Australian Capital Territory
Territory Records (Records Disposal Schedule – TAB Operations Records) Approval 2006 (No 1)
Notifiable instrument NI2006—137
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 – TAB Operations Records) Approval 2006 (No 1)
2.	Approval
I approve the Records Disposal Schedule – TAB Operations Records.
3.	Commencement
This instrument commences on the day after notification.

David Wardle
Director of Territory Records
13 April 2006

Records Disposal Schedule
TAB Operations 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
TAB OPERATIONS
RECORDS DISPOSAL SCHEDULE
TAB OPERATIONS
Advice
Agreements
Betting
Betting Claims
Compliance
Conferences
Contracting Out
Customer Service
Enquiries
Evaluation
Events
Liaison
Marketing
Meetings
Planning
Policy
Product development
Public reaction
Race results
Reporting
Research
Reviewing
Risk management
Security
Tendering
Visits
CLASSES FOR RETENTION AS TERRITORY ARCHIVES
TAB OPERATIONS
Advice
Agreements
Security

INTRODUCTION
The Records Disposal Schedule – TAB Operations Records is the official authority for the disposal of records relating to TAB Operations 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 TAB Operations 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 – TAB Operations 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 TAB Operations 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 – TAB Operations Records:
•	covers all TAB Operations 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;
•	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 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:

Betting (ACTTAB Limited) Act 1964
Freedom of Information Act 1989
Gambling and Racing Control (Code of Practice) Regulation 2002
Occupational Health and Safety Act 1989
Privacy Act 1988
Race & Sports Bookmaking Act 2001
Territory Owned Corporations Act 1990
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

TAB OPERATIONS
The function of managing the provision, conduct and operation of totalizator bet types and betting facilities for races, sports betting events and Keno. Includes telephone and internet account betting and account management, development of new products and the issue of race results

Advice
The activities associated with offering opinions by or to the organization as to an action or judgement. Includes the process of advising.

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

Betting
The process of managing the acceptance of wagers placed by customers. Includes wagers place through sports bets and for Keno. Also includes bets placed through the telephone or internet betting system.

Betting Claims
The process of managing claims from customers for winning wagers and payment of winnings. Includes winning wagers from sports bets and Keno. Also includes payments to winning telephone and internet accounts.

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.

Conferences
The activities involved in arranging or attending conference held either by the organisation or by other organizations. Includes registrations, publicity and reports of participants etc.

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.

Customer Service
The activities associated with the planning, monitoring and evaluation of services provided to customers by the organization.

Enquiries
The activities associated with handling requests for information about the organisation and its services by the general public, agency employees or another organisation.

Evaluation
The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring.

Events
The activities relating to the arrangements, bookings and support for local suppliers to attend, display or promote events such as trade displays, event participation, open days etc.

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

Marketing
The processing of analyzing, creating and selling products and services. Includes market research, sales forecasting, advertising, media releases, promotion, pricing and product evaluation.

Meetings
The activities associated with adhoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to managing the section, department, or agency as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings.

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.

Product development
The process involved in developing material into a new product.

Public reaction
The process of handling public reaction to an organisation's policies or services. Includes anonymous letters, letters of complaint and letters of congratulations or appreciation received from the public.

Race results
The process of providing race results to customers. Includes publishing results in the press.

Reporting
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and 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.

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, guideline etc and the business activities of the organisation in general. Includes following up enquiries relating to organizational 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 the identification or risks, the likelihood and consequences of those risks, and the implementation of appropriate practice and procedures to treat the risks.

Security
The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorized access. Includes the security classification of personnel and criminal record checks.

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.

Visits
The activities involved in arranging visits by other agencies, the public and students to the agency, with a view to inform, educate or promote the services, operation and role of the organisation. Includes arranging visits by staff to other agencies.

RECORDS DISPOSAL SCHEDULE

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results.

Advice
The activities associated with offering opinions by or to the organization as to an action or judgement.  Includes the process of advising.

