Territory Records (Records Disposal Schedule – Territory Administrative Records Disposal Schedules - Compensation Records) Approval 2009 
(No 1)
Notifiable instrument NI2009—435
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 – Territory Administrative Records Disposal Schedules - Compensation Records) Approval 2009 (No 1)
2.	Approval
I approve the Records Disposal Schedule – Territory Administrative Records Disposal Schedules - Compensation Records.
3.	Commencement
This instrument commences on the day after notification.
4.	Revocation
I revoke Notifiable Instrument NI2003-262 notified 3 July 2003.

David Wardle
Director of Territory Records
8 September 2009

TARDiS

Territory Administrative Records
Disposal Schedules
Compensation Records

Disposal schedules for records of common administrative functions linked to the
Territory Version of Keyword AAA.

The Territory Records Office wishes to thank for their assistance, and acknowledge the permission of the National Archives of Australia in adapting the Commonwealth Administrative Functions Disposal Authority to create this document. The terms in the business classification scheme, taken from the Territory Version of Keyword AAA are produced under a licence agreement between the Territory Records Office and the State Records Authority of New South Wales.
Table of Contents
Background
Best Practice in Territory Recordkeeping
Territory records and the law
Purpose and Scope of the Territory Administrative Records Disposal Schedules
Purpose
Scope
Methodology
Records already sentenced under old disposal schedules
Agency Specific Records Disposal Schedules
Relationship of the Records Disposal Schedule to the Thesaurus
Diagram 1 – Class description
Diagram 2 - Model of disposal classes
Layout of the schedules
How to Sentence Records Using the Schedules
Diagram 3 - Procedures for Sentencing
Determine the appropriate administrative function/activity.
Determine the most likely disposal class in the Territory Administrative Records Disposal Schedules
Identify probable date of a disposal trigger event and calculate review date from that point. Or identify records to be retained as Territory Archives and determine a review date.
Special notes to the schedules
Establishment and personnel records
Normal administrative practice (NAP)
BUSINESS CLASSIFICATION SCHEME
COMPENSATION
RECORDS DISPOSAL SCHEDULE
COMPENSATION
Acquisition
Advice
Audit
Audit (Continued)
Authorisation
Case Management
Case Management (Continued)
Claims
Claims (Continued)
Committees
Compliance
Contracting out
Insurance
Meetings
Payments
Policy
Policy (Continued)
Procedures
Reviewing
Reviewing (Continued)
Tendering
Tendering (Continued)
RETAIN AS TERRITORY ARCHIVES
SCHEDULE OF AMENDMENTS – this information is provided for the assistance of users but does not form part of the Notifiable Instrument.

