Australian Capital Territory
Territory Records (Records Disposal Schedule – Gambling and Racing Regulation Records) Approval 2004 
(No 1)
Notifiable instrument NI2004—476
made under the
Territory Records Act 2002, s 19 (Approval of schedules for the disposal of records)

I approve the Records Disposal Schedule – Gambling and Racing Regulation Records.

David Wardle
Director of Territory Records
10 December 2004

	

Records Disposal Schedule
Gambling and Racing Regulation 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
GAMBLING REGULATION
Agreements
Appeals (decisions)
Audit
Authorisation
Compliance
Contracting Out
Control
Fees and charges determination
Investigation
Liaison
Policy
Research
Tendering
RECORDS DISPOSAL SCHEDULE
RETAIN AS TERRITORY ARCHIVES

INTRODUCTION 
The Records Disposal Schedule – Gambling and Racing Regulation Records is the official authority for the disposal of records relating to Gambling and Racing Regulation matters. 

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 Schedule (TARDiS). 

PURPOSE 
The purpose of this Records Disposal Schedule is to provide for the authorised disposal of Gambling and Racing Regulation records created or maintained by the ACT Government.

SCOPE 
This Records Disposal Schedule applies to all ACT Government agencies as defined in the Territory Records Act 2002. 

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 is has been incorporated into an agencies 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 – Gambling and Racing Regulation Records has a hierarchical structure that reflects its arrangement according to functions and activities, rather than by subject, and its close relationship to the Territory Version of Keyword AAA. The Records Disposal Schedule is designed to be applicable to all Gambling and Racing Regulation 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 (ie. 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 – Gambling and Racing Regulation Records: 
•	covers all Gambling and Racing Regulation 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 this activity. Activities can relate to many functions with the scope notes covering all of these relationships (eg 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, 
microfiche, 
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 rerecording) does 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: 

Casino Control Act 1988
Freedom of Information Act 1989 
Gambling and Racing Control Act 1999 
Games Wagers and Betting Houses Act 1901
Gaming and Betting Act 1906
Gaming Machine Act 2004
Interactive Gambling Act 1998
Lotteries Act 1964
Occupational Health and Safety Act 1989
Occupational Health and Safety Regulations 1991
Pool Betting Act 1964
Privacy Act 1988 
Race and Sports Bookmaking Act 2001
Territory Records Act 2002
Unlawful Games Act 1984

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 

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements.

Appeals (decisions)
The activities involved in the process of appeals against decisions by application to a higher authority.

Audit
The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the agency in a specified period.  Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits.

Authorisation
The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action.

Compliance 
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the agency is subject.  Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

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.

Control 
The activities associated with creating, maintaining and evaluating control mechanisms. Includes
classification, indexing, registration, forms design etc to ensure maximum control over records and
recordkeeping systems. Also includes control mechanisms for other information resources and systems.

Fees and charges determination
The activities associated with determining fees and charges.

Investigation
Where a formal investigation commences in relation to a breach following an accident, incident, complaint observation, or claim to entitlement.  Contains all evidence collected, such as documents, photographs, statements, notes, etc.

Liaison
The activities associated with maintaining regular contact between the agency and professional associations, professionals in related fields, other private sector organisations and community groups.  Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects that are not joint ventures.

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.

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 projects, working papers, literature searches etc.

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

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements.

Entry No.	Description of Records 	Disposal action

1.1.1		Memoranda of understanding/information			Retain as Territory 
*1.1.1*	sharing with other regulatory bodies.			Archives

1.1.2	Agreements made between the ACT Gambling and Racing 	Destroy 7 years
*1.1.2*	Commission and Race/Sports bookmakers.			after the licence
							has ceased.

1.1.3	Agreements made between the ACT Gambling and Racing	Destroy 7 years 
*1.1.3*	Commission and the casino licensee.			after the licence 
has ceased.

1.1.4	Agreements made between the ACT Gambling and Racing	Destroy 7 years 
*1.1.4*	Commission and Interactive Gambling Licensees. 		after the licence
 							has ceased.

1.1.5		Agreements made between the ACT Gambling and Racing	Destroy 7 years 
*1.1.5*	Commission and Gaming Machine Licensees. 		after the licence
 									has ceased.

