Australian Capital Territory
Territory Records (Records Disposal Schedule – Superannuation Management Records) Approval 2009 (No 1)
Notifiable instrument NI2009—632
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 – Superannuation Management Records) Approval 2009 (No 1)
2.	Approval
I approve the Records Disposal Schedule – Superannuation Management Records.
3.	Commencement
This instrument commences on the day after notification.
4.	Revocation
I revoke Notifiable Instrument NI2006-138 notified 20 April 2006.

David Wardle
Director of Territory Records
7 December 2009
•	
Records Disposal Schedule
Superannuation Management Records

INTRODUCTION
PURPOSE
SCOPE
AUTHORITY
STRUCTURE AND RELATIONSHIP TO THE TERRITORY VERSION OF KEYWORD AAA
Territory Version of Keyword AAA
GUIDELINES FOR USE
Coverage of authority
Layout of the schedule
FORMAT OF RECORD
Electronic records
DESTRUCTION OF RECORDS
UPDATING THE RECORDS DISPOSAL SCHEDULE
ASSISTANCE IN USING THE RECORDS DISPOSAL SCHEDULE
RELATED LEGISLATION
DEFINITIONS
Agency
Appraisal
Business Classification Scheme
Principal Officer
Records
Records of an Agency
Records Disposal Schedule
Records Management Program
Recordkeeping Systems
Scope Note
Sentencing
Territory Archives
BUSINESS CLASSIFICATION SCHEME
GOVERNMENT ASSET & LIABILITY SERVICES
RECORDS DISPOSAL SCHEDULE
SUPERANNUTATION MANAGEMENT
Accounting
Acquisition
Advice
Agreements
Authorisation
Committees
Contracting out
Enquiries
Financial Statements
Meetings
Payments
Planning
Policy
Policy (Continued)
Procedures
Reporting
Research
Reviewing
Risk Management
Superannuation Arrangements
Tendering
Tendering (Continued)
RETAIN AS TERRITORY ARCHIVES
SUPERANNUATION MANAGEMENT
Advice
Policy
Research
SCHEDULE OF AMENDMENTS – this information is provided for the assistance of users but does not form part of the Notifiable Instrument.

INTRODUCTION
The Records Disposal Schedule – Superannuation Management Records is the official authority for the disposal of records relating to superannuation in the Territory.

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 to be used in conjunction with the Territory Administrative Records Disposal Schedules (TARDiS).
PURPOSE
The purpose of this Records Disposal Schedule is to provide for the authorised disposal of 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 – Superannuation Management 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 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 - Records:
•	covers all 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
•	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 record classes covered by this Records Disposal Schedule:

Debits Tax Act 1997
Financial Management Act 1996
Privacy Act 1988
Superannuation (Legislative Assembly Members) Act 1991
Territory Superannuation Provision Protection Act 2000

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;
•	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 transaction 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 which 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 which 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 which 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
GOVERNMENT ASSET & LIABILITY SERVICES
The function of managing funds set aside to meet liabilities of the Government and its agencies relating to employer superannuation. Includes the administrative operations of superannuation arrangements for Members of the Legislative Assembly payments in connection with the Government's superannuation liabilities, and reviewing processes, procedures, standards and systems. Also includes drawing up and issuing tenders and managing the performance of external service providers.
Accounting
The process of collecting, recording, classifying, summarising and analysing information on financial transactions, and subsequently on the financial position and operating results of the agency. Includes financial statements, and the implementation, maintenance, monitoring and auditing of the agency's accounting systems and internal controls.
Acquisition
The process of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions.
Advice
The activities associated with offering opinions as to an action or judgement. Includes the process of advising.
Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements. Includes records associated with preparing agreements/contracts and settling those agreements/contracts. Includes contracts, memoranda of understanding (MOU), deeds, leases, licences and mortgages.
Authorisation
The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action.
Committees
The activities associated with the establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agendas, etc. of committees and task forces.
Contracting out
The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing.
Enquiries
The activities associated with handling of requests for information about the agency and its services, programs and activities.
Financial Statements
The process of compiling annual statements presented in prescribed tabular form showing receipts and payments, both actual and budgeted for the current financial year and the actual amounts received or paid for the previous financial year.
Meetings
The activities associated with regular or ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the function. Includes staff meetings, arrangements, agenda, taking of minutes, etc. Excludes committee meetings.
Payments
The activities involved in the preparation and payment of money.
Planning
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the agency's operating procedures are determined.
Procedures
Standard methods of operating laid down by the agency according to formulated policy.
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, regulation, or legislation, e.g. Annual Report). Includes statistics and returns.
Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc. Used to support development of projects, standards, guidelines etc and the business activities of the agency in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc.
Reviewing
The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.
Risk Management
The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks.
Superannuation Arrangements
The activities involved in arranging superannuation for Members of the Legislative Assembly. Includes calculating and preparing annual superannuation statements and termination calculations.
Tendering
The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services.