Background
The Territory Administrative Records Disposal Schedules (TARDiS) authorise the disposal of records, in whatever format, relating to common administrative functions carried out by most Territory agencies. The Schedules are issued in accordance with Section 19 of the Territory Records Act 2002. The Schedules have been developed using the methodologies of the Australian Standard AS IS0 15489, Records Management, and their functional structure is based on the business classification scheme Keyword AAA: A Thesaurus of General Terms produced by the State Records Authority of NSW. In 2001 the Territory Records Office purchased a whole-of-government licence for the Thesaurus for free distribution to all Territory agencies. The relationship between the Thesaurus and the Schedules is explained in this introduction. 
In compliance with the requirements of the Territory Records Act 2002, the TARDiS was reviewed in 2008/2009 and modified to reflect the results of the review and to support the whole-of-government paradigm. Modifications were made to the business classification scheme, to better suit the Territory environment, by adding or removing functions and/or activities and varying scope notes of some activities and functions. The updated business classification scheme is presented at the end of this introduction.
Best Practice in Territory Recordkeeping
The Australian Standard on Records Management AS ISO 15489 has been adopted as the model for best practice recordkeeping. It promotes consistent management of records and sets out strategies, procedures and practices to ensure that records which provide evidence of business, legal and fiscal activities are captured and managed in an efficient and accountable manner. The Territory Records Office has produced guidelines and standards based on AS ISO 15489 to assist agencies to implement these recordkeeping strategies. While AS ISO 15489 provides a strategic direction in Territory recordkeeping, the Territory Records Act 2002, and other key pieces of legislation, provides a legal framework for consistent and accountable recordkeeping practices.
Territory records and the law
The Territory Records Act 2002 applies to all records owned by the Territory. Territory records are defined in Section 9 of the Territory Records Act 2002 as being: 
‘a record, in written, electronic or any other form, under the control of the 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 are created and kept as evidence of agencies functions, activities and transactions and can be stored and managed in any format (e.g. paper, video, photograph, microfilm, on computer). Under Section 23 (1) of the Territory Records Act 2002 it is illegal to abandon or dispose of a record, transfer, damage a record or neglect a record in a way that causes, or is likely to cause, damage to a Territory record. However, an agency does not contravene this section by doing:
•	anything in accordance with the agency’s normal administrative practice;
•	anything authorised or required to be done under this Act, or a provision of another Act, or a subordinate law, prescribed under the regulations;
•	anything with the written approval of the Director of Territory Records or in accordance with a practice or procedure approved by the Director;
•	anything in accordance with a resolution of the Legislative Assembly; or
•	anything in accordance with an order or decision of a court or tribunal
The Territory Records Act 2002 also grants a right of free public access to records which survive for more than 20 years. Some records may not be open for public access if they contain material that is still sensitive. As well as the Territory Records Act 2002, other general legislation which also applies to keeping and using Territory records such as the Freedom of Information Act 1989. The access section of the Territory Records Act 2002 came into affect on 1 July 2008.
The Freedom of Information Act 1989 (FOI Act) provides a right of public access to, and correction of, Territory records. The Freedom of Information Act 1989 (FOI Act) sets out procedures and principles controlling the granting of this access. It states when and how records may be made available, corrected, updated or annotated. If a request for access under the Freedom of Information Act 1989 (FOI Act) has been lodged, all files relevant to the request must be identified and preserved until action on the request, and on any subsequent reviews, is completed.
Purpose and Scope of the Territory Administrative Records Disposal Schedules
Purpose
These Records Disposal Schedules allow the disposal of Territory records as required by Section 19 of the Territory Records Act 2002 and are issued for use across the Territory.
Scope
These Records Disposal Schedules cover the records relating to the common administrative functions performed by the Territory and its agencies. It applies to all records regardless of format. It covers the following 16 common administrative functions, listed by their identifying number, based on the Territory Version of Keyword AAA business classification scheme:
1.	COMMUNITY RELATIONS
2.	COMPENSATION
3.	EQUIPMENT & STORES
4.	ESTABLISHMENT
5.	FINANCIAL MANAGEMENT
6.	FLEET MANAGEMENT
7.	GOVERNMENT RELATIONS
8.	INDUSTRIAL RELATIONS
9.	INFORMATION MANAGEMENT
10.	LEGAL SERVICES
11.	OCCUPATIONAL HEALTH & SAFETY (OH&S)
12.	PERSONNEL
13.	PROPERTY MANAGEMENT
14.	PUBLICATION
16.	STRATEGIC MANAGEMENT
17.	TECHNOLOGY & TELECOMMUNICATIONS
More information on the 16 common administrative functions and the activities which relate to them is provided in the section on the Business Classification Schemes.
Methodology
These Records Disposal Schedules were produced after a detailed analysis of each administrative function carried out in the Territory. This included examining relevant legislation, regulations and directives from agencies which have ‘lead agency’ responsibilities for administering functions across portfolios. Consultations with stakeholders assisted in identifying recordkeeping requirements and risk analysis was used to assess how long the records should be retained. The appraisal also identified which records should be “Retained as Territory Archives” based on the objectives and criteria set out in Territory Records Office Standard for Records Management No.2 – Appraisal.
Some functions and activities covered in these Records Disposal Schedules will also be part of an agency’s core functions. In these circumstances agencies may use the Schedule whose functional term best describes their own administrative responsibility where it meets their business needs.
Records already sentenced under old disposal schedules
After 1 July 2003, sentencing activities undertaken by an agency must use these Records Disposal Schedules for disposing of all common administrative records. If records have already been sentenced for destruction before the issue of these Records Disposal Schedules, the sentences may remain and agencies need not re-sentence those records.
Agency Specific Records Disposal Schedules
Operational-specific Records Disposal Schedules must be developed for records relating to business activities carried out by agencies to support core functional responsibilities not covered by these Schedules.
Relationship of the Records Disposal Schedule to the Thesaurus
The whole-of-government functional analysis approach cuts across departments and organisational structures, with functions not just seen as belonging to those agencies and areas in an agency which may have prime responsibility for their administration. For example, training may be managed at an organisational level by the Human Resource area of an agency, but it is probable that most business areas would carry out activities to support the planning of staff training and development requirements for their own employees. Other agencies may also have an operational responsibility to provide training and can use the activity term Training in their own classification schemes.
The outcome of the functional analysis is the business classification scheme which is hierarchical and based on the following three levels:
1.	The business function.
2.	The activities constituting the function.
3.	Further refinements of the activities or groups of transactions which take place within each activity.
According to the classification model of the Territory Version of Keyword AAA:
•	functions represent broad business functions of an agency;
•	activity descriptors describe the more specific activities taking place within those functions; and
•	subject descriptors are added as a means of describing the more specific subjects or topics relating to the matter to be documented within an activity
In these Records Disposal Schedules the first two levels of the Territory Version of Keyword AAA structure have been used: the function and activity levels. The records description covers the third level transactions if they have been identified in the analysis of the function. The class description comprises four components: the function and the activity with their scope notes, the description of the records and the disposal action.
Diagram 1 shows this relationship.

