Australian Capital Territory
Territory Records (Records Disposal Schedule – Procurement Records) Approval 2007 (No 1)
Notifiable instrument NI2007—312
made under the
Territory Records Act 2002, s 19 (Approval of schedules for the disposal of records)

1.	Name of Instrument
This instrument is the Territory Records (Records Disposal Schedule – Procurement Records) Approval 2007 (No 1)
2.	Approval
I approve the Records Disposal Schedule – Procurement Records.
3.	Commencement
This instrument commences on the day after notification.
4.	Revocation
I revoke Notifiable Instrument NI 2006–443 notified 13 December 2006.

David Wardle
Director of Territory Records
4 October 2007

Records Disposal Schedule
Procurement Records

Table of Contents
INTRODUCTION	3
PURPOSE	3
SCOPE	3
AUTHORITY	3
STRUCTURE AND RELATIONSHIP TO THE TERRITORY VERSION OF KEYWORD AAA	3
Territory Version of Keyword AAA	3
GUIDELINES FOR USE	3
Coverage of authority	3
Layout of the schedule	3
FORMAT OF RECORD	3
Electronic records	3
DESTRUCTION OF RECORDS	3
UPDATING THE RECORDS DISPOSAL SCHEDULE	3
ASSISTANCE IN USING THE RECORDS DISPOSAL SCHEDULE	3
RELATED LEGISLATION	3
DEFINITIONS	3
Agency	3
Appraisal	3
Business Classification Scheme	3
Principal Officer	3
Records	3
Records of an Agency	3
Records Disposal Schedule	3
Records Management Program	3
Recordkeeping Systems	3
Scope Note	3
Sentencing	3
Territory Archives	3
BUSINESS CLASSIFICATION SCHEME	3
PROCUREMENT 153	3
RECORDS DISPOSAL SCHEDULE	3
PROCUREMENT 153	3
Advice 005	3
Agreements 006	3
Audit 013	3
Authorisation 014	3
Committees 020	3
Construction 024	3
Contract Services 322	3
Enquiries 040	3
Joint Ventures 062	3
Planning 079	3
Policy 080	3
Prequalification 323	3
Procedures 082	3
Reporting 088	3
Risk management 095	3
Standards 100	3
Submissions 102	3
Tendering services 324	3
Works As Executed (WAE) 325	3
RETAIN AS TERRITORY ARCHIVES	3
PROCUREMENT 153	3
Advice 005	3
Agreements 006	3
Audit 013	3
Committees 020	3
Construction 024	3
Contract Services 322	3
Joint Ventures 062	3
Planning 079	3
Policy 080	3
Procedures 082	3
Risk management 095	3
Standards 100	3
Submissions 102	3
Works As Executed (WAE) 325	3
SCHEDULE OF AMENDMENTS – this information is provided for the assistance of users but does not form part of the Notifiable Instrument.	3

