Orders / Notices.
  • Contaminated / potentially contaminated sites.
  • Controlled waste.
  • Native title.
5 action completed Required as State archives
  • Proof of compliance with requirements not included in section 20.1.
  • Proof of compliance with occupational safety and health requirements.
7 action completed Destroy
  • Records of compliance with accountability requirements, such as the Treasurer's Instructions and Accounting Standards.
  • Statements of compliance required within the agency's annual report under the Financial Management Act 2006 and TI 902.
6 successful audit Destroy

Records of significant breaches of compliance.

NOTE:  see definition of "Significant" in the Introduction to this GDA.

5 breach is investigated Required as State archives Records of breaches of compliance not included in section 20.4. 7 action completed Destroy Records registering an employee's conflict of interest over an identified matter and the arrangements established to manage the conflict of interest, where kept separate to the activity-based file to which the matter relates. 7 action completed Destroy CONFERENCES / SEMINARS

Conferences / seminars organized and managed by the agency, and external conferences.

See also related ACTIVITIES:

  • 8. ARRANGEMENTS
  • 71. PLANNING
  • 76. PUBLISHING / PUBLICATIONS
  • Master set of proceedings and reports of conferences wholly coordinated / organized by the agency.
  • Master set of proceedings and reports of significant seminars wholly coordinated / organized by the agency.
5 action completed Required as State archives Final master set of proceeding and reports of seminars wholly coordinated / organized by the agency, not included in section 21.1. 5 action completed Destroy Final master copy of papers (presentations) delivered by agency staff at externally arranged conferences / seminars. 5 action completed Required as State archives Proceedings of externally arranged conferences and seminars. 0 Destroy Retain until administrative or reference use ceases, then destroy CONSERVATION

Preservation, protection, and restoration of land or buildings, artefacts or information resources.

See also related ACTIVITIES:

  • 62. MAINTENANCE

Records of the identification, assessment and conservation / preservation of:

  • Land, infrastructure, places, structures, buildings or items considered to have cultural, heritage or environmental value.
  • Identification, assessment and clean up of contaminated or potentially contaminated sites.
5 action completed Required as State archives Records of conservation work carried out on other property or items not included in section 22.1. 5 action completed Destroy CONSTRUCTION / CAPITAL WORKS

Construction of infrastructure, operational facilities and other capital works, including rail, road and energy infrastructure.

See also related ACTIVITIES:

  • 2. ACQUISITION / DISPOSAL
  • 22. CONSERVATION
  • 55. INSTALLATION / COMMISSIONING
  • 62. MAINTENANCE

Records of significant construction programs, building projects or capital works, including those not proceeded with. Records include, but may not be limited to:

  • Feasibility studies, investigations and analysis.
  • Environmental Impact Statements.
  • Environmental surveys, assessments, plans and licences.
  • Consultation, selection and survey reports.
  • Design, major drafts and as-constructed drawings / plans / maps.
  • Specifications.
  • Formal approvals.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives

Records of other construction programs, building projects or capital works not included in section 23.1.  Includes records of minor upgrades, renovations or fit-outs.

Records include:

  • Environmental Impact Statements.
  • Environmental surveys, assessments and licences.
  • As-constructed drawings / plans / maps.
  • Specifications.
  • Formal approvals.
7 structure, building or facility is demolished, decommissioned or otherwise disposed of, or action completed Destroy CORPORATE CREDIT CARDS

Management and use of corporate credit cards by the agency.

See also related ACTIVITIES:

  • 11. AUTHORISATIONS / DELEGATIONS
Records of credit card account establishment or cancellation. 7 account is closed Destroy

Records of corporate credit card usage, such as:

  • credit card receipts or individual transaction details.
  • monthly statements.
  • payment details.
6 successful audit Destroy Records of exemption from obtaining Corporate Card Services from the government's contracted suppliers (TI 321) - approved applications. 7 expiry of exemption Destroy Records of exemption from obtaining Corporate Card Services from the government's contracted suppliers (TI 321) - unapproved applications. 2 action completed Destroy CORPORATE IDENTITY / CORPORATE STYLE

Development and protection of agency identity objects such as name, crest, motto, logo and seal.

Includes corporate style and dress.

Records of the development of corporate identity objects including design and format e.g. crests, logo, seal, banners, uniforms, etc.

Includes historical background, history of changes, conservation and context of individual objects / items.

Includes Honour Boards.

5 development of corporate identity objects completed Required as State archives Records relating to the registration of business names by the organisation. 2 expiry or renewal of name, whichever is later Destroy Applications to use agency identity objects. 7 action completed Destroy Records of the falsification or misuse of agency identity objects. 7 action completed Destroy CORRUPTION / MISCONDUCT

Strategies for the prevention of corruption / misconduct and processes for the disclosure and investigation of corruption / misconduct allegations.

See also related ACTIVITIES:

  • 20. COMPLIANCE

Public Interest Disclosures or allegations of corruption / misconduct - proven or substantiated.

Includes investigation records, evidence and findings but excludes the identity of any person making a disclosure of public interest information or alleging corruption / misconduct.

5 action completed Required as State archives Public Interest Disclosures or allegations of corruption / misconduct - unproven or unsubstantiated, refused or discontinued, or referred to another authority. 7 action completed Destroy Records of the development and implementation of strategies for the prevention of corruption / misconduct in the agency. 7 action completed Destroy Records of the appointment of Public Interest Disclosure officers within government agencies. 7 action completed Destroy COUNSELLING

Management and provision of support and counselling services to employees.

See also related ACTIVITIES:

  • 68. PERFORMANCE PLANNING AND APPRAISAL
Records of the management of counselling schemes or programs to assist staff. 7 action completed Destroy Records of counselling provided to individual staff where records not held on PERSONAL FILE. 7 action completed Destroy CREDITORS

Parties to which the agency owes money.

See also related ACTIVITIES:

  • 13. BOOKS OF ACCOUNT
  • 42. EXPENDITURE AND PAYMENTS
  • 81. REGISTERS

Invoices received by the agency and records relating to their payment, including:

  • checking of invoices.
  • correspondence relating to transactions.
  • issuing of cheques.
  • payments of claims.
6 successful audit Destroy

Reconciliations, including:

  • monthly statements / payments due listings.
  • sundry creditors listings.
2 successful audit Destroy CUSTOMER SERVICE

Provision and management of customer services.

See also related ACTIVITIES:

  • 38. ENQUIRIES
  • 71. PLANNING
  • 77. PUBLIC REACTION
Records of the development and final version of Customer Service Charter. 7 action completed Destroy

Records of the development, implementation, management and monitoring of customer services facilities and practices. Includes, but may not be limited to, records of:

  • Specialised services, such as, interpreters, services and facilities for disabled customers.
  • Help / information services.
  • Outreach services.
5 action completed Destroy DATA ADMINISTRATION / DATABASE MANAGEMENT / APPLICATION DEVELOPMENT
  • Managing and using data held in systems.
  • Building, prototyping and testing databases.
  • Developing software and programming codes to run business applications.

See also related ACTIVITIES:

  • 2. ACQUISTION / DISPOSAL
  • 79. RECORDS / INFORMATION MANAGEMENT
  • 87. RISK MANAGEMENT / RISK ASSESSMENT

Records of the:

  • Planning and coordination of information / business systems, including the migration of data successfully across systems.
  • Development, design, implementation and modification of systems / databases / business applications and usage protocols.
  • Development and maintenance of system control mechanisms e.g. authenticity, version control.
  • Development, design and modification of applications, software and programming codes that become operational.
  • Development of websites and social media applications.
  • Registration of website / business system domain names.
7 system / application is closed, discontinued or superseded, and relevant data is successfully migrated (as applicable) Destroy NOTE: original software should only be discontinued / destroyed if data and associated metadata that needs to be retained has been migrated, or can be read and / or manipulated by subsequent systems.

Records of administrative support for the maintenance of data standards, data definitions and data dictionaries.

Records that explain the meaning, purpose, logical relationships, use and origin of data.

7 system / application is closed, discontinued or superseded, and relevant data is successfully migrated (as applicable) Destroy

Data logging records for system and internet resources, such as:

  • System access logs.
  • System change logs and audit trails.
  • Internet access logs

which relate to a specific incident e.g. security breach, inappropriate use.

7 action completed Destroy

Data logging records for system and internet resources, such as:

  • System access logs.
  • System change logs and audit trails.
  • Internet access logs

which do not relate to a specific incident e.g. security breach, inappropriate use.

0 Destroy Retain in accordance with the organization's risk management assessment, then destroy. Records of the assessment, development, design or modification of software / applications that do not become operational. 3 action completed Destroy Records of the allocation and maintenance of metadata. 3 action completed Destroy
  • Technical and user manuals.
  • Records of system user groups.
2 system replaced Destroy Records of service requests for assistance (i.e. routine/minor ICT support). 1 action completed Destroy DEBTORS

Parties that owe money to the agency.

See also related ACTIVITIES:

  • 13. BOOKS OF ACCOUNT
  • 78. RECEIPTS AND REVENUE
  • 81. REGISTERS

Debtors management records including:

  • debtor invoices (agency's copies).
  • source documentation used for raising invoices / debit notes.
  • correspondence relating to transactions.
  • reconciliations.
  • sundry debtor accounts.
  • Debtor Maintenance Forms or similar records used to create a new debtor's details.
6 successful audit Destroy

Debtors records including:

  • duplicate copies of debtor invoices retained for administrative use.
  • duplicates of source documentation and correspondence.
  • reports and listings.
2 successful audit Destroy DEFICIENCIES AND LOSSES

Deficiencies and losses of public moneys, other moneys and assets of the agency.

See also related ACTIVITIES:

  • 16. CHEQUE MANAGEMENT
  • 81. REGISTERS

Records of significant cases or claims in respect of public property, equipment, revenue or other debts, including:

  • actual, attempted or suspected fraud, theft, misappropriation or negligence.
  • write-offs.
  • irrecoverable revenue, debts and overpayments.
  • claims and cases referred to the Crown Solicitor / Attorney General.