Diagram 1 – Class description
Diagram 2 shows the relationship between the different disposal classes. Each unique function/activity pair can have one or many records descriptions and disposal actions.

Diagram 2 - Model of disposal classes
Sometimes one class description can look the same as another but have a different retention period. This is because a record’s value depends on the context of the functions and activity. For example, the activity ‘Policy’ in FLEET MANAGEMENT is less important than ‘Policy’ in STRATEGIC MANAGEMENT.
Layout of the schedules
These Records Disposal Schedules are divided into sections. They begin with an introduction incorporating a glossary and the business classification scheme. Then the function and activity disposal sets or ‘disposal classes’ relating to one of the 16 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. Specific directions relating to Territory use of a function have occasionally been added to the Territory Version of Keyword AAA scope note.	
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 (e.g. the activity ‘Distribution’ is linked to the functions EQUIPMENT & STORES, INFORMATION MANAGEMENT and PUBLICATION). 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.	
‘For’ Statements	‘For’ statements provide guidance on the inter-related links to other function and activity sets. ‘For’ statements positioned under the activity scope note belong to the particular function/activity set and all the records descriptions. The ‘For’ statements underneath a particular description relate to that record description alone.	
How to Sentence Records Using the Schedules
Sentencing is the process of identifying and classifying records according to a Records Disposal Schedule and applying the disposal action specified in it. In Diagram 2 an overview is presented of sentencing procedures that can be used for:
•	records titled using the Territory Version of Keyword AAA terms and sentenced from creation using this linked Territory Administrative Records Disposal Schedules;
•	records titled using the Territory Version of Keyword AAA terms but not sentenced from creation; and
•	records where the Territory Version of Keyword AAA terms have not been used
These Records Disposal Schedules can be used on all active and inactive records.
Sentencing from creation is the process of allocating a disposal action at the point of creating a record. This means adding the disposal class number to a paper file or to the metadata attached to an electronic record. If you plan to introduce sentencing from creation in your agency you will also need strategies to manage this process. For example, you will need to resolve who will be responsible for making the disposal decisions, either a central records management unit or action officers. If it is to be the individual action officers, the agency will need to consider training requirements and make sure that responsibilities are clearly defined and allocated. Training should include familiarisation with the scope notes of the 16 functions detailed in theses Schedules (see the Business Classification Schemes). Diagram 3 shows steps that can be followed to sentence all records using these Schedules.