Entry No.	Description of Records	Disposal action
	
1.1.1
*1.1.1*	Advice provided by the agency to the Chief Minister or portfolio Minister and government agencies on controversial public issues with far-reaching social, economic and international implications relating to the functional responsibilities of the agency. Includes advice provided in the form of:  briefing notes (includes background briefs and Question Time Briefs); minutes providing advice to the Minister; Ministerial statements; Government responses to Inquiry recommendations; policy papers; minutes providing co-ordination comments; advice to other agencies
	Retain as Territory Archives
	
1.1.2
*1.1.2*	Working papers documenting the development of advice provided by the agency to the Chief Minister or portfolio Minister and government agencies on controversial public issues with far-reaching social, economic and international implications relating to the functional responsibilities of the agency.	Destroy 10 years after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results.

Advice (Continued)
The activities associated with offering opinions by or to the organization as to an action or judgement.  Includes the process of advising.

Entry No.	Description of Records	Disposal action
	
1.1.3
*1.1.3*	Advice provided by the agency to the Chief Minister or portfolio Minister and government agencies on matters of lesser importance, with no far reaching impact on the social, economic and international standing of the Territory. Includes advice provided in the form of: briefing notes (includes background briefs and Question Time Briefs); minutes providing advice to the Minister; minutes providing co-ordination comments; advice to other agencies.
	Destroy 7 years after last action
	
1.1.4
*1.1.4*	Working papers documenting the development of advice provided by the agency to the Chief Minister or portfolio Minister and government agencies on matters of lesser importance, with no far-reaching impact on the social, economic and international standing of the Territory.
	Destroy 2 years after last action
	
1.1.5
*1.1.5*	All other advice.
	Destroy 2 years after last action	

TAB OPERATIONS
The function of managing the provision, conduct and operation of totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

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

Entry No.	Description of Records	Disposal action
	
1.2.1
*1.2.1*	Final version of significant agreements with government and other bodies. Includes:  changes to the performance of statutory functions; those with implications for major liabilities or obligations for the agency.
	Retain as Territory Archives
	
1.2.2
*1.2.2*	Negotiations, establishment, maintenance and review of significant agreements.
	Retain as Territory Archives
	
1.2.3
*1.2.3*	Final versions of other agreements.
	Destroy 10 years after last action

Betting
The process of managing the acceptance of wagers placed by customers.  Includes wagers place through sports bets and for Keno.  Also includes bets placed through the telephone or internet betting system.

Entry No.	Description of Records	Disposal action
	
1.3.1
*1.3.1*	Management of the betting process.  Includes sports betting and Keno.  Also includes electronic records of wagers accepted.
	Destroy 7 years after last action
	
1.3.2
*1.3.2*	Paper betting tickets after entry into electronic system
	Destroy 6 months after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

Betting Claims
The process of managing claims from customers for winning wagers and payment of winnings.  Includes winning wagers from sports bets and Keno.  Also includes payments to winning telephone and internet accounts.

Entry No.	Description of Records	Disposal action
	
1.4.1
*1.4.1*	Management of claims for winning wagers.  Includes winning wagers from sports bets and Keno.  Also includes payments to telephone and internet accounts.
	Destroy 7 years after last action
	
1.4.2
*1.4.2*	Unclaimed winning wagers.  Includes unclaimed betting tickets.
	Destroy 7 years after last action
	
1.4.3
*1.4.3*	Disputed winning claims.  Includes disputed betting tickets.	Destroy 7 years after last 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.

Entry No.	Description of Records	Disposal action
	
1.5.1
*1.5.1*	Agency compliance with mandatory or optional standards or with statutory requirements relating to the TAB operations function.
	Destroy 7 years after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

Conferences
The activities involved in arranging or attending conference held either by the organisation or by other organizations.  Includes registrations, publicity and reports of participants etc.