Includes audit trails to original transactions, individual amounts written off, and details of recovery actions taken.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Case records or claims in respect of public property, equipment, revenue or other debts not included in section 32.1. Includes audit trails to original transactions, individual amounts written off, and details of recovery actions taken. 6 successful audit, or 7 years after action is completed, whichever is later Destroy Reports - losses or deficiencies of accountable forms. 6 successful audit, or 7 years after action completed, whichever is later Destroy Records of lost, deficient or obsolete stores. 2 successful audit Destroy DIARIES Diaries / appointment records of agency staff. Diaries / appointment records - CEO and Senior Executives which contain detailed or substantial information not recorded elsewhere. 5 action completed Required as State archives
  • Diaries / appointment records - CEO and Senior Executives not included in section 33.1.
  • Diaries / appointment records - authorized officers that deal with the public / clients - containing detailed information not recorded elsewhere.
5 action completed Destroy All other diaries / appointment records not included in sections 33.1 and 33.2, containing basic information (e.g. meeting dates, times, etc.). 1 action completed Destroy DISCIPLINE

The management of the disciplinary process concerning agency staff. Includes, but is not limited to:

  • Allegations, investigation, charges, warnings, punishment, appeals and dismissal.
  • Disciplinary action relating to breaches of Code of Conduct or other policy

See also related ACTIVITIES:

  • 49. GRIEVANCES

Discipline records where not held on PERSONAL FILE, including investigation, assessment, interviews, statements, reports and appeals records.

7 action completed Destroy DONATIONS Management of items, money, artefacts or property donated to or by the agency. Donations may be by trust, bequest, gift, etc.

Records of significant donations made to or by the agency, including all records associated with the donation.

NOTE: See definition of "Significant" in the Introduction to this GDA.

5 donation is made Required as State archives Records of other donations (accepted) not included in section 35.1. 7 action completed or after terms of donation / gift have been fulfilled Destroy Records of donations not accepted or unsuccessful. 2 action completed Destroy EDUCATION

Development and delivery of education services or programs to the public and private sectors to raise awareness or educate on agency business or requirements.

See also related ACTIVITIES:

  • 3. ADDRESSES / PRESENTATIONS / SPEECHES
  • 8. ARRANGEMENTS
  • 97. TRAINING AND DEVELOPMENT

Records of significant education programs.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of other education programs / services not included in section 36.1. 7 action completed Destroy Resources and references, working papers and supplementary material used to develop education programs. 2 action completed Destroy EMPLOYMENT CONDITIONS / EQUAL EMPLOYMENT OPPORTUNITY

The management of the general conditions of employment for all staff (permanent, temporary or contract) and the management of equal employment opportunity.

See also related ACTIVITIES:

  • 34. DISCIPLINE
  • 49. GRIEVANCES
  • 51. INDUSTRIAL NEGOTIATION
  • 68. PERFORMANCE PLANNING AND APPRAISAL
  • 80. RECRUITMENT
Increment, promotion (successful) and probation records. 75 employee's date of birth or 7 years after cessation of employment, whichever is later, or 7 years after death Destroy Promotion requests - unsuccessful. 2 action completed Destroy Signed documentation (e.g. policy acknowledgement) where not on PERSONAL FILE. 7 signatory separates from agency, or 7 years after policy revoked, whichever is later Destroy Records relating to employee clothing, including uniforms, badges and protective clothing. 7 action completed Destroy Records of Equal Employment Opportunity initiatives and case files. 7 action completed Destroy Records of flexible work practices proposed and / or implemented throughout the agency. 7 action completed Destroy Records of successful requests and associated arrangements for salary sacrifice schemes, where not on PERSONAL FILE. 7 action completed Destroy Salary sacrifice schemes - unsuccessful requests for salary sacrifice by staff. 1 action completed Destroy Staff social club records. 7 action completed Destroy Records of the planning and administrative arrangements for Officer exchange or secondment programs. 5 program ends Destroy Requests for the provision of staff amenities. 2 action completed Destroy Working hours - rosters. 1 superseded Destroy ENQUIRIES

Receipt and handling of requests for information about the agency and its services by the general public or another party.

See also related ACTIVITIES:

  • 46. FREEDOM OF INFORMATION
  • 53. INQUIRIES
  • 77. PUBLIC REACTION
Records of requests and provision of access to agency records for legal purposes, such as discovery orders, court subpoenas, tribunal requests, Ombudsman's office, etc. 7 action completed Destroy Records of enquiries which require investigation and detailed or specific response. 5 action completed Destroy Records of enquiries which require a routine or standard response, or which are referred to another party for response. 2 action completed Destroy EPHEMERAL RECORDS

Ephemeral records are records which:

  • Have no continuing value to the agency;
  • Are generally only needed for a few hours or a few days; and
  • May not need to be placed within the official recordkeeping system.

After hours support call logs

Note: detailed messages containing information not reproduced elsewhere should be allocated to the subject file to which they relate.

0 Destroy When reference ceases.

Agency style guides and manuals -  used to apply consistent wording, design and structure to corporate publications and documentation.

0 Destroy When reference ceases.

Allocation / Distribution

Mailing lists, directories.

0 Destroy When reference ceases.

Calendars

Calendars, including desk calendars.

See also related ACTIVITIES:

  • 33. DIARIES
0 Destroy When reference ceases.

Circulars - externally produced.

0 Destroy When reference ceases. Computer test records (e.g. test data, test record forms). 0 Destroy When reference ceases.

Corporate Credit Cards

Externally produced guidelines for use.

0 Destroy When reference ceases. Duplicate or exact copies of records, documents, circulars, forms, etc. where no annotations have been made. 0 Destroy When reference ceases. Fax transmission reports. 0 Destroy When reference ceases.

Forms

Blank or unused forms and templates developed by the agency to enter transactions or activities.

0 Destroy When superseded or when reference ceases. Information material produced by other parties, unsolicited letters or promotional material offering goods or services, where not used to make business decisions, such as price lists, catalogues, advertising material and brochures. 0 Destroy When reference ceases.

Letters or cards of appreciation, sympathy or greetings with no enduring value. Includes but is not limited to Christmas cards, condolences, thank you cards and letters and greeting cards.

See also related ACTIVITIES:

  • 77. PUBLIC REACTION
0 Destroy When reference ceases. Messages - transitory messages giving minor instructions of a routine instructional nature that are used to further some activity (e.g. corrections, requesting file creation or retrieval, filing a letter, formatting documents). 0 Destroy When reference ceases.

Messages - which do not relate to agency business.

Includes voice mail, email, telephone messages or notes.

NOTE: Messages which do relate to agency business should be documented and captured to the appropriate subject file.

0 Destroy When reference ceases.

Procedures

Duplicate or reference copies of the agency's accounting manual or other procedures, instructions or guidelines.

0 Destroy When reference ceases.

Publishing / Publications

External publications - created by other parties, such as technical literature, Government Gazettes, standards, professional papers and reference material.

0 Destroy When reference ceases. Recordings of telephone calls that are recorded for customer service training purposes. 0 Destroy When reference ceases. Reference sets of manuals (internal and external), directories, addresses and contact lists. 0 Destroy When reference ceases.

Rough drafts of reports, correspondence, routine or rough calculations not circulated to other staff for comment / input, for which a final draft has been produced and placed on the appropriate subject file.

NOTE: Versions of drafts which contain major changes to content must be captured to the appropriate subject file, e.g. internal policy.

0 Destroy When reference ceases.

Surveys / Statistics

Statistics / statistical information received from another party for reference purposes only.

For surveys / statistics generated by, or for, the agency for business purposes, see Section 94 - SURVEYS / STATISTICS.

0 Destroy When reference ceases.

Tendering

Duplicates / copies of tenders.

See also 96. TENDERING

0 Destroy When reference ceases.

Working papers, background notes and reference materials used to prepare or complete other documents (where these documents have been allocated to the appropriate subject file).

NOTE: Working papers and background notes relating to the development of internal policy or high level strategic issues must be captured to the appropriate subject file.

Staff must be mindful of the content of working papers and retain them as part of a subject file if deemed necessary.

0 Destroy When reference ceases. ESTABLISHMENT

Establishment and management of organizational structure, positions, duties and reporting relationships between staff.

See also related ACTIVITIES:

  • 80. RECRUITMENT
Records of the initial establishment of agency / new agency, function and purpose, legislative basis, and administrative arrangements regarding establishment. 5 establishment of agency Required as State archives

Records of significant restructures / restructuring, including:

  • Reviews and restructures affecting the agency as a whole or major sections of the agency.
  • Amalgamations, classification, corporatisation, organizational charts, privatisation, redeployment and retraining.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of restructures or restructuring not included in section 40.2, such as reviews and restructures affecting only particular sections of the agency and having little effect on the overall functioning of the agency. 5 action completed Destroy

Position history records / position files 10% selected sample.

Includes, but is not limited to, determination of duty statements, required qualifications, classifications, variations, rationale for creation of positions.

NB: The sample should focus on:

  • key positions within the agency;
  • positions that reflect changes in strategic direction / priority for the agency; or
  • positions that are unique to the agency's business.

Not to be confused with PERSONAL FILES.

5 action completed Required as State archives

Position history records / position files - remaining records not selected as sample under section 40.4.

Not to be confused with PERSONAL FILES.

7 position abolished Destroy Records of reclassification requests - successful. 7 position abolished Destroy Records of reclassification requests - unsuccessful. 2 position abolished Destroy

Records of:

  • Management of vacant (unoccupied) positions in the agency.
  • Sourcing of temporary staff for positions.

See RECRUITMENT for recruitment records.

1 action completed Destroy EVALUATION

Assessing the suitability of potential or existing facilities, programs, services, systems or equipment through feasibility studies or other methods of formal evaluation.

See also related ACTIVITIES:

  • 10. AUDITING / AUDIT
  • 86. REVIEWING
  • 96. TENDERING

Records of:

  • Strategic-level evaluations of agency operations and services, plans and policies.
  • Significant evaluations

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 evaluation completed Required as State archives

Records of:

  • Evaluations not included in section 41.1.
  • Operational-level evaluations of agency operations and services, plans and policies.
7 action completed Destroy

Records of equipment or systems investigated and purchased.

7 system discontinued Destroy Evaluations of potential equipment, systems or services that are not proceeded with. 2 action completed Destroy EXPENDITURE AND PAYMENTS

The process of spending cash funds of the agency.