Diagram 3 - Procedures for Sentencing
Determine the appropriate administrative function/activity.
•	Using the Territory Version of Keyword AAA and/or these Records Disposal Schedules, determine the appropriate administrative function and activity either to sentence a record from creation, or to link the terms to a record created not using these tools.
•	Read the scope notes thoroughly rather than just depend on what is considered to be an appropriate term based on the title of the function and activity.
•	Note that most activities are generic and can be linked to many functions, with the scope notes reflecting this multi-function relationship and functions providing the context of the activities. For example, the scope note for the activity ‘Arrangements’ reads: 
‘The activities involved in arranging for a journey or trip or for the delivery of equipment or goods and the usage made of facilities, vehicles, equipment and space.  Includes preparing travel itineraries, authorisations, entitlements, etc.’
This activity descriptor is linked to the functions COMMUNITY RELATIONS; EQUIPMENT AND STORES; FLEET MANAGEMENT; PERSONNEL and PROPERTY MANAGEMENT. The activity scope note uses words relating to the different aspects of each function.
•	There are occasions when the activity scope note describes a transaction which is also raised to the level of an independent activity in the Business Classification Scheme. For example, the scope note for the activity ‘Customer Service’ reads ‘The activities associated with the planning, monitoring and evaluation of services provided to customers by the agency’ but Planning’ and ‘Evaluation’ are also both separate activity terms in the scheme. In such instances the individual activities ‘Planning’ and ‘Evaluation’ should not be used for records documenting the ‘Customer Service’ activity. As a general rule, where there is overlap in activity boundaries, sentencing should be done on the whole activity rather than components of the activity scope.
•	If records to be sentenced have not been titled using the Territory Version of Keyword AAA but an agency uses a classification scheme, then a mapping exercise may assist in linking the agency’s terms to the 16 functional terms. For example, ‘People Management’ could be linked to ‘Personnel Management’; and ‘Human Resource Management’ may be linked to ‘PERSONNEL’ ‘and ‘COMPENSATION’.
•	Free text titling will usually have a word(s) that should give some indication of the function. For example, in the free text title ‘Request for Purchase of Laptops’, ‘purchase’ indicates the activity ‘Acquisition’ and ‘laptops’ the ‘TECHNOLOGY’ & TELECOMMUNICATIONS function.
Determine the most likely disposal class in the Territory Administrative Records Disposal Schedules
•	Examine the activities and the classes available in the Schedules under the relevant function.
To assist with good file management, records documenting the same set of transactions have often been divided into two classes: the key documents, and the general working and administrative records. Often the two classes will have the same retention period, which indicates that the supporting documentation is expected to provide important contextual information to manage the business activity. In such instances it is still recommended that the records be kept on two files (either ‘paper’ files or electronic ‘containers’) to facilitate retrieval. If an agency decides to raise only one file containing all records, the highest retention period should be used. Agencies may also wish to place all records relating to a function/activity set on one file rather than break them into transaction sets reflected in the ‘Description of Records’.  Again, if this decision is made, the highest retention period should be allocated and the appropriate entry number used.
•	In sentencing records not titled according to the Territory Version of Keyword AAA, or where the initial classification is no longer appropriate, many functions and activities may be found on the one record. In such instances records should not be culled or rearranged; rather, nominate the highest retention period for all functions and activities included.
Identify probable date of a disposal trigger event and calculate review date from that point. Or identify records to be retained as Territory Archives and determine a review date.
•	A trigger is the point from which the disposal action is calculated.
Some trigger dates may be easily identified (e.g. date of separation), but others will be more complex, and it may be necessary to consult the action area or creating officer for advice (e.g. ‘destroy 5 years after policy is superseded’ or ‘destroy when action completed’). The consultation may provide you with a likely trigger date or assist with a risk assessment to determine a reasonable period.
Some of the triggers in the Schedules include:
•	when action is completed
•	the last action
•	the last entry
•	the date the next risk assessment occurs
•	an event (e.g. when property is sold; when separation occurs)
•	A review date should be added to the record and noted in the control system (e.g. TARDiS 017.010.004 R2013, to note that disposal class entry number TARDiS 017.010.004 has been allocated to this record and that it should be reviewed in 2013).
•	Where sentencing is carried out from creation, an agency may choose to allocate a review period for all records and not attempt to determine a review date for each record at the time of creation (e.g. review all records after 5 years). In such cases the disposal class entry number (e.g. TARDiS 017.010.004 R2013) should be noted on the record and the control system.
•	When the review is undertaken, the event or date the trigger is based on may have passed. If this has occurred, the disposal action may be implemented.
•	For some inactive records this step may finalise the process, as the trigger date may have been met and the calculated disposal date passed. If this is the case then the final disposal date can be entered on the record and the control records (e.g. TARDiS 017.010.004 D2013 where D refers to the final disposal date).
•	It should be noted that the retention periods in the Schedules are only minimum requirements.
If these periods are too short to meet an agency’s particular business requirements, they should be adjusted accordingly.
On the review date, examine records asking the question: ‘Has the disposal trigger event occurred?’
•	For a sentence allocated from creation this may be some years hence, or it may be a shorter time frame for records already in existence.
If the answer is NO, revise probable trigger date and recalculate a review date
•	If on review it is determined that the trigger point has not occurred, then the review date should be recalculated and altered on the record and control system.
If the answer is YES, confirm the disposal decision and update the control records
•	If on review it is determined that the trigger point has been reached, the disposal decision should be confirmed, taking into account any change that may have occurred in the nature of the record since the allocation of the review date. The disposal date should then be entered on the record and in the control system )e.g. TARDiS 017.010.004, D2013). If the nature of the record has changed, the record should be re-sentenced with a new review date.
•	Records which relate to any exempt clauses under Section 28 of the Territory Records Act 2002, or are subject to a request for access under the Freedom of Information Act 1989, the Territory Records Act 2002 or any other Act should not be destroyed until the action has been completed.