RECORDS DISPOSAL SCHEDULE

SUPERANNUTATION MANAGEMENT
The function of managing funds set aside to meet liabilities of the Government and its agencies relating to employer superannuation. Includes the administrative operations of superannuation arrangements for Members of the Legislative Assembly payments in connection with the Government's superannuation liabilities, and reviewing processes, procedures, standards and systems. Also includes drawing up and issuing tenders and managing the performance of external service providers.
For managing the payments of superannuation to agency personnel, use PERSONNEL - Salaries.
Accounting
The process of collecting, recording, classifying, summarising and analysing information on financial transactions, and subsequently on the financial position and operating results of the agency. Includes financial statements, and the implementation, maintenance, monitoring and auditing of the agency's accounting systems and internal controls.

Entry No.	Description of Records	Disposal Action	
5.1.1	Principal accounting records and associated supporting records managing the agency's revenue and expenditure. Includes:
•	journals
•	ledgers
•	receipt and revenue records
•	sales and purchase invoices
•	cheque records (e.g. cheque butts or computerised cheque issue records).	Destroy 7 years after last action	
*5.1.1*			
Acquisition
The process of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions.

Entry No.	Description of Records	Disposal Action	
5.2.1	Acquisition of equipment, goods and services where there is no tender or contract process, i.e. where the cost of the acquisition is below the threshold for tendering or where a purchase is made against a period contract. Includes: 
•	formal requests for quotes
•	orders		
•	handover reports
•	routine forms 
•	correspondence relating to the acquisition.	Destroy 7 years after last action	
*5.2.1*			
5.2.2	Acquisitions not proceeded with of equipment, goods and services.	Destroy 2 years after last action	
*5.2.2*			
Advice
The activities associated with offering opinions as to an action or judgement. Includes the process of advising.

Entry No.	Description of Records	Disposal Action	
5.3.1	Advice to the Treasurer on superannuation issues.	Retain as Territory Archives	
*5.3.1*			
5.3.2	The receipt and provision of general advice to agency managers and employees.	Destroy 3 years after last action	
*5.3.2*			
Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements. Includes records associated with preparing agreements/contracts and settling those agreements/contracts. Includes contracts, memoranda of understanding (MOU), deeds, leases, licences and mortgages.

Entry No.	Description of Records	Disposal Action	
5.4.1	Final versions of contractual agreements with government bodies.	Destroy 7 years after expiry or other termination of contract	
*5.4.1*			
5.4.2	Negotiations, establishment, maintenance and review of agreements.	Destroy 7 years after expiry or other termination of contract	
*5.4.2*			
Authorisation
The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action.

Entry No.	Description of Records	Disposal Action	
5.5.1	Delegations of powers to agency staff to authorise administrative action relating to superannuation management.	Destroy 7 years after delegation expires	
*5.5.1*			
5.5.2	Requests and approvals for actions related to superannuation management. Includes permission for negotiating with vendors.	Destroy 7 years after last action	
*5.5.2*			
Committees
The activities associated with the establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agendas, etc. of committees and task forces.
For audit committees, use STRATEGIC MANAGEMENT.

Entry No.	Description of Records	Disposal Action	
5.6.1	Internal and external committees formed to consider matters relating to the superannuation management function. Includes: 
•	documents establishing the committee
•	final versions of minutes
•	reports
•	recommendations
•	supporting documents such as briefing papers and discussion papers. 
Includes the MLA Superannuation Board and the Finance and Investment Advisory Board.	Destroy 7 years after last action	
*5.6.1*			
5.6.2	Working papers documenting the conduct and administration of committees that consider matters relating to the superannuation management function. Includes: 
•	agenda
•	notices of meetings
•	draft minutes.	Destroy 6 months after last action	
*5.6.2*			
Contracting out
The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing.

Entry No.	Description of Records	Disposal Action	
5.7.1	Contract management relating to the superannuation management function. Includes: 
•	minutes of meetings with main stakeholders
•	performance reports 
•	evaluation reports.	Destroy 7 years after completion or other termination of contract	
*5.7.1*			
Enquiries
The activities associated with handling of requests for information about the agency and its services, programs and activities.

Entry No.	Description of Records	Disposal Action	
5.8.1	Handling of external agency enquiries about the superannuation management function and its associated programs, products and services.	Destroy 2 years after last action	
*5.8.1*			
Financial Statements
The process of compiling annual statements presented in prescribed tabular form showing receipts and payments, both actual and budgeted for the current financial year and the actual amounts received or paid for the previous financial year.