See also related ACTIVITIES:

  • 28. CREDITORS
  • 81. REGISTERS

Records of payments and supporting documentation (e.g. invoices, credit card monthly statements and other claims for payment) including:

  • Form C10 or other payment vouchers.
  • Invoices.
  • duplicates of claims (TI 309).
  • payment by cheque or Electronic Funds Transfer (TI 310).
  • returned payments (TI 310).
  • Act of Grace payments (TI 319).
  • credit notes.
  • cash payment vouchers.
6 successful audit Destroy Debit batch register. 6 successful audit Destroy EXHIBITIONS / DISPLAYS

The development and conduct of exhibitions or displays to exhibit agency material and/or to promote agency programs and services.

See also related ACTIVITIES:

  • 8. ARRANGEMENTS

Records of significant exhibitions, including records of the planning and development, production and design of the exhibition / display. May include film, video or photographic record of exhibition or display.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 exhibition delivered Required as State archives Records of exhibitions and displays not included in section 43.1. 3 action completed Destroy FEES AND CHARGES Fees or charges incurred for the agency's goods or services. Records of the development, management and approvals related to fees and charges. 6 successful audit Destroy FORMS (FINANCIAL) Finance and accounting documents or forms issued by the Department of Treasury / Finance, or developed by the agency, used to record financial transactions. Missing monetary forms - records of investigations and approvals for non-production. 6 successful audit Destroy Cancelled, spoilt, obsolete or surplus monetary forms not issued and records relating to their management 6 successful audit Destroy Estimated Quarterly Expenditure (Treasury Form 13) and Governor's Warrant (Treasury Form 15). 6 successful audit Destroy Records of the development of forms and templates by the agency to enter financial transactions or activities. 2 action completed Destroy FREEDOM OF INFORMATION Management of requests / applications to the agency made under the Freedom of Information Act 1992.

Significant requests / applications made under Freedom of Information legislation, including applications submitted to external review conducted by the Supreme Court.

Archived requests must include copies of documents that are the subject of the request.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Requests / applications made under Freedom of Information legislation, not included in section 46.1. 7 action completed Destroy Applications / requests for information - withdrawn or fully referred to another agency. 2 action completed Destroy FUNDRAISING Fundraising activities undertaken by the agency.

Records of significant fundraising or appeals, including appeal proposal, consultation, major drafts, final plan and approvals, and records of funds raised and reports.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of fundraising or appeals not included in section 47.1. 6 successful audit Destroy Fundraising - records of the organization and management of fundraising activities. 2 action completed Destroy GRANT FUNDING Grants or subsidies received or provided by the agency.

Records of significant grants or subsidies provided by or received by the agency, including applications, management of moneys and reports.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of grants or subsidies provided or received by the agency, not included in section 48.1. 6 successful audit Destroy Unsuccessful applications for grants or subsidies made or received by the agency. 2 successful audit Destroy GRIEVANCES

The management and resolution of grievances and complaints reported by agency employees.

See also related ACTIVITIES:

  • 67. OCCUPATIONAL SAFETY AND HEALTH
Records of formal grievances (where not held on PERSONAL FILE) lodged by employees, including discrimination or harassment, that result in formal proceedings. Includes complaints, investigation records, final decisions and actions. 7 action completed Destroy Records of informal or other grievances (where not held on PERSONAL FILE) lodged by employees, including discrimination and harassment, not resulting in formal proceedings. Includes complaints, investigation records and final decisions and actions. 2 action completed Destroy IMPLEMENTATION

The implementation of plans, policies, procedures or instructions.

See also related ACTIVITIES:

  • 30. DATA ADMINISTRATION / DATABASE MANAGEMENT / APPLICATION DEVELOPMENT
  • 41. EVALUATION

Records of implementing significant core business strategies, plans and policies, projects or programs.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives
  • Records of the implementation of other core business strategies, plans and policies, projects and programs not included in section 50.1.
  • Administrative plans and policies, instructions, programs, systems and solutions.
7 action completed Destroy INDUSTRIAL NEGOTIATION

The management of negotiations between management, workers and unions.

The management of industrial action or disputes.

See also related ACTIVITIES:

  • 18. CLAIMS
  • 37. EMPLOYMENT CONDITIONS / EQUAL EMPLOYMENT OPPORTUNITY

Records of the negotiation and review of Workplace / Enterprise / Industrial agreements or awards and processes applying to the agency:

  • Setting a precedent.
  • Affecting a majority of the agency's employees.
  • Which make an innovative / contentious change to working conditions.
  • Involved substantial agency input.
5 action completed Required as State archives

Records of significant industrial action / disputes, including industrial action (strikes, go slows etc.) and/or disputes involving agency staff which have a substantial impact on the agency.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of other industrial action / disputes not included in section 51.2, such as minor cases of industrial action (e.g. short term and / or easily resolved disputes). 5 action completed Destroy Records of Workplace Consultative / Negotiating Committees. 5 action completed Required as State archives

Records of liaison with employees, staff bodies and unions on such issues as:

  • advice concerning changes to working arrangements.
  • notes of meetings.
  • information regarding union policies, newsletters, etc.
10 action completed Destroy Agency copies of Workplace agreements / Enterprise agreements / Industrial agreements. 7 expiry Destroy Records of Union right of entry arrangements, including entry notices. 7 action completed Destroy

Records of:

  • Enterprise bargaining not resulting in an agreement; or
  • Where the agency had little or no input.
5 action completed Destroy Industrial Relations Elections - ballots and ballot papers. 4 action completed Destroy INFRINGEMENTS / LITIGATION / PROSECUTIONS

Infringements (penalties): Handling breaches of rules and laws, such as minor or simple offences under agency rules or regulations.

Litigation: Managing lawsuits or legal proceedings between the agency and other parties.

Prosecutions: Managing legal proceedings between the agency and other parties, in dispute over notices, infringements etc.

See also related ACTIVITIES:

  • 5. ADVICE
  • 38. ENQUIRIES for requests and provision of access to agency records for legal purposes, such as discovery orders, court subpoenas, etc.

Records of significant litigation or prosecutions.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of other litigation and prosecutions not included in section 52.1. 7 action completed Destroy Infringement notices issued by the agency for minor offences where no legal action results. 7 action completed Destroy Intellectual property (copyright / patents / trademarks) infringements issued by or to the agency. 7 action completed Destroy Complaints / reports / information received from the public or other parties alerting the agency to possible offences, where not covered in sections 52.1 - 52.4, or no action is taken. 7 action completed Destroy Subpoenas / discovery orders / Writ of Summons. 2 action completed Destroy Infringement notices received by the agency, such as parking, speeding / traffic infringements incurred by agency staff. 2 action completed Destroy Used infringement books where the information is not transferred elsewhere. 7 action completed Destroy Used infringements books where the information has been transferred elsewhere. 6 action completed Destroy INQUIRIES

Formal investigations carried out by persons or bodies authorized to inquire and report on a subject, such as Royal Commissions, Special Inquiries established under the Public Sector Management Act, Ombudsman inquiries, and the Corruption and Crime Commission.

Includes the agency's participation in the inquiry by providing evidence in the form of submissions, statements, reports etc, whether by official request or voluntarily.

Records of inquiries directly related to the agency's administration, functions, programs or services.

Includes agency input / evidence in the form of submissions, statements, reports etc.

Includes notice of decision and recommendations and records of the agency's implementation of the recommendations.

5 inquiry completed Required as State archives Records of inquiries not directly related to the agency's administration, functions, programs or services, but requiring substantial agency input, in the form of submissions, statements, reports etc. 5 inquiry completed Required as State archives Records of inquiries not relating to the agency's administration or requiring little or no input or action. 3 action completed Destroy INSPECTIONS

Examination of the agency's land, buildings, facilities, vehicles, plant and equipment.

See also related ACTIVITIES:

  • 10. AUDITING / AUDIT
  • 20. COMPLIANCE
  • 67. OCCUPATIONAL SAFETY AND HEALTH

Records of significant inspections.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of inspections not included in section 54.1, including routine inspections of facilities, equipment and other items. 7 action completed Destroy INSTALLATION / COMMISSIONING The installation of equipment into position and connecting / adjusting for use.

Records of the installation and commissioning of significant infrastructure.

NOTE: See definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of the installation and commissioning of other infrastructure, including equipment and components, not included in section 55.1. 7 disposal or decommissioning of infrastructure Destroy Records of the installation of utilities in agency property, such as power, water, sewerage, etc. 5 disposal or decommissioning of utility Destroy Records of the installation of technology and telecommunications equipment, hardware and software. 5 action completed Destroy

Records of:

  • Installation of other equipment.
  • Installation of signage.
3 action completed Destroy INSURANCE

Policies taken out by the agency to cover loss or damage to property, vehicles, or members of the public, including financial loss and indemnity insurance.

See also related ACTIVITIES:

  • 18. CLAIMS
Policies, liabilities and renewals - buildings, property or major assets. 7 expiry of insurance policy Destroy Policies, liabilities and renewals - financial loss, indemnity, vehicles, machinery, equipment and minor assets. 7 expiry of insurance policy Destroy INTELLECTUAL PROPERTY

Management of intellectual property (IP) such as patents, trademarks and royalties and the management of copyright.

See also related ACTIVITIES:

  • 52. INFRINGEMENTS / LITIGATION / PROSECTIONS
  • 81. REGISTERS
Records of copyright / patents / trademarks held by the agency or administered by the agency on behalf of the State. 7 IP expires Destroy
  • Requests to reproduce material where the copyright is held by the agency.
  • Requests by the agency to reproduce material where the copyright is held by another party.
7 action completed Destroy Records of royalties received by the agency. 7 action completed Destroy LEASING / LEASING OUT

Leasing premises/property, equipment, vehicles, items, etc. from another party.

Leasing out premises/property, equipment, vehicles, items, etc. to another party.

Records of the leasing of premises/property, equipment, items, etc. from - or to - another party.

Includes special leases, licences, tenancy and permissive occupancy agreements, contracts, agreements and conditions, documents of investigations and negotiations relating to leased property.

7 expiry or cancellation of lease Destroy Unsuccessful leasing or leasing-out requests / applications. 2 action completed Destroy LEAVE The management of all types of leave for agency staff.

Long service leave applications, arrangements and approvals.

NOTE: the retention of long service leave records is regulated under the Industrial Relations Act 1979, s.49D(3).

7 employment terminates Destroy Leave applications, listings, updates, associated correspondence and instructions. 7 action completed Destroy LEGISLATION

Development and amendment of legislation such as Acts, Regulations, Rules, By-Laws, etc.