INTRODUCTION
The Records Disposal Schedule - Procurement Records is the official authority for the disposal of records relating to Procurement Records.
It is one of a series of Records Disposal Schedules authorised by the Director of Territory Records in accordance with the provisions of the Territory Records Act 2002. It is used in conjunction with the Territory Administrative Records Disposal Schedule (TARDiS).
PURPOSE
The purpose of this Records Disposal Schedule is to provide for the authorised disposal of Procurement records created or maintained by ACT Government Agencies.
SCOPE
This Records Disposal Schedule applies to records created or maintained by ACT Government Agencies. It applies to records in any format, including electronic records.
AUTHORITY
The Director of Territory Records, in consultation with stakeholders and the Territory Records Advisory Council, has approved this Records Disposal Schedule for use. The schedule does not take effect until it has been incorporated into an agency's Records Management Program that has been signed off by the Principal Officer of the agency.
Even so, officers using this Records Disposal Schedule should apply it with caution. They should be aware that the authorisations for disposal are given in terms of the Territory Records Act 2002 only. Officers must not dispose of records in contravention of this Records Disposal Schedule or other requirements.
This Records Disposal Schedule will remain in force until a new schedule supersedes it or the Director of Territory Records withdraws it from use.
STRUCTURE AND RELATIONSHIP TO THE TERRITORY VERSION OF KEYWORD AAA
A Records Disposal Schedule generally specifies retention periods. That is, how long records are to be retained by the agency before being destroyed or retained as Territory Archives.
Retention periods set down in this schedule are minimum periods only and an agency may keep records for a longer period if considered necessary for business requirements. Reasons for longer retention could include legal requirements, administrative need or agency directives. An agency must not dispose of any records where it is aware of possible legal action for which the records may be required as evidence.
The Records Disposal Schedule - Procurement Records has a hierarchical structure that reflects its arrangements according to functions and activities, rather than by subject, and this also reflects a close relationship to the Territory Version of Keyword AAA. The Records Disposal Schedule is designed to be applicable to all Procurement records regardless of titling conventions used, so that records, which have not been titled using the terminology represented by this Records Disposal Schedule, may still be sentenced with relative ease.
Territory Version of Keyword AAA
The Territory Version of Keyword AAA is the general administrative thesaurus produced by the Territory Records Office. The structure and terms used in this Records Disposal Schedule are closely related to those used in the Territory Version of Keyword AAA, which is based on functional analysis of business activity. This methodology (i.e., the analysis of business activity) produces a hierarchical model of an organisation's business activity. The hierarchical model also represents a classification scheme for the records that document functions, activities and transactions.
The disposal actions listed in this Records Disposal Schedule were determined through the process of appraisal in accordance with Territory Records Office Standard for Records Management No.2 - Appraisal. Appraisal is based upon the same type of analysis of business activity employed in the classification scheme used in the Territory Version of Keyword AAA. Essentially, appraisal involves attaching record retention periods and disposal decisions (and even records creation requirements and rules) to the same classification scheme.
GUIDELINES FOR USE
Coverage of authority
The Records Disposal Schedule - Procurement Records:
•	covers all Procurement records;
•	is intended to be used in conjunction with TARDiS;
•	specifies the minimum period records should be kept (retention periods) 
•	specifies whether, upon the expiry of the retention periods, the records may be destroyed or are required as Territory Archives; and
•	is applicable to records created and maintained in any format, including electronic or formats such as microfiche.

Layout of the schedule
This Records Disposal Schedule begins with an introduction incorporating definitions and the business classification scheme. Then each of the functions and activity disposal sets or 'disposal classes' relating to the functions are described. These are followed by a composite list of classes designated 'Retain as Territory Archives'. The functions and activity disposal sets show the following details:
Function. 
This is the broad level business function and is displayed in bold capital letters at the top of each page. It is the highest level in the business classification scheme. It is followed by the scope note, which provides definitions of the function and a collective view of the business activities that make that function unique.
Activity.
Activities are the processes or operations that make up the business function. They are set in bold and italics below the function statement. This is the second level of the business classification scheme. The scope of the activity encompasses all of the transactions that take place in relation to the activity. Activities can relate to many functions with the scope notes covering all of these relationships (e.g., the activity 'Policy' is linked to all of the functions). However, each function and activity set represents a unique unit.
Entry No.
This is the disposal class number allocated based on the function and activity set and the class number of the record. The barcode is the same as the Entry No. and may be used in an automated recordkeeping system.
Description of Records.
This is the description of the records documenting the business function, activity and transactions. The descriptions can relate to one record such as a register or a group of records documenting a particular set of transactions.
Disposal Action.
This is the minimum period a record must be kept for and is the trigger event from which the disposal date can be calculated.

FORMAT OF RECORD
This Records Disposal Schedule is applicable to any record that performs the function prescribed, irrespective of format. Records may include:
•	cards;
•	registers;
•	files;
•	microfilm;
•	COM (computer output microfiche);
•	electronic records, including various electronic media, and
•	any other formats.

Electronic records
Refers to records created, communicated and maintained by means of electronic equipment. Information could be maintained/stored in a number of ways - on the database (the main database, or a special archives database); on magnetic media; on optical disks; or on separate hardcopy (paper, COM).
Electronic records must be readily accessible for the length of the specified retention period. Routine treatment (such as wiping, updating, alterations or re-recording) does not constitute disposal.
DESTRUCTION OF RECORDS
When the approved disposal date for the destruction of records has been reached, appropriate arrangements for their destruction should be made. It is the responsibility of each agency to ensure that its records are destroyed in a secure and appropriate manner as indicated in the agency Records Management Program.
UPDATING THE RECORDS DISPOSAL SCHEDULE
Records Disposal Schedules are reviewed and updated from time to time. For suggested amendments or alterations to this schedule please contact the Director of Territory Records.
ASSISTANCE IN USING THE RECORDS DISPOSAL SCHEDULE
Agencies requiring any assistance in the interpretation or implementation of any Records Disposal Schedule are encouraged to contact the Director of Territory Records.
RELATED LEGISLATION
The following legislation is related to the records classes covered by this Records Disposal Schedule:
Government Procurement Act 2001
Limitation Act 1985
Territory Records Act 2002