Entry No.	Description of Records	Disposal action
	
1.6.1
*1.6.1*	Arrangements for agency conferences including program development, arranging speakers, promotion, managing registrations and venue bookings.
	Destroy 5 years after last action
	
1.6.2
*1.6.2*	Participants' reports on conferences arranged by other organisations.	Destroy 3 years after last action
	
1.6.3
*1.6.3*	Attendance of staff at conferences arranged by other organisations. Includes the completed conference registration forms, programs and conference promotion material.
	Destroy 6 months after last action
	
1.6.4
*1.6.4*	Copies of published conference proceedings and official reports received at conferences arranged by other organisations
	Destroy 6 months after last action

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.

For selection of contractor to provide goods or services using a tender process, use Tendering.
For drawing up contract and signing of contract resulting from tender process, use Tendering.
For selection of a provider of goods and services where no tender process was undertaken, use Agreements.

Entry No.	Description of Records	Disposal action
	
1.7.1
*1.7.1*	Contract management relating to the TAB operations function. Includes:  minutes of meetings with contractors; performance and evaluation reports.
	Destroy 7 years after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

Customer Service
The activities associated with the planning, monitoring and evaluation of services provided to customers by the organization.

Entry No.	Description of Records	Disposal action
	
1.8.1
*1.8.1*	Planning, monitoring and evaluation of customer services provided to the agency's clients.
	Destroy 5 years after last action
	
1.8.2
*1.8.2*	Development of service charters and directives relating to the provision of services to the agency's clients. Includes copies of internal directives and charters.
	Destroy 5 years after last action
	
1.8.3
*1.8.3*	Management of specific customer services provided to the public eg managing an enquiry desk, a telephone information service or interpreter service.  Includes planning, monitoring and evaluation of services eg carrying out customer surveys.	Destroy 5 years after last action

Enquiries
The activities associated with handling requests for information about the organisation and its services by the general public, agency employees or another organisation.

Entry No.	Description of Records	Disposal action
	
1.9.1
*1.9.1*	Handling of public enquiries about the agency and its programs, products and services.
	Destroy 2 years after last action	

Evaluation
The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation.  Includes systems analysis and ongoing monitoring.

Entry No.	Description of Records	Disposal action
	
1.10.1
*1.10.1*	Evaluation and ongoing monitoring of TAB operations programs and services.
	Destroy 7 years after last action	

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

Events
The activities relating to the arrangements, bookings and support for local suppliers to attend, display or promote events such as trade displays, event participation, open days etc.

Entry No.	Description of Records	Disposal action
	
1.11.1
*1.11.1*	Management of regular and routine events organised by the agency
	Destroy 5 years after last action	

Liaison
The activities associated with maintaining regular general contact between the agency and professional associations, professionals in related fields, other private sector organizations 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
	
1.12.1
*1.12.1*	Liaison activities undertaken with government agencies.  Includes collaboration on projects and exchange of information.
	Destroy 5 years after last action
	
1.12.2
*1.12.2*	Liaison activities undertaken with professional associations, private sector organisations and community groups. Includes collaboration on projects, exchange of information and all the activities of a member of an organisation.	Destroy 2 years after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

Marketing
The process of analysing, creating and selling products and services. Includes market research, sales forecasting, advertising, media releases, promotion, pricing and product evaluation.

Entry No.	Description of Records	Disposal action
	
1.13.1
*1.13.1*	Marketing of the agency's activities. Includes records covering arrangements for advertising campaigns and promotional photographs.	Destroy 2 years after last action	

Meetings
The activities associated with adhoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to managing the section, department, or agency as a whole.  Includes arrangements, agenda, taking of minutes etc.  Excludes committee meetings.