See also related ACTIVITIES:

  • 20. COMPLIANCE

Records of making, reviewing and amending legislation forming the legislative basis for the agency or administered by the agency, or directly related to the agency's functions or operations. Includes Bills, Acts, Regulations and amendments.

Records include, but may not be limited to:

  • Requests and proposals.
  • Consultation and comment.
  • Reviews and submissions.
  • Regulatory Impact Statements.
  • Major drafts and Explanatory Notes.
5 action completed Required as State archives The provision or receipt of advice (whether or not legal) on interpretation of legislation administered by the agency or directly related to the agency's functions or operations. 5 action completed Required as State archives Records of substantial input, comment or contribution by the agency on other legislation affecting the agency's functions or operations. 5 action completed Required as State archives

Records of:

  • Minor input, comment or contribution by the agency on other legislation affecting the agency's functions and operations.
  • Any comment or contribution by the agency on other legislation not affecting the agency's functions or operations.
10 action completed Destroy LIAISON

Managing regular general contact between the agency and other parties / bodies.

See also related ACTIVITIES:

  • 5. ADVICE
  • 38. ENQUIRIES

Records of significant liaison with other government agencies / organizations where the ongoing relationship is unique or the agencies are substantially related (e.g. such as the liaison between an agency and its parent department).

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives

Records of general liaison or regular ongoing contact with, and not limited to:

  • Other government agencies.
  • Community groups.
  • Professional and industry associations.
  • Private sector organizations.

Includes records of participation in association / group activities.

5 action completed Destroy

Records of:

  • The management of memberships of professional or industry associations.
  • Agency participation in association activities.
5 action completed Destroy MAINTENANCE

Maintenance or repairs carried out on infrastructure, land, buildings, equipment and vehicles.

See also related ACTIVITIES:

  • 22. CONSERVATION
  • 23. CONSTRUCTION / CAPITAL WORKS

Records of significant maintenance, repairs or restoration of infrastructure, land, buildings and operational facilities, including maintenance, repairs or restoration necessitated through disaster (e.g. cyclone, fire, flood).

Maintenance program or project records may include, but not be limited to:

  • Feasibility studies, investigations and analysis.
  • Environmental Impact Statements.
  • Environmental surveys, assessments, plans and licences.
  • Design, major drafts and as-constructed drawings/plans/maps.
  • Specifications.
  • Formal approvals.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives

Records of:

  • The maintenance of land, buildings and operational facilities, plant or equipment, containing asbestos or hazardous materials, not included in section 62.1.
  • Maintenance which requires the use of hazardous materials or substances, not included in section 62.1.
75 maintenance carried out Destroy Records of other maintenance carried out on land, infrastructure and operational facilities not included in sections 62.1 and 62.2. 7 action completed Destroy Records of maintenance carried out on vehicles (including servicing, repairs and registration). 7 disposal of vehicle Destroy Records of maintenance programming / forward planning proposals. 7 action completed Destroy MARKETING

Marketing of the agency and its business, services and products.

See also related ACTIVITIES:

  • 64. MEDIA RELATIONS
  • 76. PUBLISHING / PUBLICATIONS

Records of significant marketing, publicity or promotions campaigns, such as tactical / branding campaigns to promote overall product or trademark or innovative new product or service.

Records include, but may not be limited to:

  • Proposals, research, consultation.
  • Design and production.
  • Coordination, implementation and evaluation.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of marketing campaigns, promotions or programs, not included in section 63.1. 5 action completed Destroy Advertisements in any media - master copies. 7 action completed Destroy Advertisements - working papers and reference material. 3 action completed Destroy MEDIA RELATIONS

Managing media relationships and the preparation and issue of media releases.

See also related ACTIVITIES:

  • 38. ENQUIRIES
  • 63. MARKETING
  • 76. PUBLISHING / PUBLICATIONS
Media releases, including records of the development of media releases and final versions. 5 action completed Required as State archives Records of the management of the agency's relationship with the media, including contact liaison, speaking or filming requests and arrangements. 3 action completed Destroy Press cuttings (in situations where the agency maintains a separate file of media / press cuttings on or about the agency) 5 file is closed Required as State archives MEETINGS

Meetings held to formulate, discuss, update, or resolve issues and matters pertaining to agency business or the management of the agency or any part thereof.

Refers to meetings of groups / entities that are NOT meetings of COMMITTEES, etc.

See also related ACTIVITIES:

  • 8. ARRANGEMENTS
  • 19. COMMITTEES / BOARDS

Records of high-level internal meetings held to discuss / resolve matters relating, but not limited, to:

  • Agency planning and policy.
  • Strategic and corporate management.
  • Core business functions or operations.
  • Community consultation relating to significant issues.

Agendas, minutes, supporting papers and reports.

5 action completed Required as State archives

Records of internal meetings, not included in section 65.1, and held to discuss / resolve matters relating, but not limited, to:

  • non-core business activities.
  • mid to low-level administrative activities.
  • facilitative functions or activities.
  • informative functions or activities.
  • low-level community consultation.

Agendas, minutes, supporting papers and reports.

7 action completed Destroy

Records of external meetings where the agency has a coordinating or secretarial role and held to discuss / resolve matters relating, but not limited, to:

  • agency planning and policy.
  • strategic and corporate management.
  • core business functions or operations.
  • high-level community consultation relating to significant issues.

Agendas, minutes, supporting papers and reports.

5 action completed Required as State archives

Records of external meetings where the agency has a coordinating or secretarial role, not included in section 65.3 and held to discuss / resolve matters relating, but not limited, to:

  • agency non-core business activities.
  • mid to low-level administrative activities.
  • facilitative functions or activities.
  • informative functions or activities.
  • low-level community consultation.

Agendas, minutes, supporting papers and reports.

7 action completed Destroy Records of external meetings, where the agency has NO coordinating or secretarial role. Includes agendas, minutes, supporting papers and reports. 1 action completed Destroy

Records of public meetings, organized by the agency and held to discuss / resolve matters relating, but not limited, to:

  • agency planning and policy.
  • strategic and corporate management.
  • core business functions or operations.
  • high-level community consultation relating to significant issues.

Records may include discussion papers, questions on notice, feedback and reports.

5 action completed Required as State archives

Records of public meetings, organized by the agency, not included in section 65.6 and held to discuss / resolve matters relating, but not limited, to:

  • agency non-core business activities.
  • mid to low-level administrative activities.
  • facilitative functions or activities.
  • informative functions or activities.
  • low-level community consultation.

Discussion papers, questions on notice, feedback and reports.

7 action completed Destroy Recordings of meetings. 0 Destroy Once transcribed and accepted by relevant person/s or authority. MOVING Moving or relocating the agency's premises or business units. Records associated with the moving or relocation of all or part of the agency. 7 action completed Destroy OCCUPATIONAL SAFETY AND HEALTH

The implementation and co-ordination of occupational safety and health (OSH) and the associated legislation and requirements throughout the agency.

See also related ACTIVITIES:

  • 1. ACCIDENTS / EMERGENCIES / INCIDENTS
  • 18. CLAIMS
  • 81. REGISTERS
  • 97. TRAINING AND DEVELOPMENT

Records of:

  • Significant OSH inspections of agency property, workplaces and equipment.
  • Inspections that identify significant hazards at the agency.

Includes records of measures or remedial action undertaken to minimise risk or hazard.

NOTE: See definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives

Records of:

  • Inspections not included in section 67.1, including routine inspections.
  • Inspections which identify non-significant (minor) hazards.

Includes measures or remedial action undertaken to minimise risk or hazard.

7 action completed Destroy

Records of contaminated sites incorporating the identification, assessment and clean up of contaminated sites or sites potentially contaminated by hazardous substances such as asbestos, oils, chemicals, biological hazards, radioactive material, etc.

Includes, but is not limited to:

  • Use, presence, neutralization and removal of asbestos from buildings, plant and workplaces.
  • Safety precautions.
  • Advice on health risks.
5 action completed Required as State archives

Records / reports of hazardous substances (excluding asbestos) and situations including:

  • Assessment reports which give rise to monitoring or health surveillance.
  • Results of all monitoring.
  • Reports of health surveillance.
75 the completion, or last entry, of the record or report, or action completed, whichever is later Destroy Records of hazardous substances (excluding asbestos) and situations relating to assessments and assessment reports which do not give rise to monitoring or health surveillance. 7 action completed Destroy Asbestos - personal history records documenting the exposure or potential exposure of staff and volunteers to asbestos. 75 employee's date of birth or 7 years after cessation of employment, whichever is later, or 7 years after death Destroy

Complaints / grievances (where not held on PERSONAL FILE) about occupational health and safety matters that include complaints/objections to:

  • undertaking hazardous duties.
  • working environment hazards, including noise, dust, carcinogenic substances, chemicals, heat etc.
  • working in an infectious disease or occupational zoonoses environment.
30 action completed Destroy Complaints / grievances from staff about concerns / objections relating to other OSH matters not included in section 67.7. 7 action completed Destroy Records of the rehabilitation of staff following a workplace accident. 75 employee's date of birth or 7 years after cessation of employment, whichever is later, or 7 years after death Destroy
  • Medical and / or dental records of staff.
  • Records of drug and alcohol testing.
  • 'fitness for work' records containing medical information.
  • Pre-employment medicals.
15 action completed Destroy

Records of health promotion and awareness programs for staff including but not limited to:

  • Wellness.
  • Ergonomics.
  • other healthy lifestyle programs.
  • blood donations.
7 action completed Destroy Risk management - records of appointments of representatives promoting OSH (fire wardens, OSH officers, first aid officers) and records of measures taken to promote OSH (e.g. fire evacuation drills). 7 action completed Destroy PERFORMANCE PLANNING AND APPRAISAL The evaluation of the performance of staff and their achievements in relation to set goals.

Performance appraisal records for:

  • Director-Generals and Deputy Director-Generals.
  • Chief Executive Officers and Deputy CEOs.
  • Heads of government agencies.
  • Members of the Senior Executive Service.
  • Those who have achieved fame, notoriety or a high public profile.
5 action completed Required as State archives

Performance appraisal records of staff not included in section 68.1, including but not limited to:

  • staff assessment reports.
  • action to be taken.
  • counselling on work performance.
  • records of other discussions relating to appraisal.

NB: performance appraisal records should be maintained separately to the employee's personal file.