DEFINITIONS

Agency
The Executive, an ACT Court, the Legislative Assembly Secretariat, an administrative unit, a Board of Inquiry, a Judicial or Royal Commission, any other prescribed authority, or an entity declared under the regulations of the Territory Records Act 2002 to be an agency.
Appraisal
The process of evaluating business activities to:
•	determine which records need to be captured;
•	determine how long the records need to be kept to meet business needs; and
•	meet the requirements of organisational accountability and community expectations.
Business Classification Scheme
A hierarchical scheme for identifying and defining the functions, activities and transactions an agency performs in the conduct of its business, and the relationships between them.
Principal Officer
The Chief Executive of an administrative unit, or its equivalent in other types of agencies.
Records
Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transition of business. This recorded information must be maintained or managed by the agency to provide evidence of their business activities. Records can be in written, electronic or any other form.
Records of an Agency
Records, in writing, electronic or any other form, under the control of an agency or to which it is entitled to control, kept as a record of its activities, whether it was created or received by the agency.

Records Disposal Schedule
A document approved by the Director of Territory Records, which sets out the types of records an agency must make and how long they must be kept.
Records Management Program
A document that complies with Section 16 of the Territory Records Act 2002 by setting out the means by which an agency will manage its records, and is approved by the agency's Principal Officer.
Recordkeeping Systems
Information systems that capture, maintain and provide access to records over time. While the term is often associated with computer software, Recordkeeping Systems also encompass policies, procedures, practices and resources that are applied within an agency to ensure that full and accurate records of business activity are made and kept.
Scope Note
An explanation of terms used in describing the records and the context in which they were made and used.
Sentencing
The process of applying appraisal decisions to individual records by determining the part of a Records Disposal Schedule that applies to the record and assigning a retention period consistent with that part.
Territory Archives
Records preserved for the benefit of present and future generations.

BUSINESS CLASSIFICATION SCHEME
PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Advice 005
The activities associated with offering opinions by or to the agency as to an action or 
judgement. Includes the process of advising. [TARDiS]
Agreements 006
The processes associated with the establishment, maintenance, review and negotiation of agreements. [TARDiS]
Audit 013
The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the agency in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. [TARDiS]
Authorisation 014
The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. [TARDiS]
Committees 020
The activities associated with the managing of committees and task forces. 
Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. [TARDiS]
Construction 024
The process of making or building something. [TARDiS]

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Contract Services 322
Contract management services including:

- the creation of a contract record;
- the electronic registration of the contract including the receipt and release of securities;
- publication of the contract;
- monitoring the currency of insurances and licences;
- approval and processing of contract variations;
- monitoring and managing contract performance;
- dispute resolution.

Tip. for all matters relating to the establishment of the contract see Tendering Services.
Enquiries 040
The activities associated with handling requests for information about the agency and its services by the general public, agency employees or another agency. [TARDiS]
Joint Ventures 062
The activities involved in managing joint operations between departments, either within the agency or with other agencies, or with the government, where there is a contract, joint contribution of funds and/or time. Also includes private sector ventures with public sector organisations, and co-research or collaboration between inter-departmental units, departments or agencies. [TARDiS]
Planning 079
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. [TARDiS]

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Policy 080
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the agency's operating procedures are determined. [TARDiS]
Prequalification 323
Prequalification is the initial phase of procurement in what is normally a two stage process. The second stage is tendering.

Prequalification is the assessment of suppliers against a set of nationally agreed best practice benchmarks for supplier capacity and performance. It facilitates industry development as well as expediting the tender review process and minimising the cost of tendering to industry and government. It is a recognised risk management approach to sorting suppliers.