Special notes to the schedules
Establishment and personnel records
A number of agencies manage their establishment structures and employ staff under their own enabling legislation rather than the Public Sector Management Act 1994. Such agencies are not excluded from using the sections of the Schedules relating to the ESTABLISHMENT and PERSONNEL functions, but before doing so should check their own enabling legislation and other regulatory directives for major variations in scope and requirements. In cases where the variations are great, these Schedules are not applicable. Coverage in such circumstances must be included under operational Records Disposal Schedules.  Where there is doubt if these schedules cover ESTABLISHMENT or PERSONNEL records contact the Territory Records Office for advice.
Normal administrative practice (NAP)
Some records may be destroyed without records disposal coverage under the ‘normal administrative practice’ (NAP) provisions of the Territory Records Act 2002. Records can be disposed of as a normal administrative practice if they are:
•	duplicate (e.g. an information copy)
•	obviously unimportant (e.g. telephone message slips)
•	of short term facilitative value (e.g. compliment slips)
•	a combination of these
The guiding principle is that agencies should always be sure that destroying the record will not destroy evidence that might be needed. Records that have been captured into a recordkeeping system should not be destroyed as NAP unless the reason for their destruction is recorded in full on the relevant control records. NAP can apply to electronic records as well as paper records (e.g. information on word processing systems where a hard copy has been captured into a recordkeeping system). It is designed to allow for sensible business practices. Further information on NAP can be obtained from the Territory Records Office Records Advice No.2- Normal administrative practice (NAP).

BUSINESS CLASSIFICATION SCHEME
COMPENSATION
The function of providing compensation to personnel and visitors injured while proceeding to or from work, during working hours or on the agency's premises. Includes the rehabilitation of injured workers claiming compensation and compensation for damage to property where such damage is claimed as the agency's responsibility.
Acquisition
The process of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions.
Advice
The activities associated with offering opinions as to an action or judgement. Includes the process of advising.
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 an agency, company or other organisation 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.
Case Management
The activity of managing an incident, person, organisation or client, on a case basis. Case management incorporates the process of assessment, planning, facilitation and advocacy for options and services to meet an individual's, organisation's or client's needs or outcomes. Includes processing of applications; authorisations and approvals; the establishment of a client; developing, implementing and monitoring case plans; the ongoing delivery and provision of services; finalisation of services and reviews of service delivery.
Claims
The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property.
Committees
The activities associated with the establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agendas, etc. of committees and task forces.
Compliance
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements. 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.
Insurance
The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the agency's premises or whilst engaged during employment.
Meetings
The activities associated with regular or ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the function. Includes staff meetings, arrangements, agenda, taking of minutes, etc. Excludes committee meetings.
Payments
The activities involved in the preparation and payment of money.
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.
Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Reviewing
The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.
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
COMPENSATION
The function of providing compensation to personnel and visitors injured while proceeding to or from work, during working hours or on the agency's premises. Includes the rehabilitation of injured workers claiming compensation and compensation for damage to property where such damage is claimed as the agency's responsibility.
[For accident reports covering deaths, serious personal injury, incapacity and dangerous occurrences for both employees and members of the public, use OCCUPATIONAL HEALTH & SAFETY (OH&S) - Accidents.
For accident reports submitted where an employee also submits a compensation claim, use COMPENSATION - Case Management.
For accident reports submitted by an employee but where there is no compensation claim submitted, use PERSONNEL - Accident.
For accident reports submitted by members of the public where a compensation claim is lodged, use COMPENSATION - Claims.
For accident reports submitted by members of the public where there is no claim made for compensation, use OCCUPATIONAL HEALTH & SAFETY (OH&S) - Accidents.
For agreements relating to the settlement of compensation cases, use LEGAL SERVICES - Agreements.]
Acquisition
The process of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions.