5 action completed Destroy Records of substandard performance where formal action is taken relating to a poor performance investigation. Includes records of investigation. 75 employee's date of birth or 7 years after cessation of employment, whichever is later, or 7 years after death Destroy Records of substandard performance where no formal action is taken. 5 action completed Destroy Appraisal Programs (i.e. Staff Development Systems) - working papers. 2 action completed Destroy PERSONAL FILES

Personal data is kept on a Personal File for each permanent, temporary and contract employee of the agency.

Personal Files typically include the following core information relating to an employee:

  • appointment and confirmation of employment.
  • employment history.
  • cessation of employment.
  • name and date of birth of the employee.
  • title and classification of the office held by the employee.
  • the term of the employee's appointment.

Personal Files may also include the following records, which, if held separately to the Personal File, are covered elsewhere in this GDA:

  • awards and honours.
  • application for employment.
  • complaints relating to Occupational Health and Safety.
  • copies of qualifications and references.
  • description of position and duty statement.
  • gratuities and allowances details.
  • group certificate.
  • higher duties instructions.
  • increment / promotion / probation records.
  • industrial award or agreement under which employee is employed.
  • letter of resignation, dismissal particulars, exit interviews.
  • medical reports (i.e. supporting leave requests).
  • references or statement of service supplied by other organizations.
  • superannuation authorities and transfer of superannuation.
  • training course assessments or reports.

Personal Files for:

  • Director-Generals and Deputy Director-Generals.
  • Chief Executive Officers and Deputy CEOs.
  • Heads of government agencies.
  • Members of the Senior Executive Service.
  • Those who have achieved fame, notoriety or a high public profile.
75 employee's date of birth or 7 years after cessation of employment, whichever is later, or 7 years after death Required as State archives Personal Files for employees not included in section 69.1. 75 employee's date of birth or 7 years after cessation of employment, whichever is later, or 7 years after death Destroy

Personal Files for employment scheme participants.

Employment schemes may include but not be limited to:

  • Work for the Dole programs.
  • Commonwealth Rehabilitation Scheme programs.
  • Green Corps programs.
7 leaving the agency Destroy

Duplicate Personal Files for all staff retained for reference purposes.

Care must be taken to ensure these records are exact duplicates of the original file and contain no additional information.

0 Destroy Retain until employee separates from agency. PHOTOGRAPHS / AUDIO VISUAL

Photographs / audio visual records of:

  • Infrastructure, buildings, structures, landmarks.
  • People, places, events.

Includes photographs in all formats, such as digital, photographic prints, negatives, slides, as well as other audiovisual material.

NOTE: This category covers individual photographs or photographic collections, which do not form part of a documented group / record. That is, they are not linked to an activity covered elsewhere in this GDA or in the agency's approved disposal authority.

Photographs which do form an integral part of a record should be treated as part of that record and sentenced in accordance the relevant activity.

Photographs / audio visual material in which the organization (or a preceding organization) played a lead role in what the photographs / audio visual material documents.

Context Identified: Photographs and audio visual material of significant events, structures, buildings, people, landmarks etc. where contextual and descriptive information is available.

Context Not Identified: Photographs and audio visual material of significant events, structures, buildings, people, landmarks etc, where no contextual descriptive information is available, but the subject of the photograph is identifiable.

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives

Other photographs and audio visual material not included in section 70.1.

Includes, for example, photographs taken for the purpose of annual reports, unidentifiable landmarks, people, etc. of no historic significance.

NB: If the content of photographs and audiovisual material cannot be identified, the agency is to consult with the SRO before destruction proceeds.

2 action completed Destroy PLANNING

Planning to achieve agency or government objectives.

See also related ACTIVITIES:

  • 87. RISK MANAGEMENT / RISK ASSESSMENT

Records of strategic or high-level planning of the agency's core business functions, activities, projects, programs and services.

Records include proposals, consultation, major drafts, final plan and approvals.

5 action completed Required as State archives

Records of:

  • agency-wide strategic, corporate and business plans.
  • Statement of Corporate Intent.

Records include proposals, consultation, major drafts, final plan and approvals.

5 action completed Required as State archives

Records of whole-of-government planning developed by the agency where the agency provided substantial / major input into planning.

Records include proposals, consultation, major drafts, final plan and approvals.

5 action completed Required as State archives
  • Records of operational level planning of the agency's core business functions, activities, projects, programs and services. 
  • Records of operational level or administrative plans, including agency-wide financial management plan.

Records include proposals, consultation, major drafts, final plan and approvals.

7 action completed Destroy

Records of planning and development of conferences and seminars organized by the agency.

See also related ACTIVITIES:

  • 21. CONFERENCES / SEMINARS

7 action completed Destroy

Records of insubstantial, minor or no input from the agency into whole-of-government planning.

5 action completed Destroy Financial plans for business units or cost centres within the agency. 2 plan superseded Destroy Financial plans - working papers. 1 plan is adopted Destroy POLICY

Developing or establishing policies.

See also related ACTIVITIES:

  • 17. CIRCULARS

Records developed by the agency for the conduct of its core business functions and activities, for use by the agency and/or its clients.

Records include research, consultation, major drafts, amendments and approvals.

5 action completed Required as State archives

Records of strategic or high-level administrative policy developed for internal use in the administration of the agency.

Records include research, consultation, major drafts, amendments and approvals.

5 action completed Required as State archives

Records of Whole-of-Government policy:

  • Developed by the agency.
  • Where the agency provided substantial / major input.

Records include research, consultation, major drafts, amendments and approvals.

5 action completed Required as State archives

Records of mid / low level or operational level administrative policy developed for internal use in the administration of the agency.

Records include research, consultation, major drafts, amendments and approvals.

7 action completed Destroy

Records of insubstantial, minor or no input from the agency into whole-of-government policy.

3 action completed Destroy Supplementary policy records such as working papers, interim or minor drafts. 2 action completed Destroy PRIVACY

Application of the principles of privacy to agency business.

See also related ACTIVITIES:

  • 6. AGREEMENTS / CONTRACTS
  • 20. COMPLIANCE
  • 46. FREEDOM OF INFORMATION
  • 72. POLICY
  • 74. PROCEDURES
Records documenting the ongoing protection of data to ensure privacy, including special procedures for management of personal information. 7 action completed Destroy Records of the development of access restrictions for the release of agency information to the public. 5 action completed Destroy PROCEDURES

Procedures developed by the agency for core business or administrative purposes and for internal or external use.

Procedures produced by external parties for use by the agency.

Internal or external methods or instructions detailing how to conduct the agency's financial and accounting activities.

Includes applications to exempt the agency from certain Treasurer's Instructions.

  • Procedures developed and approved by the agency which apply to its core business operations or activities, for internal (agency) use or external (client) use.
  • Procedures developed by the agency for whole-of-government use.

Records include proposals, consultation and comment, major drafts and approved final version.

5 procedures are superseded Required as State archives
  • Procedures developed and approved by the agency which apply to its administration e.g. financial and human resource management.
  • Master copies of accounting manuals - as required by sections 18 and 44 of the Financial Administration and Audit Act 1985 and TI 701.
7 superseded Destroy Externally produced procedures used by the agency in the conduct of its business or administration. Includes whole-of-government procedures developed by a central or other government agencies, or other external sources. 2 superseded Destroy Financial management procedures - exemptions from Treasurer's Instructions - approved applications. 5 action completed Required as State archives Financial management procedures - exemptions from Treasurer's Instructions - unapproved applications. 2 action completed Destroy

Treasurer's Instructions (excluding the originating set developed by the Department of Treasury / Finance), including:

  • working copies of Treasurer's Instructions.
  • supplements to Treasurer's Instructions.
  • circulars.
  • other accounting instructions, procedures, directions or requirements originated and issued by Treasury for agency use.
0 Destroy When superseded or cancelled Supplementary procedure records such as working papers, interim or minor drafts. 2 action completed Destroy PROJECTS / PROJECT MANAGEMENT

Planning, organizing and managing resources to bring about the completion of a project utilizing a combination of techniques, procedures, people and systems.

Includes defining, planning, approval, implementation and evaluation of a project. 

The records within this activity include, but may not be limited to:

  • Project Briefs / Project Plans / Project Initiation Documents.
  • Project / progress reports.
  • Project meeting documentation.
  • Project schedules / timelines.
  • Change requests.
  • Project risk assessments / registers and issues logs.
  • Project budget documentation.
  • Project closure / evaluation reports.

Records of significant projects.

Guidance for determining a "Significant" project includes:

  • The agency is the lead agency for the project; or
  • The agency has had major input into the planning, development and implementation of the project; or
  • The agency is a principal driver of the project and performs secretariat duties for the board / committee responsible for managing project records; or
  • The agency is a driver of the project and administers the funding for the project.

AND

  • The project is innovative, unique or precedent-setting; or
  • The project involves buildings, items or property considered to have cultural heritage significance; or
  • The project is of region-wide or state interest; or
  • The project generated substantial regional debate or controversy; or
  • The project concerns major liabilities or obligations for the agency.
5 project is completed Required as State archives Records of other projects not included in section 75.1. 7 project completed or discontinued Destroy PUBLISHING / PUBLICATIONS

Works in all media, developed by or for the agency, issued or made available for distribution or sale.

Includes websites.

NOTE: Copies of "certain published material" and "certain material published on the Internet" are to be deposited with the State Librarian under the Legal Deposit Act 2012, as directed by the State Librarian.

See also related ACTIVITIES:

  • 8. ARRANGEMENTS
  • 25. CORPORATE IDENTITY / CORPORATE STYLE
  • 30. DATA ADMINISTRATION / DATABASE MANAGEMENT / APPLICATION DEVELOPMENT
  • Copies of certain published materials; and
  • Certain material published on the Internet.

(Regulations issued under the Legal Deposit Act 2012 will provide guidance on the published materials to be deposited).

0 Deposit with the State Librarian in accordance with the Legal Deposit Act 2012. Master copies of any published material not required to be deposited under the Legal Deposit Act 2012. 7 action completed Destroy
  • Drafts of publications (including notes and reference material)
  • Working copies of publications with annotations
  • Proposed amendments to publications
2 action completed Destroy

Record copies (i.e. copies saved into a recordkeeping system) of pages from the agency's website, and records of substantial changes made.

NOTE: records of business transacted on websites (e.g. payments, lodgements) are to be sentenced in accordance with the relevant activities in this GDA or the agency's functional disposal authority.