Use PROCUREMENT - Risk management for managing other risks
Procedures 082
Standard methods of operating laid down by the agency according to formulated policy. [TARDiS]
Reporting 088
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. [TARDiS]
Risk management 095
The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. [TARDiS]
PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Standards 100
The process of implementing industry or agency specific benchmarks for services and processes to enhance the quality and efficiency of the agency. [TARDiS]
Submissions 102
The preparation and submission of a formal statement (e.g. report, statistics, etc) supporting a case or opinion held by the agency which is submitted to another agency, or within the agency, for the purpose of either gain or support. [TARDiS]
Tendering services 324
The activities involved in preparing tenders and procurement documentation up to contract establishment by either the full execution of formal contract, or by the transmission of a letter of acceptance. 
Works As Executed (WAE) 325
Activities relating to the preparation of final records (e.g. paper, electronic, film, etc.) for a constructed asset, based upon the approved design drawings, as amended to reflect the actual constructed works.

RECORDS DISPOSAL SCHEDULE
PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Advice 005
The activities associated with offering opinions by or to the agency as to an action or 
judgement. Includes the process of advising. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.005.001	Advice, that resulted in major changes to the organisation or management of Procurement programs. Includes advice provided by consultants.	Retain as Territory Archives	
*153.005.001*			
153.005.002	Records documenting the receipt and provision of all other advice on Procurement. Includes advice provided by consultants.	Destroy 7 years after action completed	
*153.005.002*			
153.005.003	Working papers documenting the development of advice on Procurement.	Destroy 2 years after action completed	
*153.005.003*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Agreements 006
The processes associated with the establishment, maintenance, review and negotiation of agreements. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.006.001	Final version of significant agreements with government bodies or private organisations with implications for major liabilities or obligations.	Retain as Territory Archives	
*153.006.001*			
153.006.002	Negotiations, establishment, maintenance and review of significant agreements.	Retain as Territory Archives	
*153.006.002*			
153.006.003	Final version of other agreements.	Destroy 7 years after completion or other termination of agreement or contract	
*153.006.003*			
153.006.004	Negotiations, establishment, maintenance and review of other agreements.	Destroy 7 years after completion or other termination of agreement or contract	
*153.006.004*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Audit 013
The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the agency in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.013.001	Final report of an external audit (e.g. conducted by an external authority such as the ACT Auditor General's Office) where:
- The audit report is qualified by the auditor; or
- There are major or significant changes to practices.	Retain as Territory Archives	
*153.013.001*			
153.013.002	Final report of an internal or external audit (e.g. conducted by an external authority such as the ACT Auditor General's Office) where:
- The audit report has been accepted by auditor; or
- There are no changes or only minor or routine changes to practices.
Includes recommendations and implementation plans.	Destroy 10 years after action completed	
*153.013.002*			
153.013.003	Planning and conduct of internal and external audits.	Destroy 7 years after action completed	
*153.013.003*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Authorisation 014
The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.014.001	Delegations of powers to agency staff to authorise administrative action relating to procurement.	Destroy 7 years after delegation expires	
*153.014.001*			
153.014.002	Requests and approvals for actions related to procurement. Includes permission for negotiating with vendors and suppliers.	Destroy 7 years after action completed	
*153.014.002*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Committees 020
The activities associated with the managing of committees and task forces. 
Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.020.001	External committees formed to manage or advise. Includes finals of documents:
- Establishing the committee
- Terms of reference
- Appointment of members
- Minutes
- Reports
- Recommendations
- Supporting documents such as briefing and discussion papers.	Retain as Territory Archives	
*153.020.001*			
153.020.002	Internal committees formed to manage or advise. Includes final of documents:
- Agenda
- Notice of meetings
- Draft minutes
- Room bookings	Destroy 6 months after action completed	
*153.020.002*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Construction 024
The process of making or building something. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.024.001	Records relating to the construction details of infrastructure and capital works necessary for procurement. Includes works with heritage or territory significance.

For tendering of work to support construction activities, use PROPERTY MANAGEMENT - Tendering.

For managing the performance of contracted-out services to support the construction process, use PROPERTY MANAGEMENT - Contracting-out

For the planning of construction programs, use PROPERTY MANAGEMENT - Planning.

For submissions to Cabinet seeking support for construction projects, use GOVERNMENT RELATIONS - Submissions.