Entry No.	Description of Records	Disposal Action	
002.003.001	Records documenting the acquisition of services to support the compensation function (e.g. employment of rehabilitation providers and case managers).
[For the acquisition of services through a tender process, use COMPENSATION - Tendering.
For the management of contracted out services, use COMPENSATION - Contracting out.
For managing financial transactions supporting acquisition activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments.]	Destroy 7 years after action completed	
*002.003.001*			
Advice
The activities associated with offering opinions as to an action or judgement. Includes the process of advising.

Entry No.	Description of Records	Disposal Action	
002.005.001	Records documenting the receipt and provision of general advice to agency managers, employees and members of the public on the compensation function. Includes the distribution of advice received from the lead agency responsible for the compensation function in the Territory.
[For the provision of advice to an employee or member of the public relating to a specific compensation case, use COMPENSATION - Case Management.
For legal advice obtained on the management of specific cases, use LEGAL SERVICES - Advice.]	Destroy 2 years after action completed	
*002.005.001*			
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 an agency, company or other organisation 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	
002.013.001	Final internal and external audit reports relating to the compensation function. Includes the final reports from audits conducted by the ACT Auditor General's Office.	Destroy 5 years after action completed	
*002.0013.001*			
Audit (Continued)
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 an agency, company or other organisation 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	
002.013.002	Records documenting the planning and conduct of internal and external audits relating to the compensation function. Includes:
•	liaison with the auditing body
•	notes taken at opening and exit interviews
•	draft reports
•	comments.	Destroy 5 years after action completed	
*002.013.002*			
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	
002.014.001	Delegations of power to agency staff to authorise administrative action relating to the compensation function.	Destroy 7 years after delegation expires	
*002.014.001*			
002.014.002	Authorisations for administrative action supporting the compensation function.	Destroy 7 years after action completed	
*002.014.002*			
002.014.003	Records documenting the delegation of power to the agency to make determinations on compensation claims.	Destroy 2 years after delegation expires	
*002.014.003*			
002.014.004	Records documenting the granting of licences to agencies to self-insure and/or manage their workers' compensation liabilities.	Destroy 1 year after licence expires	
*002.014.004*			
Case Management
The activity of managing an incident, person, organisation or client, on a case basis. Case management incorporates the process of assessment, planning, facilitation and advocacy for options and services to meet an individual's, organisation's or client's needs or outcomes. Includes processing of applications; authorisations and approvals; the establishment of a client; developing, implementing and monitoring case plans; the ongoing delivery and provision of services; finalisation of services and reviews of service delivery.
[For reviews of actions taken by the agency, use COMPENSATION - Reviews (decisions).
For records relating to claims made by public visitors, use COMPENSATION - Claims.]

Entry No.	Description of Records	Disposal Action	
002.016.001	Cases where a compensation claim has been submitted for personal injury, death, or loss or damage to personal property of the employee. Covers claims made under the Workers Compensation Act 1951 and previous legislation. Includes:
•	accident reports and associated papers such as witness statements
•	claims
•	determinations
•	correspondence and notes of meeting and conversations with the lead agency
•	correspondence and notes on meetings or conversations with claimant
•	appointments of a case manager or rehabilitation provider
•	individual employee's return to work plan
•	progress reports
•	assessment reports
•	medical reports and certificates
•	claim reviews
•	appeal records (including reconsideration and appeals to ACT Civil and Administrative Tribunal)
•	appeal records relating to appeals
[Class continued]	Destroy 7 years after action completed	
*002.016.001*			
Case Management (Continued)
The activity of managing an incident, person, organisation or client, on a case basis. Case management incorporates the process of assessment, planning, facilitation and advocacy for options and services to meet an individual's, organisation's or client's needs or outcomes. Includes processing of applications; authorisations and approvals; the establishment of a client; developing, implementing and monitoring case plans; the ongoing delivery and provision of services; finalisation of services and reviews of service delivery.
[For reviews of actions taken by the agency, use COMPENSATION - Reviews (decisions).
For records relating to claims made by public visitors, use COMPENSATION - Claims.]

Entry No.	Description of Records	Disposal Action	
	•	lodged against any aspect of management of a compensation case
•	agreements entered into by the parties
•	legal records documenting any legal advice received and action taken in relation to the case.		
Claims
The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property.