0 Dispose in accordance with the disposal action given under the relevant activities in this GDA or the agency's Retention and Disposal Schedule Records of business transacted on websites. Records include completed and submitted online forms such as requests for services, feedback forms, customer surveys and emails or database entries resulting from data entry by the customer. 0 Dispose in accordance with the disposal action given under the relevant activities in this GDA or the agency's Retention and Disposal Schedule Staff newsletters and directories - in-house. 7 action completed Destroy PUBLIC REACTION

Handling reaction to the agency's policies and services. Includes:

  • Complaints, suggestions or appreciation from clients or the public.
  • Greetings.
  • Suggestions from agency staff to improve services and processes.

Records of significant complaints or suggestions, which (among other things) lead to substantial change of policy or procedure, raise legal issues or set a precedent

NOTE: see definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of complaints or suggestions which require investigation and specific response, not included in section 77.1. 7 action completed Destroy

Records of complaints or suggestions which:

  • Require routine or form response or concern minor administrative matters.
  • Require no response.
  • Are anonymous correspondence not included in section 77.1.
  • Are letters of appreciation, compliments or greetings.
  • Are invitations received by the agency.
2 action completed Destroy
  • Letters of appreciation, condolence, compliments, greetings sent by the agency.
  • Invitations issued by the agency where not covered elsewhere in this disposal authority.
2 action completed Destroy RECEIPTS AND REVENUE

The activities involved with the receipt of money by the agency.

See also related ACTIVITIES:

  • 24. CORPORATE CREDIT CARDS
  • 31. DEBTORS

Receipts and revenue - office copies of:

  • official receipts.
  • Licences.
  • Permits.
  • other money forms.
  • cash register and computerised imprints/summaries (also known as Daily Income Summaries or Daily Income Statements).
  • cash receipts summaries.
  • Crown Law Abstracts (Treasury Form 1).
  • Outstation Cash Abstract (Treasury Form 2).
  • Outstation Cash Sheets (Treasury Form 3).
6 last form issued, action completed, last reading or successful audit, whichever is later Destroy

Receipt records, including:

  • revenue cash books.
  • direct credits.
  • input forms for Treasury.
  • statements of estimated revenue collections (Treasury Form 14).
6 successful audit Destroy RECORDS AND INFORMATION MANAGEMENT

The management of the agency's records and information.

See also related ACTIVITIES:

  • 7. ALLOCATION / DISTRIBUTION
  • 81. REGISTERS

Primary control records to provide meaning, context and access to records over time.

Includes:

  • Agency approved Recordkeeping Plan and associated documentation, such as Recordkeeping policies and procedures, Business classification schemes, thesauri, lists of authorised subject headings, indexes or file plans, vital records plan, and Agency disposal authorities.
  • Recordkeeping metadata.
  • Lists of records transferred to the State Records Office as archives.
  • Lists and certificates of records destroyed.
  • Lists of records transferred to or from another agency.
  • Documentation about processes for reproduction of original (hard copy) records and destruction of original hard copy records (source records), including scanning conversion certificates.
0 Retain in agency Retain for life of agency. Records of the development and implementation of the agency's recordkeeping system/s. 7 system superseded Destroy Management of control and access to records, including appraisal of sensitive and restricted records. 7 action completed Destroy Mail processing records - including receipts, postage stamp registers, and mail lodgement books. 6 action completed Destroy Records storage and disposal arrangements in onsite and offsite storage areas, including but not limited to Usage, Selection, Transfers, Retrievals, Reviews, Security and Disposal arrangements. 5 action completed Destroy

Records of the:

  • Development (background material, drafts, working papers) of the agency's Recordkeeping Plan.
  • Development of knowledge management practices, including collections of frequently asked questions, etc.
  • Development, management and implementation of records / information management customer services.
5 action completed Destroy Forms control - management and review of forms. 2 action completed Destroy Secondary or minor control records including file creation forms, movement of records forms, processing forms, and retrieval requests (internal). 1 action completed Destroy Control records documenting library collections, e.g. library catalogue information. 0 Destroy Retain until business use ceases, then destroy. RECRUITMENT

The process of employing suitable staff to fill agency positions. Includes permanent, contract and temporary staff.

See also related ACTIVITIES:

  • 40. ESTABLISHMENT
  • 67. OCCUPATIONAL SAFETY AND HEALTH
  • 101. VOLUNTEERING

Personal History Cards or Personal Summary Information - records relating to appointment, classification, leave, superannuation, award coverage, qualifications etc.

Not to be confused with PERSONAL FILES.

5 action completed Required as State archives

Applications and recruitment records:

  • Director-Generals and Deputy Director-Generals.
  • Chief Executive Officers and Deputy CEOs.
  • Heads of government agencies.
  • Members of the Senior Executive Service or equivalent.
  • Those who have achieved fame, notoriety or a high public profile.

Includes advertisements, interview notes and reports and final appointment.

5 action completed Required as State archives

Applications and recruitment records of successful applicants for advertised specified callings positions, where kept separate to PERSONAL FILE, and not included in sections 80.1 and 80.2.

NOTE: Specified callings positions are designated, professional positions identified in the Public Service Award 1992, requiring a tertiary qualification or approved equivalent.

15 action completed Destroy Applications and recruitment records of successful applicants for advertised positions, where kept separate to PERSONAL FILE, and not included in sections 80.1, 80.2 and 80.3. Includes student vacation employment records. 7 action completed Destroy Applications and recruitment records of unsuccessful applicants, including duty statements, selection criteria, advertisements, position descriptions, etc. 1 action completed Destroy Police certificate screening, where kept separate to PERSONAL FILE. 7 action completed Destroy 'Working with Children' checks, where kept separate to PERSONAL FILE. 7 expiry Destroy Criminal history records revealing serious criminal history of applicant/s. 0 Destroy Once application withdrawn or when reference ceases, whichever is later Employment Scheme records including correspondence with and submissions to employment agencies / funding / selection of participants. 7 action completed Destroy Relief / acting arrangements - records relating to the arrangement of acting positions (e.g. higher duties forms). 3 action completed Destroy Appeals relating to recruitment decisions or promotions, where kept separate to PERSONAL FILE. 2 action completed Destroy

Examinations to certify competency (i.e. copies of examination papers).


2 action completed Destroy Mass recruitment campaigns - records relating to the co-ordination and advertising of entry level mass recruitment campaigns. 1 action completed Destroy Unsolicited applications for employment. 6 action completed Destroy Interview notes - informal notes taken by the interview panel for temporary use e.g. memory prompts. 0 Destroy On expiry of appeal period. REGISTERS Administrative registers maintained by the agency. Accident / Incident registers. 30 action completed Destroy Register of each hazardous substance used in the workplace. 75 last entry Destroy

Register of insurance policies.

See also related ACTIVITIES:

  • 56. INSURANCE
7 expiry or cancellation of last policy Destroy Asset registers maintained by the agency, including those required under Treasurer's Instruction 410 (for physical assets, copyrights, patents, trademarks, licences and similar assets), for the identification, management and maintenance of assets. 7 item disposed of or expired, or if register is bound, 7 years after all entries are disposed of or expired Destroy Postal remittance registers and books (e.g. receipts, postage stamp registers, mail lodgement books) 6 successful audit, or 6 years after action completed, whichever is later Destroy Tender and Contract registers - where created separately to tender or contract. 7 action completed Destroy Gifts registers (including photographs of gifts) - gifts given or received by the agency to the extent specified in its accounting manual. 0 Destroy Retain for the life of the agency and any successors, then destroy. If no successor is identified contact the State Records Office.

Registers required to be retained under the Treasurer's Instructions (TIs), or for other finance or accounting purposes, including:

  • accounting / monetary forms.
  • acquittance.
  • Act of Grace payments (TI 319).
  • appointments of cheque (TI 310).
  • cash order signatories.
  • Cabcharge voucher registers.
  • Certifying Officers (TI 304).
  • cheques or cash orders.
  • cheques or cash orders dishonoured or unclaimed.
  • debtors registers.
  • exemption register (TI 104).
  • guarantees and indemnities (TI 821).
  • incurring officers (TI 305).
  • Investments.
  • loan indebtedness (TI 809).
  • Local Purchase Order/Purchase Order Forms.
  • property management risk registers.
  • Requisitions.
  • security documents (TI 811).
  • shortages and surpluses of moneys (TI 803).
  • unclaimed cash salaries and wages.
  • write-offs (TI 807).
6 successful audit Destroy Registers of enquiries, complaints, compliments and suggestions. 7 action completed Destroy Distribution register of accounting manuals. 0 Destroy When superseded. Ministerials registers. 7 action completed Destroy 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 providing formal statements or findings of the results of the examination or investigation.

See also related ACTIVITIES:

  • 5. ADVICE
  • 76. PUBLISHING / PUBLICATIONS
  • 83. REPRESENTATIONS
Strategic-level reporting to Government, Minister or agency Board (as applicable) on agency functions, operations and services. 5 action completed Required as State archives Operational-level reporting on agency functions, operations and services. 7 action completed Destroy
  • Formal reports to external agencies required as a statutory obligation.
  • Reports required by central control agencies on a regular basis, such as Freedom of Information, human resource management, fleet management.

Where not covered elsewhere in this REPORTING section.

7 action completed Destroy REPRESENTATIONS

Responses to community-based representations directed to the agency seeking a formal response.

See also related ACTIVITIES:

  • 93. SUBMISSIONS

Ministerials regarding functional or operational issues, where not captured on a subject file (i.e. Ministerials are held separately).

Note: Ministerials held with the subject to which they relate are sentenced in accordance with the subject matter in this GDA or the agency's approved disposal authority.

5 action completed Required as State archives Ministerials issued for informational purposes only (i.e. no response required). 3 action completed Destroy

Responses to Parliamentary Questions, where not captured on a subject file (i.e. responses to Parliamentary Questions are held separately).

Note: Parliamentary Questions held with the subject to which they relate are sentenced in accordance with the subject matter in this GDA or the agency's approved disposal authority.

5 action completed Required as State archives

Records of significant representations, including community-based representations, directed to the agency.

NOTE: See definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of representations, including community-based representations, directed to the agency not included in section 83.4. 5 action completed Destroy REPRESENTATIVES Nomination, appointment and resignation of staff as official representatives to agencies, unions and other groups. Records of the nomination, appointment and resignation of officers appointed as official representatives of the agency or staff. 2 expiry of term or resignation Destroy RESEARCH

Investigation or enquiry into a subject or area of interest.