Use ROADS MANAGEMENT - Construction for the making of roads- 

Use TRAFFIC & TRANSPORT for the function of developing policy and planning for transport infrastructure and the efficient movement and parking of traffic	Retain as Territory Archives	
*153.024.001*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Contract Services 322
Contract management services including:

- the creation of a contract record;
- the electronic registration of the contract including the receipt and release of securities;
- publication of the contract;
- monitoring the currency of insurances and licences;
- approval and processing of contract variations;
- monitoring and managing contract performance;
- dispute resolution.

Tip. for all matters relating to the establishment of the contract see Tendering Services.

Entry No.	Description of Records	Disposal Action	
153.322.001	Records documenting contract services processes and activities.	Retain as Territory Archives	
*153.322.001*			
Enquiries 040
The activities associated with handling requests for information about the agency and its services by the general public, agency employees or another agency. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.040.001	Records documenting the handling of external agency enquiries about the function and its associated programs, products and services.	Destroy 2 years after action completed	
*153.040.001*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Joint Ventures 062
The activities involved in managing joint operations between departments, either within the agency or with other agencies, or with the government, where there is a contract, joint contribution of funds and/or time. Also includes private sector ventures with public sector organisations, and co-research or collaboration between inter-departmental units, departments or agencies. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.062.001	Final signed version of joint venture agreements and working papers relating to the establishment and management of agreements or contracts of major significance to the agency. Includes those with implications for major liabilities or obligations for the agency.	Retain as Territory Archives	
*153.062.001*			
153.062.002	Working papers relating to the establishment, negotiations and management of other joint venture agreements or contracts.	Destroy 7 years after termination of agreement or contract	
*153.062.002*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Planning 079
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.079.001	Final version of plans for major projects, programs or operational activities.	Retain as Territory Archives	
*153.079.001*			
153.079.002	Final version of plans for other projects, programs and operational activities.	Destroy 5 years after action completed	
*153.079.002*			
153.079.003	Working papers used to develop plans for projects, programs and operational activities. Includes:
- Draft plans;
- Reports analysing issues; and 
- Comments on draft plans.	Destroy 1 year after adoption of final plan	
*153.079.003*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Policy 080
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the agency's operating procedures are determined. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.080.001	Final version of policies.	Retain as Territory Archives	
*153.080.001*			
153.080.002	Development and establishment of agency's policies. Includes:
-Policy proposals;
-Research papers;
-Results of consultations and comments on proposals;
-Supporting reports; and
-Major drafts.	Destroy 5 years after policy is superseded	
*153.080.002*			
153.080.003	Comments made on the development of policies.	Destroy 3 years after promulgation of new policy	
*153.080.003*			
153.080.004	Working papers documenting the development of policies	Destroy 3 years after promulgation of new policy	
*153.080.004*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Prequalification 323
Prequalification is the initial phase of procurement in what is normally a two stage process. The second stage is tendering.

Prequalification is the assessment of suppliers against a set of nationally agreed best practice benchmarks for supplier capacity and performance. It facilitates industry development as well as expediting the tender review process and minimising the cost of tendering to industry and government. It is a recognised risk management approach to sorting suppliers.