1.1.6		Requests made to the ACT Gambling and Racing		Destroy 3 years after
*1.1.6*	Commission regarding requests for exclusion from the	expiry or revocation
 		casino under section 70B of the Casino Control Act 1988.	of  exclusion notice.

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Appeals (decisions)
The activities involved in the process of appeals against decisions by application to a higher authority.

Entry No.	Description of Records	Disposal action

1.2.1		Records documenting appeals made to the	  		Destroy 7 years after 
*1.2.1* 	ACT Administrative Appeals Tribunal relating 		appeal finalised.
 		to decisions made by the ACT Gambling and Racing 							Commission.

Audit
The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the agency in a specified period.  Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits.

Entry No.	Description of Records	Disposal action

1.3.1		Inspections by ACT Gambling and Racing Commission	Destroy 3 years after 
*1.3.1*	officers ensuring the casino licensee is not in breach of the	last action.
 		Casino Control Act 1988. 				

1.3.2		Inspections by ACT Gambling and Racing Commission	Destroy 3 years after
*1.4.2*	officers ensuring the Gaming Machine licensees are		last action.
 		not in breach of  the Gaming Machine Act 2004. 				

1.3.3		Inspections by ACT Gambling and Racing Commission	Destroy 3 years after
*1.4.3* 	officers ensuring licensed Race/Sports bookmakers are	last action.
 		not in breach of  the Race and Sports Bookmaking Act 2001. 	

1.3.4		Inspections by ACT Gambling and Racing Commission	Destroy 3 years after
*1.4.4*	officers ensuring approved lotteries were not in breach	last action.
 		of the Lotteries Act 1964. 	

1.3.5	 	Inspections by ACT Gambling and Racing Commission	Destroy 3 years after
*1.3.5*	officers ensuring licensed Interactive Gambling agents	last action.
 		are not in breach of  the Interactive Gambling Act 1998. 	

	
GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

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

1.4.1	  	Requests by the casino operator to alter 			Destroy 3 years after 
*1.3.1*	the casino layout.						a subsequent request is 
									approved.

1.4.2		Requests by the casino operator concerning 			Destroy 3 years after 
*1.4.2*	gaming equipment and/or chips. 				approval  lapses, 
 									revoked or 
 									equipment/chips 
 									replaced.

1.4.3		Records documenting the evaluation and approval  		Destroy 3 years after 
*1.4.3*	of rules of games and the approval for the casino 		next subsequent 
specific table games. 					amendment to the rules 
 							or 7 years after licence 
 							expires/cancelled.

1.4.4	Records documenting requests by the casino 		Destroy 3 years after 
*1.4.4*	operator to alter the operating times. 			approval  revoked or 
 							changed operating times 
 							approved and 									implemented.

1.4.5		Applications by licensees for substantive or technical  	Destroy 7 years after 
*1.4.5*	licence amendments.   					licence 
  									expiry/cancellation

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Authorisation (Continued)
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

1.4.6		Delegations of powers to agency staff to authorise  		Destroy 2 years
*1.4.6*	administrative actions and/or audit inspections		after the exercise of
 		relating to the gambling regulation function. 			the delegation.

1.4.7	Records documenting the sale, storage and			Destroy 7 years after last 
*1.4.7*	transport of gaming equipment. 				action.

1.4.8	Records documenting approvals for the 			Destroy 7 years
*1.4.8*	possession of gaming equipment.				after approval revoked
 							or cancelled or removed
 							permanently.

1.4.9	Records documenting the sale, storage and			Destroy 7 years after last 
*1.4.9*	transport of gaming machines. 				action.

1.4.10	Records documenting the evaluation and 			Destroy 7 years 
*1.410*	approval of games on gaming machines. 			after approval 
 							revoked/cancelled
 							or games no longer 
 							available.

1.4.11	Records documenting software programs for gaming 		Destroy 5 years 
*1.4.11*	machines. 						after approval 
 							revoked/cancelled
 							or programs withdrawn.

1.4.12	Approved forms of contracts and copies of approved 		Destroy 5 years after
*1.4.12*	contracts and agreements relating to the rental and 		contract expiry or 
maintenance of gaming equipment. 				equipment replacement.

1.4.13	Routine correspondence relating to the rental and 		Destroy 5 years after
*1.4.13*	maintenance of gaming equipment. 				contract expiry or
 							equipment replacement.