See also related ACTIVITIES:

  • 63. MARKETING

Records of significant research, concerning:

  • Strategic direction and agency-wide issues.
  • Critical business functions.
  • Development of policy, plans, strategies and legislation.
  • Analysis of trends and research where source material is unique or difficult to obtain.
  • Original scientific or technical research forming the basis of agency publications.

NOTE: See definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of other research concerning business functions and processes, operational issues, administrative matters, functional analysis, and readily available reference material, not included in section 85.1. 5 action completed Destroy Records of routine research, such as collating information for library / information queries or literature searches. 1 action completed Destroy REVIEWING

Re-evaluating or re-examining in order to determine success or effectiveness.

Includes, but is not limited to reviews of:

  • Strategic and business plans.
  • Organizational structures.
  • Policies, procedures, practices.
  • Projects and programs.
  • Financial management programs and operations.
  • Systems and processes.

See also related ACTIVITIES:

  • 41. EVALUATION

Records of:

  • significant reviews of agency functions, operations and business processes, strategies and plans.
  • Strategic-level reviews.

NOTE: S ee definition of "Significant" in the Introduction to this GDA.

5 review completed Required as State archives

Records of:

  • Reviews of functions, operations and business processes, not included in section 86.1.
  • Operational-level reviews, reviews of administrative activities and processes.
2 action completed Destroy Review action plans and working papers. 2 action completed Destroy RISK MANAGEMENT / RISK ASSESSMENT

Identification and assessment of risks and implementation of appropriate practices to reduce the impact of material or economic loss arising from an incident.

See also related ACTIVITIES:

  • 1. ACCIDENTS / EMERGENCIES / INCIDENTS
  • 67. OCCUPATIONAL SAFETY AND HEALTH
  • 81. REGISTERS
Strategic studies, risk studies and risk assessments relating to the agency as a whole. 5 action completed Required as State archives

Risk Management or Disaster Recovery Plan (or similar). Development and Final approved version.

Records identifying risks and the development of appropriate risk management practices.

7 action completed Destroy Records of the implementation of Risk Management or Disaster Recovery Plan and strategies following major disaster or serious incident. 5 action completed Required as State archives Records of the implementation of Risk Management or Disaster Recovery Plan and strategies following other incidents, not included in section 87.3. 5 action completed Destroy SALARIES AND WAGES / PAYROLL

The payment of salaries and wages to agency personnel. Includes payroll disbursement records and the payment of allowances to employees.

The management of the agency's payroll.

See also related ACTIVITIES:

  • 37. EMPLOYMENT CONDITIONS / EQUAL EMPLOYMENT OPPORTUNITY
  • 59. LEAVE
Salary packaging - records relating to internal policies, procedures and conditions for salary packaging arrangements. 5 action completed Required as State archives Details of individual salary packaging arrangements - where not held on PERSONAL FILE. 7 action completed Destroy Salary packaging records - expressions of interest. 1 action completed Destroy Attendance records, including time sheets / cards, flexi-sheets, attendance books and registers. 7 action completed Destroy Allowances - records dealing with allowances e.g. shift work, higher duty, property, overtime, on call, expenses. 7 action completed Destroy Allowances - forms and payment to employees (e.g. travel allowances, vehicle allowances). 6 successful audit Destroy Salaries and wages records generated by either manual or computerised systems for human resource management purposes. 6 successful audit Destroy Group certificates - agency copy. 6 successful audit Destroy

Paysheets, payroll listings and related reports, including:

  • commencements and terminations for pay week.
  • cost history accounting reconciliation summaries.
  • employees paid by all modes, including loading/penalty rates.
  • employee masterfile data.
  • listing of journal transfer entries.
  • year to date (i.e. June 30) payroll expenditure.
6 successful audit Destroy Paid cheques and cash orders. 6 successful audit Destroy

Salaries deductions records, including:

  • superannuation.
  • taxation.
  • life assurance.
  • trade union fees.
  • credit union fees.
  • health insurance.

Includes voluntary deductions.

6 successful audit Destroy

Salary control records, including:

  • ledger cards.
  • summary sheets.
  • ledger machine salary proof sheets.
  • salary control cards.
6 successful audit Destroy Prepay/rebank records. 6 successful audit Destroy Earnings record cards and masterfile data of year to date payroll. 6 successful audit Destroy

Payroll transactions records, including:

  • accepted transactions.
  • alphabetical listings of current employees.
  • audit list reports.
  • cost history accounting reconciliation summaries.
  • deduction reconciliations.
  • departmental earnings and allowances summaries.
  • earnings and allowances.
  • earnings and allowances summaries.
  • employees affected by awards changes.
  • employees affected by award variations.
  • employee hours summaries.
  • employees not receiving normal pay.
  • increment due warnings.
  • lists of employees on leave (normal pay).
  • paid in advance.
  • pay details warnings.
  • payroll accounting reconciliation of rebanks.
  • post payroll exceptions.
  • ranges of employees.
  • re-validations.
  • transaction codes forms.
  • variations to earnings and allowances.
2 successful audit Destroy Salary variations - records. 2 successful audit Destroy Pay distribution sheets. 2 successful audit Destroy Income tax declarations for staff, including staff Tax File Numbers. 2 staff member ceases work with agency Destroy Overtime requests / directions. 2 action completed Destroy Control / errors / amendment reports, including reports on salary under and overpayments. 2 action completed Destroy Staff listings - including addresses, contact details and changes of address. 1 action completed Destroy SECURITY AND SURVEILLANCE

Management of security of the agency's staff, premises and facilities, equipment, systems and information.

See also related ACTIVITIES:

  • 10. AUDITING / AUDIT
  • 20. COMPLIANCE

Records of significant security incidents / breaches, including notification, investigation, response, management and reporting. Includes CCTV / surveillance footage as required.

NOTE: See definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of security incidents / breaches, not included section 89. 1, including notification, investigation, response, management and reporting. Includes CCTV / surveillance footage as required. 7 action completed Destroy

Records of security measures or arrangements, including:

  • Control of access to property and buildings.
  • Restricted access areas.
  • Logs / summaries of persons entering / exiting premises.
  • Security signage.
  • Security patrols.
7 security authorisation or arrangement expires, or after action completed, whichever is later Destroy

Records of security measures and arrangements incorporating:

  • Technology and telecommunications systems.
  • Records, information and data security.
  • User identification, passwords and codes.
  • Staff access passes and authorisations.
2 authorisation or arrangement expires or is superseded Destroy Surveillance / CCTV footage taken from fixed cameras around public open spaces and public access areas, where footage is not required for investigations. 0 Destroy or re-use Retain 30 days after footage is taken before destruction or re-use

Surveillance / CCTV footage taken by:

  • Fixed cameras around the agency's premises and facilities with staff in attendance on a regular basis, or
  • mobile cameras or car-based cameras

where footage is not required for investigations.

0 Destroy or re-use Retain 7 days after footage is taken before destruction or re-use. SEPARATIONS

Managing the departure of employees from the agency due to resignation, retirement, redeployment, redundancy or termination.

See also related ACTIVITIES:

  • 34. DISCIPLINE

Records of:

  • Exit interviews.
  • Resignations and terminations, including resignation letters.
  • Retirement notices.
  • Redundancy / redeployment / severance and retirement packages / schemes, including lists of staff offered redundancy.

(This category applies when such records are maintained separately to the employee's personnel file.)

7 action completed Destroy SPONSORSHIP Arrangements for sponsorship of the agency or its projects, and sponsorships undertaken by the agency.

Records of significant sponsorship projects and related proposals, including financial transactions and administration of sponsorship, and reports.

NOTE: See definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of sponsorship projects and related proposals not included in section 91.1, including financial transactions and administration of sponsorship. 7 action completed, or 6 years after successful audit, whichever is later Destroy Unsuccessful or refused requests for sponsorship by or to the agency. 2 action completed Destroy STANDARDS / CODES OF PRACTICE

The development of official standards or codes of practice for agency, client or whole-of-government use.

See also related ACTIVITIES:

  • 10. AUDITING / AUDIT
  • 20. COMPLIANCE

Official standards or codes of practice developed by the agency for:

  • Agency or internal use.
  • Client or Customer use.
  • Whole-of-government use where the agency provided substantial input.

Includes technical, engineering, quality and operational standards.

Records include proposal, consultation, major drafts, approvals, amendments, and master or final approved version of Standard or Code of Practice.

5 standard or code of practice is developed Required as State archives Supplementary records relating to the development of standards or codes of practice by the agency, including reference material, working papers and minor drafts. 3 action completed Destroy Records of the implementation of benchmarks to enhance quality and efficiency. 7 action completed Destroy Records of agency input into standards or codes of practice developed by another party. 5 action completed Destroy Agency copy/s of standards or codes of practice developed and issued by other government agencies or non-government bodies. 1 action completed Destroy SUBMISSIONS

Formal statement of opinion or position submitted to or by the agency.

See also related ACTIVITIES:

  • 83. REPRESENTATIONS

Records of significant submissions, including:

  • Cabinet submissions (including major drafts) prepared by the agency.
  • Submissions to Government or Minister relating to agency operations / business.
  • Significant submissions made by the agency to other agencies, governments or parties.
  • Significant submissions received by the agency from other parties.

NOTE: See definition of "Significant" in the Introduction to this GDA.

5 action completed Required as State archives
  • Submissions made or received by the agency, not included in section 93.1.
  • Agency comment or contribution to whole-of-government submissions (co-ordinated by a central agency).
5 action completed Destroy

Supplementary records relating to submissions, such as reference material, working papers and minor drafts.

2 action completed Destroy

Cabinet submissions prepared by another agency and submitted for comment.

0 Destroy When reference ceases. SURVEYS / STATISTICS
  • Surveys, studies, questionnaires developed or completed by the agency.
  • Statistical information collected / collated by the agency.

Significant surveys conducted by or for the agency, including the final version of survey or questionnaire issued, collated results and analysis, and report.

NOTE: See definition of "Significant" in the Introduction to this GDA.