Use PROCUREMENT - Risk management for managing other risks

Entry No.	Description of Records	Disposal Action	
153.323.001	Records relating to the determination of specific financial limits, financial assessments and technical capacitor past performance history or suppliers.	Destroy 7 years after date of last action	
*153.323.001*			
153.323.002	Records relating to cyclical review and renewal of prequalification. Includes audits for compliance, either by third party auditors or ACT Government accredited second party auditors.	Destroy 7 years after date of last action	
*153.323.002*			
153.323.003	Records relating to suppliers that demonstrate that they have the technical and financial capacity to undertake works, as well as having appropriate management systems in place such as quality assurance, occupational health safety and rehabilitation, environmental and industrial relation. Also includes checks of insurances, licences and mandatory qualifications.	Destroy 7 years after date of last action	
*153.323.003*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Procedures 082
Standard methods of operating laid down by the agency according to formulated policy. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.082.001	Master set of agency manuals, handbooks, directives, etc. detailing procedures.	Retain as Territory Archives	
*153.082.001*			
153.082.002	Records documenting the development of agency procedures.	Destroy 2 years after action completed	
*153.082.002*			
Reporting 088
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.088.001	Final version of internal formal reports and reports made to external agencies.	Destroy 5 years after action completed	
*153.088.001*			
153.088.002	Final versions of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the procurement function. Includes the collection and reporting of statistical information.	Destroy 3 years after action completed	
*153.088.002*			
153.088.003	Responses to surveys.	Destroy 6 months after last action.	
*153.088.003*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Risk management 095
The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.095.001	Procurement risk register. Use PROPERTY MANAGEMENT - Risk register for risk register for property.	Retain as Territory Archives	
*153.095.001*			
153.095.002	Records documenting risk management including each stage of the process, risk assessments, treatment schedules and action plans. Includes risk assessment reports. Use PROCUREMENT - Prequalification for risk assessment of high risk industries in the tender process	Destroy 7 years after date of next risk assessment	
*153.095.002*			
Standards 100
The process of implementing industry or agency specific benchmarks for services and processes to enhance the quality and efficiency of the agency. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.100.001	Records documenting the development of standards for procurement.	Retain as Territory Archives	
*153.100.001*			
153.100.002	Records documenting the implementation of industry and agency standards to support the procurement function.	Destroy 5 years after standard is replaced	
*153.100.002*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Submissions 102
The preparation and submission of a formal statement (e.g. report, statistics, etc) supporting a case or opinion held by the agency which is submitted to another agency, or within the agency, for the purpose of either gain or support. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.102.001	Final version of successful agency submissions.	Retain as Territory Archives	
*153.102.001*			
153.102.002	Final version of unsuccessful agency submissions.	Destroy 3 years after action completed	
*153.102.002*			
153.102.003	Working papers documenting the development of agency submissions. Includes draft submissions.	Destroy 6 months after last date of action	
*153.102.003*			
Tendering services 324
The activities involved in preparing tenders and procurement documentation up to contract establishment by either the full execution of formal contract, or by the transmission of a letter of acceptance.  

Entry No.	Description of Records	Disposal Action	
153.324.001	Records documenting the development and issue of tender documentation.
Includes:
- statement of requirements 
- request for proposals
- expression of interest
- request for tender
- draft contract	Destroy 7 years after tender process is completed	
*153.324.001*			

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Works As Executed (WAE) 325
Activities relating to the preparation of final records (e.g. paper, electronic, film, etc.) for a constructed asset, based upon the approved design drawings, as amended to reflect the actual constructed works.

Entry No.	Description of Records	Disposal Action	
153.325.001	Records relating to the final as built structure, including: 
-Construction briefs; and 
-Approved plans, schematics and drawings associated with the construction	Retain as Territory Archives	
*153.325.001*			
153.325.002	Heritage Structures - records relating to the final as built structures, including: 
-Construction briefs; 
-Approved plans, schematics and drawings associated with the construction; and 
-Practical completion, design and final certificates.	Retain as Territory Archives	
*153.325.002*			

RETAIN AS TERRITORY ARCHIVES

PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Advice 005
The activities associated with offering opinions by or to the agency as to an action or 
judgement. Includes the process of advising. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.005.001	Advice, that resulted in major changes to the organisation or management of Procurement programs. Includes advice provided by consultants.	Retain as Territory Archives	
*153.005.001*			
Agreements 006
The processes associated with the establishment, maintenance, review and negotiation of agreements. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.006.001	Final version of significant agreements with government bodies or private organisations with implications for major liabilities or obligations.	Retain as Territory Archives	
*153.006.001*			
153.006.002	Negotiations, establishment, maintenance and review of significant agreements.	Retain as Territory Archives	
*153.006.002*			

Classes for retention as Territory Archives
PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Audit 013
The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the agency in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.013.001	Final report of an external audit (e.g. conducted by an external authority such as the ACT Auditor General's Office) where:
- The audit report is qualified by the auditor; or 
- There are major or significant changes to practices.	Retain as Territory Archives	
*153.013.001*			

Classes for retention as Territory Archives
PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Committees 020
The activities associated with the managing of committees and task forces. 
Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.020.001	External committees formed to manage or advise. Includes finals of documents:
- Establishing the committee
- Terms of reference
- Appointment of members
- Minutes
- Reports
- Recommendations
- Supporting documents such as briefing and discussion papers.	Retain as Territory Archives	
*153.020.001*			

Classes for retention as Territory Archives
PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Construction 024
The process of making or building something. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.024.001	Records relating to the construction details of infrastructure and capital works necessary for procurement. Includes works with heritage or territory significance.