Entry No.	Description of Records	Disposal Action	
002.019.001	Records documenting claims for compensation submitted by members of the public managed by an external insurance provider.
[For accident reports detailing accidents/incidents by members of the public, use OCCUPATIONAL HEALTH & SAFETY (OH&S) - Accidents.
For a claim submitted for compensation by an employee, use COMPENSATION - Case Management.]	Destroy 7 years after finalisation or withdrawal of claim	
*002.019.001*			
Claims (Continued)
The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property.

Entry No.	Description of Records	Disposal Action	
002.019.002	Copies of claim reports submitted to the agency's central office for action or where claims are determined by the lead agency and are held separately to the agency case file.	Destroy 6 months after last action	
*002.019.002*			
Committees
The activities associated with the establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agendas, etc. of committees and task forces.

Entry No.	Description of Records	Disposal Action	
002.020.001	Records of internal and external committees formed to consider matters relating to the compensation function. Includes:
•	documents establishing the committee
•	final versions of minutes
•	reports
•	recommendations
•	supporting documents such as briefing papers and discussion papers.	Destroy 3 years after action completed	
*002.020.001*			
002.020.002	Working papers documenting the conduct and administration of committees which consider matters relating to the compensation function. Includes:
•	agendas
•	notices of meetings
•	draft minutes.	Destroy 6 months after last action	
*002.020.002*			
Compliance
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

Entry No.	Description of Records	Disposal Action	
002.021.001	Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the compensation function.	Destroy 7 years after action completed	
*002.021.001*			
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	
002.025.001	Records documenting contract management relating to the compensation function (e.g. for case managers and rehabilitation providers). Includes:
•	minutes of meetings with main stakeholders
•	performance and evaluation reports.	Destroy 7 years after completion or other termination of agreement or contract	
*002.025.001*			
Insurance
The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the agency's premises or whilst engaged during employment.
[For compensation claims made by employees, use COMPENSATION - Case Management.
For compensation claims made by members of the public, use COMPENSATION - Claims.
For managing financial transactions supporting insurance activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments.]

Entry No.	Description of Records	Disposal Action	
002.059.001	Records documenting annual renewals and the management of premium payments. Includes: 
•	salary statements
•	advice on premiums payable
•	any review of premiums levied by an insurance provider.	Destroy 10 years after action completed	
*002.059.001*			
002.059.002	Compensation insurance policies.	Destroy 1 year after action completed	
*002.059.002*			
Meetings
The activities associated with regular or ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the function. Includes staff meetings, arrangements, agenda, taking of minutes, etc. Excludes committee meetings.

Entry No.	Description of Records	Disposal Action	
002.072.001	Final versions of minutes and supporting documents tabled at meetings held to support the compensation function. Includes meetings with external agencies.	Destroy 5 years after action completed	
*002.072.001*			
002.072.002	Working papers documenting the conduct and administration of meetings to support the compensation function. Includes:
•	agendas
•	notices of meetings
•	draft minutes.	Destroy 6 months after last action	
*002.072.002*			
Payments
The activities involved in the preparation and payment of money.

Entry No.	Description of Records	Disposal Action	
002.077.001	Records documenting the managing of payments for any compensation activity.
[For managing financial transactions supporting payment activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments.]	Destroy 7 years after action completed	
*002.077.001*			
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.

Entry No.	Description of Records	Disposal Action	
002.080.001	Records documenting the development, establishment and review of the agency's compensation policies, including an agency's return to work policy. Includes:
•	policy proposals
•	research papers
•	results of consultations
•	supporting reports
•	major drafts
•	final policy documents.	Destroy 5 years after policy is superseded	
*002.080.001*			
002.080.002	Records documenting comments made on the development of government-wide compensation policies.
[For the development of government-wide compensation policies, use WORKPLACE SAFETY POLICY - Policy.]	Destroy 3 years after promulgation of new policy	
*002.080.002*			
002.080.003	Working papers documenting the development of all agency compensation policies.	Destroy 3 years after promulgation of new policy	
*002.080.003*			
Policy (Continued)
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.