5 survey and analysis is completed Required as State archives Surveys conducted by or for the agency, not included in section 94.1, including the final version of survey or questionnaire issued, collated results and analysis, and report. 5 action completed Destroy Survey returns - responses, data and working papers. 5 action completed Destroy Agency responses to surveys conducted by another party. 2 action completed Destroy Consolidated statistics collected on major business activities of the agency - where not published (e.g. annual report) or not forwarded to the Australian Bureau of Statistics (ABS). 5 action completed Required as State archives
  • Consolidated statistics collected on major business activities of the agency which are published (e.g. annual report) or are forwarded to the Australian Bureau of Statistics.
  • Consolidated statistics on minor / other agency business activities.
5 action completed Destroy TAXATION

Assessing and paying taxes. Includes records relating to the Commonwealth Government's "A New Tax System", such as the Goods and Services Tax.

See also related ACTIVITIES:

  • 82. REPORTING
  • 88. SALARIES AND WAGES / PAYROLL
Goods and Services Tax (GST) - assessment and payment records, including Business Activity Statements (BAS) and tax invoices. 6 successful audit Destroy Australian Business Number (ABN) applications, registration and administration records. 6 successful audit Destroy Fringe Benefits Tax - records relating to calculations and payments. 6 successful audit Destroy Records of tax calculations and payments for other taxes. 6 successful audit Destroy Vehicle log books. 6 successful audit Destroy TENDERING

The receipt and assessment of tenders for the procurement of goods, services, products and works.

See also related ACTIVITIES:

  • 2. ACQUISITION / DISPOSAL
  • 6. AGREEMENTS / CONTRACTS
  • 81. REGISTERS

Records of successful tenders that are significant.

NOTE: See definition of "Significant" in the Introduction to this GDA.

May also include successful tender applications that:

  • involve the substantial transfer of agency or Government responsibilities.
  • are associated with the privatization of Government functions.
  • involve substantial Public Private Partnerships.
  • involve inter-governmental relations.
  • are to do with large-scale government infrastructure projects.
  • require Ministerial approval.
5 expiry of relevant contract Required as State archives

Records of successful tenders that are significant and where the subsequent contract was not awarded or let.

NOTE: See definition of "significant" in the Introduction to this GDA.

5 action completed Required as State archives Records of unsuccessful tenders that are exceptionally significant, including exceptionally significant projects, buildings, infrastructure, etc. 5 action completed Required as State archives Successful tender applications not included in section 96.1 and where the subsequent contract is under seal or deed. 21 expiry of relevant contract, and at end of defects liability period, if applicable Destroy Successful tender applications not included in sections 96.1 and 96.4. 7 expiry of relevant contract Destroy Tender specifications and documentation development, including Expression of Interest, Request for Proposal and Request for Tender. 7 contract is let Destroy Unsuccessful tender applications, not included in section 96.3. 2 contract is let or project has been discarded Destroy Tender process - administration records, including records relating to the receipt, evaluation and advising parties of outcomes. 2 contract is let Destroy Tender process - records of advertising arrangements, copies of advertisements, and enquiries. 2 action completed Destroy TRAINING AND DEVELOPMENT

All types of training to develop the skills and knowledge of agency staff and volunteers.

See also related ACTIVITIES:

  • 8. ARRANGEMENTS
  • 21. CONFERENCES / SEMINARS
  • 36. EDUCATION
  • 101. VOLUNTEERING
Apprenticeships and traineeships - awards, subsidy records, insurance, notifications from educational institutions, assessments and results. 7 action completed Destroy

Records of training courses, inductions, conferences and seminars, including records such as:

  • staff attendance records.
  • course information.
  • travel arrangements.
  • reports of participants.
  • notifications of course details.

Assessment results to certify competency of staff held separately to PERSONAL FILE.

7 action completed Destroy Records of awards and honours schemes, including nominations not proceeded with. 5 action completed Destroy Records of the planning and development of training courses and inductions, including needs analysis and course materials. 5 action completed Destroy Records of Fellowships. 5 action completed Destroy Records of study assistance, including subsidies for staff training. 5 action completed Destroy Externally produced training materials to support information delivered in an external training program. 2 action completed Destroy TREASURY MANAGEMENT Managing the agency's funds by ensuring an effective system of internal control is in operation. Includes investments, loans, trust accounts and unclaimed moneys. Records of the establishment and management of investments made by the agency. 7 investment has liquidated or matured Destroy Records of the establishment and management of loans taken out by the agency. 7 action completed Destroy Trust accounts of the agency - administration records. 6 successful audit Destroy Records of unclaimed moneys - administration and lodgement with the Department of Treasury / Finance. 6 successful audit Destroy Investment proposals that do not result in an investment being made. 2 action completed Destroy TREASURY REPORTING

The collation and provision of financial reporting to Treasury.

Treasury Reporting - Government Trading Enterprises

  • Strategic Development Plan.
  • Statement of Corporate Intent.
5 action completed Required as State archives

Treasury Reporting Resource Allocation

  • Capital Investment Plan and Concept Approval Reports, including "Concept Approval Forms", business cases and submissions for concept approval.
  • Commonwealth Grants Commission - annual updates, comprehensive and one-off reviews reports.
10 action completed Destroy

Treasury Reporting - Resource Allocation

  • Service Structures - reports on charges
7 submitted to Minister Destroy

Treasury Reporting - Resource Allocation.

Social Concessions - concession reports (where full or partial exemptions from fees charged by agencies apply to identified groups such as charitable organisations).

7 information submitted Destroy

Treasury Reporting - Whole of Government Reporting

Monthly and quarterly actual reports of:

  • Operating Statements.
  • Statements of Financial Performance.
  • Statements of Financial Position.
  • Statements of Cash Flows.
  • Financial Statement notes.
  • Fixed Asset Schedule items.

Mid-year review financial estimates.

7 action completed Destroy

Treasury Reporting - Government Trading Enterprises.

Periodic Performance Reports e.g. half-yearly or quarterly.

6 successful audit Destroy

Treasury Reporting - Resource Allocation

Annual report of Budget Statement information detailing performance information, performance measures and financial resource information.

Budget monitoring reports and review of agency cash flow profiles and estimated revenue collections.

Draft and final Bilateral submissions, including reviews of fees and charges.

Parameter changes, including:

  • consequences of the business environment for own-source revenue.
  • error corrections.
  • changes to accounting policies and practices.
  • Cabinet decisions made subsequent to finalisation of mid-year review estimates.
6 successful audit Destroy

Treasury Reporting - Loan and Contingent Liabilities

Reports required by the Department of Treasury / Finance regarding:

  • borrowing by agencies which are guaranteed by the Treasurer.
  • liabilities of agencies which form a contingent liability of the Treasurer.
6 successful audit Destroy

Treasury Reporting - Goods and Services Tax Division 81 Exemptions

Reports required by the Department of Treasury / Finance regarding exemptions as permitted under Division 81 of the A New Tax System (Goods and Services Tax) Act 1999 (Commonwealth).

6 successful audit Destroy Treasury Reporting - Government of Western Australia Bank Account and Treasurer's Accounts - Reports of payments and/or receipts exceeding $100,000. 6 successful audit Destroy

Treasury Reporting - Whole of Government Annual Reporting and Government Finance Statistics.

Annual projected outcomes to 30 June, forward estimates and 3 forward budget years of Statement of Financial Position, Operating Statement and Statement of Cash Flow items.

Provisional annual actual reports of selected Statement of Financial Position items.

Final annual actual reports of:

  • Operating Statements.
  • Statements of Financial Performance.
  • Statements of Financial Position.
  • Statements of Cash Flows.
  • Financial Statement notes.
  • Fixed Asset Schedule items.
6 successful audit Destroy

Management reports - produced regularly by accounting or financial systems and used for:

  • creating output for updating ledgers.
  • reports for GST compliance.
  • preparation of financial statements.
  • preparation of accounts receivable.
  • calculation of accounts payable, including cheque details and management reports.

Transaction and input forms and documents concerned with updating financial information, including:

  • Remittances to Treasury (Treasury Form 4).
  • Repayment of Expenditure (Treasury Form 6).
  • remittances to bank.
  • journal/batch headers (debit and credit).
  • equivalent of payment vouchers.
  • supporting documents.

General processing records, including:

  • Treasury Form 19 reconciliation.
  • banking summaries.
  • debit and credit batch registers.

Annual Financial Statements - required to be submitted to the Office of the Auditor General and Parliament.

Monthly or quarterly financial statements internal (including balance sheets).

6 successful audit Destroy Whole of Government Reporting - Pre-election Financial Projection Statements. 6 action completed Destroy Treasury Reporting - Treasurer's Accounts - Monthly reports of transactions against the Treasurer's Accounts, including total monthly debits, total monthly credits, end of month closing balance and Statement of Cash Position. 3 successful audit Destroy Treasury Reporting - Government of Western Australia Bank Account - Daily reports of drawings and deposits processed, or expected to be processed. 2 successful audit Destroy

Periodic internal or system reports on general administrative matters used to document and monitor regular or routine activities.

Includes:

System reports - checking and control.

Daily, weekly and other batch, error control or transaction reports used for checking and control purposes, including:

  • advice of journal credits.
  • audit logs.
  • batch completion summaries.
  • consolidated outstanding suspended postings reports.
  • lists of postings.
  • stale cheques reports.
2 successful audit or action completed Destroy VISITS

Arrangement and management of visits to the agency and official visits by staff to other bodies.

See also related ACTIVITIES:

  • 8. ARRANGEMENTS
Records of official visits to the agency by dignitaries or major delegations from other Government agencies or non-government bodies. 5 action completed Required as State archives Records of official or high-level visits by agency staff to other Government agencies or non-government bodies in Australia or overseas, including visit report. 5 action completed Required as State archives Significant Visitors Books - relating to a significant occasion or event or visits by notable persons. 5 action completed Required as State archives Visitors Books not included in section 100.3. 7 action completed Destroy

Records of:

  • visits to the agency by members of the public, general government or non-government visitors or casual groups e.g. students.
  • Mid / low level visits by agency staff to government agencies / groups.
7 action completed Destroy Records of requests for visits - unsuccessful or denied. 1 action completed Destroy VOLUNTEERING

The coordination, recruitment and welfare of volunteers within the agency.

See also related ACTIVITIES:

  • 67. OCCUPATIONAL SAFETY AND HEALTH

Records of the management and coordination of volunteers or individuals on work experience placements and job assistance schemes, including but not limited to:

  • applications to volunteer.
  • insurance arrangements.
  • working dates.
  • training provided.
  • timetables and/or schedules for volunteers, student and work experience programs.
  • participant details.
7 action completed Destroy

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