For tendering of work to support construction activities, use PROPERTY MANAGEMENT - Tendering.

For managing the performance of contracted-out services to support the construction process, use PROPERTY MANAGEMENT - Contracting-out

For the planning of construction programs, use PROPERTY MANAGEMENT - Planning.

For submissions to Cabinet seeking support for construction projects, use GOVERNMENT RELATIONS - Submissions.

Use ROADS MANAGEMENT - Construction for the making of roads- 

Use TRAFFIC & TRANSPORT for the function of developing policy and planning for transport infrastructure and the efficient movement and parking of traffic	Retain as Territory Archives	
*153.024.001*			

Classes for retention as Territory Archives
PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Contract Services 322
Contract management services including:
- the creation of a contract record;
- the electronic registration of the contract including the receipt and release of securities;
- publication of the contract;
- monitoring the currency of insurances and licences;
- approval and processing of contract variations;
- monitoring and managing contract performance;
- dispute resolution.

Tip. for all matters relating to the establishment of the contract see Tendering Services.

Entry No.	Description of Records	Disposal Action	
153.322.001	Records documenting contract services processes and activities.	Retain as Territory Archives	
*153.322.001*			
Joint Ventures 062
The activities involved in managing joint operations between departments, either within the agency or with other agencies, or with the government, where there is a contract, joint contribution of funds and/or time. Also includes private sector ventures with public sector organisations, and co-research or collaboration between inter-departmental units, departments or agencies. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.062.001	Final signed version of joint venture agreements and working papers relating to the establishment and management of agreements or contracts of major significance to the agency. Includes those with implications for major liabilities or obligations for the agency.	Retain as Territory Archives	
*153.062.001*			
Classes for retention as Territory Archives
PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Planning 079
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.079.001	Final version of plans for major projects, programs or operational activities.	Retain as Territory Archives	
*153.079.001*			
Policy 080
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the agency's operating procedures are determined. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.080.001	Final version of policies.	Retain as Territory Archives	
*153.080.001*			
Procedures 082
Standard methods of operating laid down by the agency according to formulated policy. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.082.001	Master set of agency manuals, handbooks, directives, etc. detailing procedures.	Retain as Territory Archives	
*153.082.001*			

Classes for retention as Territory Archives
PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Risk management 095
The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.095.001	Procurement risk register. Use PROPERTY MANAGEMENT - Risk register for risk register for property.	Retain as Territory Archives	
*153.095.001*			
Standards 100
The process of implementing industry or agency specific benchmarks for services and processes to enhance the quality and efficiency of the agency. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.100.001	Records documenting the development of standards for procurement.	Retain as Territory Archives	
*153.100.001*			
Submissions 102
The preparation and submission of a formal statement (e.g. report, statistics, etc) supporting a case or opinion held by the agency which is submitted to another agency, or within the agency, for the purpose of either gain or support. [TARDiS]

Entry No.	Description of Records	Disposal Action	
153.102.001	Final version of successful agency submissions.	Retain as Territory Archives	
*153.102.001*			

Classes for retention as Territory Archives
PROCUREMENT 153
The function of managing the entire procurement process by which all classes of resources (human, material, facilities and services) are obtained generally for a specific program or project. Includes the activities of planning, design, standards determination, developing specifications, drawing up, issuing and receiving tenders, establishing Service Level Agreements and Memoranda of Understanding. Also includes providing advice, conducting supplier's audits, reporting on the performance of external service providers and suppliers, providing contract and risk management services, conducting post implementation reviews.
Works As Executed (WAE) 325
Activities relating to the preparation of final records (e.g. paper, electronic, film, etc.) for a constructed asset, based upon the approved design drawings, as amended to reflect the actual constructed works.

Entry No.	Description of Records	Disposal Action	
153.325.001	Records relating to the final as built structure, including: 
-Construction briefs; and 
-Approved plans, schematics and drawings associated with the construction	Retain as Territory Archives	
*153.325.001*			
153.325.002	Heritage Structures - records relating to the final as built structures, including: 
-Construction briefs; 
-Approved plans, schematics and drawings associated with the construction; and 
-Practical completion, design and final certificates.	Retain as Territory Archives	
*153.325.002*			

SCHEDULE OF AMENDMENTS – this information is provided for the assistance of users but does not form part of the Notifiable Instrument.