Entry No.	Description of Records	Disposal Action	
002.080.004	Copies of agency policy documents and supporting papers.	Destroy 6 months after last action	
*002.080.004*			
Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
002.082.001	Master set of agency manuals, handbooks, directives etc detailing procedures supporting the compensation function. Includes procedures supporting the return to work process.	Destroy 5 years after procedures are superseded	
*002.082.001*			
002.082.002	Records documenting the development of agency procedures supporting the compensation function.	Destroy 1 year after production of procedures	
*002.082.002*			
002.082.003	Copies of manuals, handbooks, directives, etc.	Destroy 6 months after last action	
*002.082.003*			
Reviewing
The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.
[For reviewing a compensation case, use COMPENSATION - Case Management.]

Entry No.	Description of Records	Disposal Action	
002.093.001	Records documenting a review of agency programs and operations supporting the compensation function. Includes:
•	documents establishing the review
•	final reports
•	action plans.	Destroy 5 years after action completed	
*002.093.001*			

Reviewing (Continued)
The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.
[For reviewing a compensation case, use COMPENSATION - Case Management.]

Entry No.	Description of Records	Disposal Action	
002.093.002	Working papers documenting a review of agency programs and operations supporting the compensation function.	Destroy 2 years after action completed	
*002.093.002*			
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	
002.104.001	Signed contracts under seal resulting from tenders and supporting records.	Destroy 12 years after completion or other termination of agreement or contract	
*002.104.001*			
002.104.002	Records documenting the development and issue of tender documentation. Includes: 
•	statements of requirements
•	requests for proposals
•	expressions of interest
•	requests for tender (RFT) 
•	draft contracts.	Destroy 7 years after tender process completed	
*002.104.002*			
002.104.003	Evaluation of tenders received against selection criteria. Includes: 
•	records documenting arrangements for carrying out the evaluation process
•	evaluation reports
•	recommendations
•	final reports
•	public notices.	Destroy 7 years after tender process completed	
*002.104.003*			
Tendering (Continued)
The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services.

Entry No.	Description of Records	Disposal Action	
002.104.005	Tender registers.	Destroy 7 years after last entry	
*002.104.005*			
002.104.004	Records documenting post-offer negotiations and due diligence checks.	Destroy 7 years after tender process completed	
*002.104.004*			
002.104.006	Signed simple contracts and agreements resulting from tenders and supporting records.	Destroy 7 years after completion or other termination of agreement or contract	
*002.104.006*			
002.104.007	Contract registers.	Destroy 7 years after last entry	
*002.104.007*			
002.104.008	Records of unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued. Includes: 
•	submissions
•	notifications of outcome
•	reports on debriefing sessions.	Destroy 2 years after tender process completed or decision made not to continue with the tender	
*002.104.008a*			

RETAIN AS TERRITORY ARCHIVES
There are currently no Retain as Territory Archives classes under Compensation.

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

Changes to TARDiS	Dated	July 2009	
New Features (Insertions)	
FUNCTION	Activity	Entry no.	Description	
Compensation	Case Management		New activity.	
	Case Management	002.016.001	New class.	

Enhancements (Changes)	
FUNCTION	Activity	Entry no.	Description	
Compensation	All	All	Classes renumbered.	
Compensation			Scope note changed.  Classification and sentencing guides added to scope note.	
	Advice		Scope note changed.	
	Advice	002.005.001	Classification and sentencing guide changed.	
	Authorisation	002.014.001	Class renumbered	
	Authorisation	002.014.002	Class renumbered	
	Authorisation	002.014.003	Class renumbered	
	Claims	002.019.001	Classification and sentencing guide changed.	
	Claims	002.019.002	Disposal action changed.	
	Committees	002.020.002	Disposal action changed.	
	Compliance		Scope note changed.	
	Insurance		Classification and sentencing guides added to scope note.	
	Insurance	002.059.001	Class renumbered	
	Insurance	002.059.002	Class renumbered	
	Meetings		Scope note changed.	
	Meetings	002.072.002	Disposal action changed.	
	Policy		Scope note changed.	
	Policy	002.080.002	Classification and sentencing guides added to class description.	
	Policy	002.080.004	Disposal action changed.	
	Procedures	002.082.003	Disposal action changed.	
	Reviewing		Classification and sentencing guide changed.	
	Tendering	All	Classes renumbered.	

Corrections (Deletions)	
FUNCTION	Activity	Entry no.	Description	
Compensation	Accidents	N/A	Removed	
	Agreements	N/A	Removed	
	Appeals (decisions)	N/A	Removed	
	Cases	002.016.001	Removed	
	Leave	N/A	Removed	
	Rehabilitation	N/A	Removed	
Staff Development	All	All	Removed