Entry No.	Description of Records	Disposal action
	
1.14.1
*1.14.1*	Final version of minutes and supporting documents tabled at meetings held to support the TAB operations function. Includes meetings with external agencies.
	Destroy 7 years after last action
	
1.14.2
*1.14.2*	Working papers documenting the conduct and administration of meetings held to support the TAB operations function. Includes agenda, notices of meetings and draft minutes.	Destroy 6 months after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

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
	
1.15.1
*1.15.1*	Final versions of plans formulated to support the management of specific TAB operations activities (eg fraud control plan and human resource management plan).
	Destroy 7 years after last action
	
1.15.2
*1.15.2*	Final versions of business plans and unit level work plans.
	Destroy 5 years after superseded
	
1.15.3
*1.15.3*	Working papers documenting the development of all TAB operations plans. Includes input into plans, comments received and drafts.
	Destroy 1 year after the plan is adopted.

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
	
1.16.1
*1.16.1*	Records documenting the development and establishment of the agency's TAB operations policies. Includes:  policy proposals; research papers; results of consultations; supporting reports; major drafts; final policy documents.
	Destroy 7 years after last action
	
1.16.2
*1.16.2*	Records documenting comments made on the development of TAB operations policies.
	Destroy 2 years after last action
	
1.16.3
*1.16.3*	Working papers documenting the development of all TAB operations policies.
	Destroy 2 years after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

Product development
The process involved in developing a product. 
Entry No.	Description of Records	Disposal action
	
1.17.1
*1.17.1*	Development of products.
	Destroy 5 years after last action

Public reaction
The process of handling public reaction to an organisation’s policies or services.  Includes anonymous letters, letters of complaint and letters of congratulations or appreciation received from the public.

Entry No.	Description of Records	Disposal action
	
1.18.1
*1.18.1*	Public reaction and agency responses.
	Destroy 5 years after last action

Race results
The process of providing race results to customers.  Includes publishing results in the press.

Entry No.	Description of Records	Disposal action
	
1.19.1
*1.19.1*	Provision of race results.
	Destroy 7 years after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and Internet account betting and account management, development of new products and the issue of race results

Reporting
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and 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.

Entry No.	Description of Records	Disposal action
	
1.20.1
*1.20.1*	Final version of periodic reports required on a regular basis by external government bodies.
	Destroy 7 years after last action
	
1.20.2
*1.20.2*	Working papers documenting periodic reports required on a regular basis by external government bodies.
	Destroy 2 years after last action
	
1.20.3
*1.20.3*	Responses to surveys requested by other government agencies.
	Destroy 2 years after last action	

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, guideline etc and the business activities of the organisation in general.  Includes following up enquiries relating to organizational programs, projects, working papers, literature searches etc.

Entry No.	Description of Records	Disposal action
	
1.21.1
*1.21.1*	Detailed research carried out to support the TAB operations function.
	Destroy 7 years after last action
	
1.21.2
*1.21.2*	Routine research carried out to support the TAB operations function.
	Destroy 2 years after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

Reviewing
The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems.  Includes recommendations and advice resulting from these activities.

Entry No.	Description of Records	Disposal action
	
1.22.1
*1.22.1*	Review of agency programs and operations.. Includes documents establishing the review, final report and action plan.
	Destroy 5 years after last action
	
1.22.2
*1.22.2*	Working papers documenting a review of agency programs and operations.
	Destroy 2 years after last action

Risk management
The process involving the identification or risks, the likelihood and consequences of those risks, and the implementation of appropriate practice and procedures to treat the risks.

Entry No.	Description of Records	Disposal action
	
1.23.1
*1.23.1*	Risk management documentation covering each stage of the process, treatment schedules and action plans.
	Destroy 7 years after last action
	
1.23.2
*1.23.2*	Risk registers 
	Destroy 7 years after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

Security
The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorized access.  Includes the security classification of personnel and criminal record checks.