1.4.14	Approved forms of contracts and copies of approved 		Destroy 5 years after
*1.4.14*	contracts and agreements relating to the rental and 		contract expiry or
maintenance of gaming machines.				equipment replacement.

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Authorisation (Continued)
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

1.4.15	Routine correspondence relating to the rental and 		Destroy 5 years after
*1.4.15*	maintenance of gaming machines				contract expiry or
      							equipment replacement.

1.4.16	Correspondence relating to the accounting procedures,	Destroy 1 year 
*1.4.16*	including the standardisation of forms and the definitions	after procedures,
of terms, to be used in operations in the casino.		Forms etc. amended.

1.4.17	Casino correspondence relating to procedures, forms and	Destroy 5 years 
*1.4.17*	formulas relating to hold percentages, revenue drop or  	from next 
complementary services. 					subsequent/approval
							change.

1.4.18	Casino correspondence relating to details concerning job	Destroy 1 year after
*1.4.18*	descriptions and the system used to organise personnel and	next amendment 
the chain of command.					approved.

1.4.19	Casino correspondence relating to the procedures for 		Destroy 1 year after
*1.4.19*	conducting authorised games.				next amendment 
								approved.

1.4.20	Casino Correspondence relating to the procedures for 	Destroy 1 year after
*1.4.20*	receiving, storing and disbursing chips and cash, cashing 	next amendment
cheques, redeeming chips and recording all transactions.	approved.

1.4.21	Casino correspondence for collecting and ensuring the 	Destroy 1 year after
*1.4.21*	security of money at the gaming tables and other places	next amendment
in the casino where authorised games are conducted.		approved.

1.4.22	Casino correspondence relating to the procedures and 	Destroy 1 year after
*1.4.22*	forms for transferring or moving money within the casino.	next amendment
								approved.

1.4.23	Casino correspondence relating to the procedures and 	Destroy 1 year after
*1.4.23*	forms for transferring or moving chips within the casino.	next amendment
								approved.

1.4.24	Casino correspondence relating to the procedures and 	Destroy 1 year  after
*1.4.24*	security for counting and recording revenue.			next amendment
								approved.

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Authorisation (Continued)
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

1.4.25	Casino correspondence relating to procedures and 		Destroy 1 year after
*1.4.25*	security for transferring money between the casino 		next amendment
and a bank.						approved.

1.4.26	Casino correspondence relating to the procedures for 		Destroy 1 year after
*1.4.26*	storing, recording and ensuring the security of chips.		next amendment
								approved.

1.4.27	Casino correspondence relating to procedures for paying 	Destroy 1 year after
*1.4.27*	and recording winnings that are paid by cash or cheque.	next amendment 
							approved.

1.4.28	Casino correspondence relating to procedures for issuing 	Destroy 1 year after
*1.4.28*	chip purchase vouchers and recording transactions.		next amendment
								approved.

1.4.29	Casino correspondence relating to procedures for cashing 	Destroy 1 year after
*1.4.29*	cheques and recording transactions by cheque.		next amendment
							approved.

1.4.30		Casino correspondence relating to procedures for 		Destroy 1 year after
*1.4.30*	establishing and using deposit accounts.			next amendment
									approved.

1.4.31		Casino correspondence relating to procedures for		Destroy 1 year after
*1.4.31*	using and maintaining security and surveillance facilities,	next amendment
 		including closed-circuit television systems.			approved.

1.4.32		Casino correspondence relating to procedures for regularly	Destroy 1 year after
*1.4.32*	testing security and surveillance equipment.			next amendment
									approved.

1.4.33		Casino correspondence relating to procedures for regularly	Destroy 1 year after
*1.4.33*	testing the effectiveness of the procedures of the approved 	next amendment
 		system and how well the procedures are being implemented.	approved.

1.4.34		Correspondence relating to procedures for governing		Destroy 1 year after
*1.4.34*	the utilisation of security personnel within the casino.		next amendment
									approved.

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Authorisation (Continued)
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

1.4.35		Correspondence relating to procedures to control keys	Destroy 1 year after
*1.4.35*	used or for use in operations in the casino.			next amendment
									approved.

1.4.36		Approval to transfer or surrender a gaming machine licence	Destroy 5 years after
*1.4.36*								last action

1.4.37		Approval of gaming machines.				Destroy 5 years after
*1.4.37*						 		last action

1.4.38		Approval of peripheral equipment for gaming machines.	Destroy 2 years after
*1.4.38*								approval revoked or
									equipment no longer 
									available.	