Entry No.	Description of Records	Disposal Action	
5.9.1	Working papers relating to financial statements, including collated materials, interim financial statements, and related background documentation. Includes:
•	annual statements of assets and liabilities
•	operating statement of financial position
•	balance sheets
•	statements of cash flows.	Destroy 7 years after last action	
*5.9.1*			
5.9.2	Final versions of financial statements and correspondence to and from government agencies on those statements.	Destroy 7 years after last action	
*5.9.2*			
Meetings
The activities associated with regular or ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the function. Includes staff meetings, arrangements, agenda, taking of minutes, etc. Excludes committee meetings.

Entry No.	Description of Records	Disposal Action	
5.10.1	Final versions of minutes and supporting documents tabled at meetings held to support the superannuation management function. Includes meetings with external organisations or parties.	Destroy 3 years after last action	
*5.10.1*			
5.10.2	Working papers documenting the conduct and administration of meetings held to support the superannuation management function. Includes: 
•	agendas
•	notices of meetings
•	draft minutes.	Destroy 6 months after last action	
*5.10.2*			
Payments
The activities involved in the preparation and payment of money.
For the receipt of moneys by Territory agencies, use REVENUE MANAGEMENT.

Entry No.	Description of Records	Disposal Action	
5.11.1	Payment of funds for accounts payable, funds managers and similar.	Destroy 7 years after last action	
*5.11.1*			
Planning
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.

Entry No.	Description of Records	Disposal Action	
5.12.1	Final versions of plans created relating to superannuation management.	Destroy 3 years after superseded	
*5.12.1*			
5.12.2	Working papers used to develop all superannuation management plans. Includes: 
•	draft plans
•	reports analysing issues
•	comments received from other areas of the agency.	Destroy 1 year after adoption of final plan	
*5.12.2*			
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the agency's operating procedures are determined.

Entry No.	Description of Records	Disposal Action	
5.13.1	Final policy documents relating to whole of government superannuation management policies.	Retain as Territory Archives	
*5.13.1*			
Policy (Continued)
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.

Entry No.	Description of Records	Disposal Action	
5.13.2	Development and establishment of superannuation management policies. Includes: 
•	policy proposals
•	research papers
•	results of consultations
•	supporting reports
•	major drafts
•	final policy documents.	Destroy 5 years after policy is superseded	
*5.13.2*			
5.13.3	Comments made on the development of government-wide superannuation management policies.	Destroy 1 year after promulgation of final policy	
*5.13.3*			
5.13.4	Working papers documenting the development of all superannuation management policies.	Destroy 1 year after promulgation of the new policy	
*5.13.4*			
Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
5.14.1	Master set of agency manuals, handbooks, directives etc detailing procedures supporting the superannuation management function.	Destroy 7 years after procedures are superseded	
*5.14.1*			
5.14.2	Development of agency procedures supporting the superannuation management function.	Destroy 1 year after procedures are superseded	
*5.14.2*			
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, regulation, or legislation, e.g. Annual Report). Includes statistics and returns.

Entry No.	Description of Records	Disposal Action	
5.15.1	Final versions of internal formal reports and reports made to external parties or organisations relating to the superannuation management function.	Destroy 5 years after last action	
*5.15.1*			
5.15.2	Final versions of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the superannuation management function.	Destroy 3 years after last action	
*5.15.2*			
5.15.3	Responses to surveys carried out to support the superannuation management function.	Destroy 3 years after last action
	
*5.15.3*			
5.15.4	Working papers documenting the development of all reports. Includes drafts and comments received.	Destroy 6 months after last action	
*5.15.4*			
Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc. Used to support development of projects, standards, guidelines etc and the business activities of the agency in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc.

Entry No.	Description of Records	Disposal Action	
5.16.1	Detailed research carried out to support the superannuation management function. Includes investment trends and market returns.	Retain as Territory Archives	
*5.16.1*			
5.16.2	Routine research carried out to support the superannuation management function.	Destroy 2 years after last action	
*5.16.2*			
Reviewing
The activities involved in re-evaluating or re-examining products, process, procedures, standards and systems. Includes recommendations and advice resulting from these activities.

Entry No.	Description of Records	Disposal Action	
5.17.1	Review of agency programs and operations supporting the superannuation management function. Includes: 
•	documents establishing the review
•	final report
•	action plan.	Destroy 3 years after last action	
*1.17.1*			
Risk Management
The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks.