Entry No.	Description of Records	Disposal action
	
1.24.1
*1.24.1*	Major security breaches or incidents (eg which result in the laying of charges, or where sabotage is strongly suspected). Includes:  break-ins; unauthorised access or entry/trespass; intrusions into restricted areas; hold-ups; intentional damage; bomb threats; records of investigations; liaison with law-enforcement agencies.
	Retain as Territory Archives
	
1.24.2
*1.24.2*	Minor security breaches or incidents  (eg which do not result in the laying of charges, or where sabotage is not suspected).	Destroy 5 years after last action

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

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
	
1.25.1
*1.25.1*	Signed contracts under seal resulting from tenders.	Destroy 12 years after completion or other termination of contract	
1.25.2
*1.25.2*	Records documenting the development and issue of tender documentation. Includes Statement of Requirements, Request for Proposals, Expression of Interest, Request for Tender (RFT) and draft contract.
	Destroy 7 years after tender process completed
	
1.25.3
*1.25.3*	Evaluation of tenders received against selection criteria. Includes records documenting arrangements for carrying out the evaluation process, evaluation report, recommendations, final report and public notices.
	Destroy 7 years after tender process completed.
	
1.25.4
*1.25.4*	Records documenting post-offer negotiations and due diligence checks.
	Destroy 7 years after completion or other termination of agreement or contract
	
1.25.5
*1.25.5*	Signed simple contracts and agreements resulting from tenders and supporting records.
	Destroy 7 years after last action
	
1.25.6
*1.25.6*	Tender register.
	Destroy 7 years after last entry
	
1.25.7
*1.25.7*	Contract register	Destroy 7 years after last entry
	
1.25.8
*1.25.8*	Records of unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued. Includes submissions, notification of outcome and reports on debriefing sessions.
	Destroy 2 years after tender process completed or decision made not to continue with the tender

TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results

Visits
The activities involved in arranging visits by other agencies, the public and students to the agency, with a view to inform, educate or promote the services, operation and role of the organisation.  Includes arranging visits by staff to other agencies.

Entry No.	Description of Records	Disposal action
	
1.26.1
*1.26.1*	Arrangements for visits made to the agency by other organisations.
	Destroy 5 years after last action
	
1.26.2
*1.26.2*	Visits by agency staff to other organisations both within Australia and overseas. Includes reports on the visit.
	Destroy 2 years after last action
	
1.26.3
*1.26.3*	Visitor books.
	Destroy 2 years after last action	

CLASSES FOR RETENTION AS TERRITORY ARCHIVES

Classes for retention as Territory Archives
TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results.

Advice
The activities associated with offering opinions by or to the organization as to an action or judgement.  Includes the process of advising.

Entry No.	Description of Records	Disposal action
	
1.1.1
*1.1.1*	Advice provided by the agency to the Chief Minister or portfolio Minister and government agencies on controversial public issues with far-reaching social, economic and international implications relating to the functional responsibilities of the agency. Includes advice provided in the form of: briefing notes (includes background briefs and Question Time Briefs); minutes providing advice to the Minister; Ministerial statements; Government responses to Inquiry recommendations; policy papers; minutes providing co-ordination comments; advice to other agencies.	Retain as Territory Archives

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

Entry No.	Description of Records	Disposal action
	
1.2.1
*1.2.1*	Final version of significant agreements with government and other bodies. Includes:  changes to the performance of statutory functions; those with implications for major liabilities or obligations for the agency.
	Retain as Territory Archives
	
1.2.2
*1.2.2*	Negotiations, establishment, maintenance and review of significant agreements.	Retain as Territory Archives	

Classes for retention as Territory Archives
TAB OPERATIONS
The function of managing the provision, conduct and operation of Totalizator bet types and betting facilities for races, sports betting events and Keno.  Includes telephone and internet account betting and account management, development of new products and the issue of race results.

Security
The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorized access.  Includes the security classification of personnel and criminal record checks.

Entry No.	Description of Records	Disposal action
	
1.24.1
*1.24.1*	Major security breaches or incidents (eg which result in the laying of charges, or where sabotage is strongly suspected). Includes:  break-ins; unauthorised access or entry/trespass; intrusions into restricted areas; hold-ups; intentional damage; bomb threats; records of investigations; liaison with law-enforcement agencies.	Retain as Territory Archives