1.4.39		Approval of gaming machine and/or peripheral equipment	Destroy 2 years  
*1.4.39*	suppliers.						after approval revoked 
 									or supplier no longer
 									in business.

1.4.40		Approval for a gaming machine licensee to enter into a 	Destroy 2 years after *1.4.40*	financial arrangement.					approval. 

1.4.41		The repossession of gaming machines.		 	Destroy 2 years after 
*1.4.41*								approval.

1.4.42		The disposal of gaming machines.			 	Destroy 2 years after 
*1.4.42*								approval.

1.4.43		The seizure of unlawful gaming machines by an authorised 	Destroy 5 years after 
*1.4.43*	.							final action.

1.4.44		The position for the display of the percentage payout for a  	Destroy 2 years after
*1.4.44* 	gaming machine.						approval revoked or 
 									amended.

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Authorisation (Continued)
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

1.4.45		An application for a linked jackpot arrangement.	 	Destroy 2 years after 
*1.4.45*								link closure.

1.4.46		Multi-user permits including approvals, amendments,		Destroy 2 years after  
*1.4.46*	transfers and/or surrenders. 				permit expires.

1.4.47		An arrangement for the redistribution of undisbursed  	Destroy 2 years after 
*1.4.47*	jackpots. 						disbursement completed.

1.4.48		An object of a club as an eligible object.		  	Destroy 2 years after 
*1.4.48*								licence expiry.

1.4.49		An entity is an associated organisation for a club.		Destroy 2 years after 
*1.4.49*								the association ends.

1.4.50		Approved raffles and conditions.				Destroy 2 years 
*1.4.50*								after the lottery has, 
									completed.

1.4.51		Approved trade promotion and conditions.			Destroy 2 years 
*1.4.51*								after the trade 
									promotion has 
									completed. 

1.4.52		Approved housie and conditions.				Destroy 2 years 
*1.4.52*								after the housie has 
									completed. 

1.4.53		Approved Calcutta sweep and conditions.			Destroy 2 years 
*1.4.53*								after the Calcutta 
									has been completed.	

1.4.54		Approved other lotteries and conditions.			Destroy 2 years 
*1.4.54*								after the lottery has 
									completed.

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Compliance 
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the agency is subject.  Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

Entry No.		Description of Records				Disposal action

1.5.1		A single licence granted by the Minister under		Retain as Territory
*1.5.1*	section 45 of the Casino Control Act 1988			Archives.

1.5.2		Research and recommendations determining the 		Retain as Territory
*1.5.2*	suitability of a person to hold a race bookmaker’s		Archives.
		agent licence.						

1.5.3		Research and recommendations determining the 		Retain as Territory 
*1.5.3*	suitability of a person to hold a sports bookmaking		Archives. 
		licence.		

1.5.4		Research and recommendations determining the 		Retain as Territory
*1.5.4*	suitability of a person to hold a sports bookmaker’s		Archives. 
		agent licence.

1.5.5		Research and recommendations determining the 		Retain as Territory 
*1.5.5*	suitability of a person to hold a race bookmaker’s		Archives. 
 		licence.	

1.5.6		The approval or refusal of a person to hold 			Destroy 6 months 
*1.5.6*	a casino employee’s licence.				after licence has 
									expired.

1.5.7		The approval or refusal of a premises to hold a 		Destroy 3 years 
*1.5.7*	gaming machine licence.					after licence has
 		expired.

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Compliance (Continued)
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the agency is subject.  Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

Entry No.		Description of Records				Disposal action

1.5.8		The approval or refusal of a person to hold a			Destroy 6 months 
*1.5.8*	gaming machine attendants licence.				after licence has 
									expired.

1.5.9		The approval or refusal of a person to hold a			Destroy 6 months 
*1.5.9*	gaming machine technicians licence.			after licence has 
									expired.

1.5.10		Research and recommendations determining the 		Destroy 3 years 
*1.5.10*	suitability of a person to hold an interactive			after licence has 
 		gambling licence.						expired.

1.5.11		Approval or refusal of a person to hold an 			Destroy 6 months 
*1.5.11*	Interactive employee gambling licence.			after licence has 
									expired.