Entry No.	Description of Records	Disposal Action	
5.18.1	Risk registers.	Destroy 7 years after next risk assessment	
*5.18.1*			
5.18.2	Final versions of documentation on risk management relating to the asset sales function. Includes: 
•	records covering each stage of the process
•	assessment reports
•	treatment schedules
•	action plans.	Destroy 1 year after next risk assessment	
*5.18.2*			
Superannuation Arrangements
The activities involved in arranging superannuation for Members of the Legislative Assembly. Includes calculating and preparing annual superannuation statements and termination calculations.

Entry No.	Description of Records	Disposal Action	
5.19.1	Personal details of each Member of the Assembly used to manage superannuation entitlements and benefits.	Destroy 75 years after the date of birth of the Member or 7 years after last action, which ever is the later	
*5.19.1*			
5.19.2	Arrangements for the creation and distribution of regular statements of accrued benefits.
	Destroy 7 years after last action	
*5.19.2*			
5.19.3	Calculation of contributions and benefits payable to Members of the Assembly on leaving office.	Destroy 7 years after last action	
*5.19.3*			
Tendering
The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services.

Entry No.	Description of Records	Disposal Action	
5.20.1	Signed contract under seal resulting from tenders. Includes supporting documents.	Destroy 12 years after completion or other termination of contract	
*5.20.1*			
5.20.2	Development and issue of tender documentation. Includes: 
•	statements of requirements
•	requests for proposal
•	expressions of interest
•	requests for tender (RFT)
•	draft contracts.	Destroy 7 years after tender process completed	
*5.20.2*			
Tendering (Continued)
The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services.

Entry No.	Description of Records	Disposal Action	
5.20.3	Evaluation of tenders received against selection criteria. Includes:
•	records documenting arrangements for carrying out the evaluation process
•	evaluation reports
•	recommendations
•	final reports
•	public notices.	Destroy 7 years after tender process completed	
*5.20.3*			
5.20.4	Post-offer negotiations and due diligence checks for tenders.	Destroy 7 years after tender process completed	
*5.20.4*			
5.20.5	Tender registers.	Destroy 7 years after last entry	
*5.20.5*			
5.20.6	Signed simple contract and agreements resulting from tenders. Includes supporting documents.	Destroy 7 years after expiry or other termination of the contract	
*5.20.6*			
5.20.7	Contract registers.	Destroy 7 years after last entry	
*5.20.7*			
5.20.8	Unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued. Includes:
•	submissions
•	notifications of outcome
•	reports on debriefing sessions.	Destroy 3 years after tender process completed	
*5.20.8*			

RETAIN AS TERRITORY ARCHIVES

SUPERANNUATION MANAGEMENT
The function of managing funds set aside to meet liabilities of the Government and its agencies relating to employer superannuation. Includes the administrative operations of superannuation arrangements for Members of the Legislative Assembly payments in connection with the Government's superannuation liabilities, and reviewing processes, procedures, standards and systems. Also includes drawing up and issuing tenders and managing the performance of external service providers.
For managing the payments of superannuation to agency personnel, use PERSONNEL - Salaries.
Advice
The activities associated with offering opinions as to an action or judgement. Includes the process of advising.

Entry No.	Description of Records	Disposal Action	
5.3.1	Advice to the Treasurer on superannuation issues.	Retain as Territory Archives	
*5.3.1*			
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the agency's operating procedures are determined.

Entry No.	Description of Records	Disposal Action	
5.13.1	Final policy documents relating to whole of government superannuation management policies.	Retain as Territory Archives	
*5.13.1*			
Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc. Used to support development of projects, standards, guidelines etc and the business activities of the agency in general. Includes following up enquiries relating to organisational programs, projects, working papers, literature searches etc.

Entry No.	Description of Records	Disposal Action	
5.16.1	Detailed research carried out to support the superannuation management function. Includes investment trends and market returns.	Retain as Territory Archives	
*5.16.1*			

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

Amendments to the Superannuation Management Records Disposal Schedule	Dated	November 2009	

The scope notes of the activities listed below, in all instances that they appear within this revision of the Superannuation Management Records Disposal Schedule, have been amended to reflect modifications made to the Territory Version of Keyword AAA (TVKAAA) thesaurus as part of the 2009 Territory Administrative Records Disposal Schedules (TARDiS) review:
•	Advice
•	Agreements
•	Committees
•	Enquiries
•	Meetings
•	Policy
•	Reporting
•	Research
•	Tendering

Function (Amendments)	
The SUPERANNUATION MANAGEMENT function separated from NI2006-138 Treasury Management Records.	
All classification and sentencing guidelines amended.	

New Features (Amendments and Insertions)	
Activity	Entry no.	Description	
Committees	5.6.1
5.6.2	Class descriptions amended	
Contracting out	5.7.1	Class description amended	
Meetings	5.10.1
5.10.2	Class descriptions amended	
Reporting	5.15.1
5.15.3	Class descriptions amended