1.5.12		Research and recommendations determining the 		Destroy 5 years 
*1.5.12*	lack of suitability of a person or agency to hold a 		after the licence has 
 		licence issued by the ACT Gambling and			been terminated or 
 		Racing Commission. 					5 years after any 
   									appeals processes.

1.5.13 		Records documenting the compulsory community 		Destroy 5 years after
*1.5.13*	contributions imposed by the				report to Minister.
 		Gaming Machine Act 1987.

	

 
GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

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

1.6.1 		Records documenting contract management relating to 	Destroy 7 years 
*1.6.1*	the Gambling Regulation function. Includes:	  		after completion or 
		• minutes of meetings with main stakeholders		other termination of 
		• performance and evaluation reports. 			contract

Control 
The activities associated with creating, maintaining and evaluating control mechanisms. Includes
classification, indexing, registration, forms design etc to ensure maximum control over records and
recordkeeping systems. Also includes control mechanisms for other information resources and systems.

Entry No.		Description of Records				Disposal action

1.7.1 		A register of all current gaming machine licences.	 	Destroy 7 years after last 
*1.7.1* 								action.

1.7.2		A register of all current casino employee licences.	 	Destroy 7 years after last 
*1.7.2*								action.

1.7.3 		A register of all current gaming machine licences.	 	Destroy 7 years after last 
*1.7.3* 								action.

1.7.4 		Centralised Monitoring System				Destroy 7 years after
*1.7.4*								system implemented.

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Fees and charges determination
The activities associated with determining fees and charges.

Entry No.		Description of Records				Disposal action

1.8.1		Records documenting the activities associated 		Destroy 5 years after 
*1.8.1*	with determining the fees and charges.  			next amendment 
 									approved.

Investigation
Where a formal investigation commences in relation to a breach following an accident, incident, complaint observation, or claim to entitlement.  Contains all evidence collected, such as documents, photographs, statements, notes, etc.

Entry No.		Description of Records				Disposal action

1.9.1		Investigations by ACT Gambling and Racing Commission	Destroy 5 years after 
*1.9.1*	officers ensuring the casino licensee is not in breach		last action.
 		of the Casino Control Act 1988. 				

1.9.2		Investigations by ACT Gambling and Racing Commission	Destroy 5 years after
*1.9.2*	officers ensuring the Gaming Machine licensees are not 	last action.
 		in breach of  the Gaming Machine Act 1987. 		

1.9.3		Investigations by ACT Gambling and Racing Commission	Destroy 5 years after
*1.9.3* 	officers ensuring licensed Race/Sports bookmakers are	last action.
 		not in breach of  the Race and Sports Bookmaking Act 2001. 	

1.9.4		Investigations by ACT Gambling and Racing Commission	Destroy 5 years after
*1.9.4*	officers ensuring approved lotteries were not in breach	last action.
 		of the Lotteries Act 1964. 	

1.9.5	 	Investigations by ACT Gambling and Racing Commission	Destroy 5 years after
*1.9.5*	officers ensuring licensed Interactive Gambling agents	last action.
 		are not in breach of the Interactive Gambling Act 1998. 	

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Liaison
The activities associated with maintaining regular contact between the agency and professional associations, professionals in related fields, other private sector organisations and community groups.  Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects that are not joint ventures.

Entry No.		Description of Records				Disposal action

1.10.1 		Records documenting liaison between the ACT Gambling	Destroy 5 years after
*1.10.1*	and Racing Commission and the Australian Federal Police.	last action.

1.10.2 		Records documenting liaison between the ACT		Destroy 5 years after
*1.10.2*	Gambling and Racing Commission and other regulatory. 	last action.
 		bodies.	

1.10.3		Records documenting liaison between the ACT Gambling	Destroy 5 years after
*1.10.3* 	and Racing Commission and AUSTRAC Gaming  		last action. 
		Provider Advisory Group.

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

1.11.1 		Records documenting the development and 			Retain as Territory
*1.11.1* 	establishment of the agency's gambling regulation 		Archives
policies. Includes:
	• policy proposals
	• research papers
	• results of consultations
	• supporting reports
	• major drafts

1.11.2		Working papers documenting the development of all 		Destroy 3 years 
*1.11.2*	gambling regulation policies.				after promulgation 
									of the new policy

1.11.3		Copies of policy documents and supporting papers.		Destroy when 
*1.11.3*								reference ceases

GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

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 projects, working papers, literature searches etc.

.  

Entry No.		Description of Records				Disposal action 

1.12.1 		Records documenting contractual agreements		Retain as Territory
*1.12.1*	between the ACT Gambling and Racing Commission		Archives
and other agencies to research and report on the social
 	and economic impacts of gambling in the ACT.

1.12.2		Research reports analysing the impacts of gambling 		Retain as Territory
*1.12.2*    	in the ACT.						Archives

1.12.3		Recommendations made by the ACT Gambling and		Retain as Territory
*1.12.3*	Racing Commission regarding the impacts of gambling	Archives
 		in the ACT.			
GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

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

1.13.1		Records documenting the development and issue of		Destroy 7 years 
*1.13.1*	tender documentation. Includes Statement of			after tender process 
 		Requirements, Request for Proposals, Expression 		completed.
 		of Interest, Request for Tender (RFT) and draft contract.

1.13.2		Evaluation of tenders received against selection criteria.  	Destroy 7 years 
*1.13.2*	Includes records documenting arrangements	for carrying	after tender process 
 		out the evaluation process, evaluation report,			completed.	
 		recommendations, final report and public notices.

1.13.3		Records documenting post-offer negotiations 		Destroy 7 years 
*1.13.3*	and due diligence checks.					after tender process
 									completed.

1.13.4		Records of unsuccessful tenders or a tender 			Destroy 2 years 
*1.13.4*	process where there is no suitable bidder, or 			after tender process 
where the tender process has been discontinued. 		completed or 
Includes submissions, notification of outcome 		decision made not 
and reports on debriefing sessions.				to continue with the 
									tender.	

1.13.5		Tender register.						Destroy 7 years
*1.13.5*								after last entry

1.13.6		Signed contracts under seal resulting from 			Destroy 12 years 
*1.13.6*	tenders and supporting records.				after completion or 
 									other termination of 										contract.

1.13.7		Signed simple contracts and agreements 			Destroy 7 years 
*1.13.7*	resulting from tenders and supporting records.		after completion or 
other termination of contract.

RETAIN AS TERRITORY ARCHIVES

Classes for retention as Territory Archives
GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements.

Entry No.	Description of Records 	Disposal action

1.1.1		Memoranda of understanding/information			Retain as Territory 
*1.1.1*	sharing with other regulatory bodies.			Archives

Compliance 
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the agency is subject.  Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

Entry No.		Description of Records				Disposal action

1.5.1		A single licence granted by the Minister under		Retain as Territory
*1.5.1*	section 45 of the Casino Control Act 1988			Archives.

1.5.2		Research and recommendations determining the 		Retain as Territory
*1.5.2*	suitability of a person to hold a race bookmaker’s		Archives.
		agent licence.						

1.5.3		Research and recommendations determining the 		Retain as Territory 
*1.5.3*	suitability of a person to hold a sports bookmaking		Archives. 
		licence.		

1.5.4		Research and recommendations determining the 		Retain as Territory
*1.5.4*	suitability of a person to hold a sports bookmaker’s		Archives. 
		agent licence.

1.5.5		Research and recommendations determining the 		Retain as Territory 
*1.5.5*	suitability of a person to hold a race bookmaker’s		Archives. 
 		licence.	

Classes for retention as Territory Archives
GAMBLING REGULATION
The function of regulating gambling activities in the ACT in accordance with the ACT Gaming Laws to ensure they are carried out with high standards of probity and integrity.  Includes minor gaming, interactive gaming and sports bookmaking betting.

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

1.11.1 		Records documenting the development and 			Retain as Territory
*1.11.1* 	establishment of the agency's gambling regulation 		Archives
policies. Includes:
	• policy proposals
	• research papers
	• results of consultations
	• supporting reports
	• major drafts

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 projects, working papers, literature searches etc.

Entry No.		Description of Records				Disposal action 

1.12.1 		Records documenting contractual agreements between the	Retain as Territory
*1.12.1*	ACT Gambling and Racing Commission and other agencies	Archives
 		to research and report on the social and economic impacts 
 		of gambling in the ACT.

1.12.2		Research reports analysing the impacts of gambling in	Retain as Territory
*1.12.2*    	the ACT.						Archives

1.12.3		Recommendations made by the ACT Gambling and Racing	Retain as Territory
*1.12.3*	Commission regarding the impacts of gambling in the ACT.	Archives