Australian Capital Territory
Territory Records (Records Disposal Schedule – Territory Administrative Records Disposal Schedules - Establishment Records) Approval 2009 
(No 1)
Notifiable instrument NI2009—437
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 - Establishment Records) Approval 2009 (No 1)
2.	Approval
I approve the Records Disposal Schedule – Territory Administrative Records Disposal Schedules - Establishment 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
Establishment 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
ESTABLISHMENT
RECORDS DISPOSAL SCHEDULE
ESTABLISHMENT
Advice
Audit
Authorisation
Committees
Evaluation
Meetings
Planning
Planning (Continued)
Policy
Policy (Continued)
Procedures
Reporting
Restructuring
Restructuring (Continued)
Reviewing
Reviewing (Continued)
Vacancies
Variations
Variations (Continued)
RETAIN AS TERRITORY ARCHIVES
ESTABLISHMENT
Restructuring
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 provides a right of public access to, and correction of, Territory records. The Freedom of Information Act 1989 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 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 017.0010.004 R2013 to note that disposal class entry number TARDiS 017.0010.004 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 017.0010.004 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 017.0010.004 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 017.0010.004, 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
ESTABLISHMENT
The function of establishing and changing the organisational structure. Including moving employees from one agency to another and reducing and increasing an agency's staffing levels. Also includes internal reorganisations to meet agency goals.
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.
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.
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.
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.
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.
Procedures
Standard methods of operating laid down by the agency according to formulated policy.
Reporting
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies, regulation, or legislation, e.g. Annual Report). Includes statistics and returns.
Restructuring
The activities involved in reassessing the activities, goals and structure of an agency. Includes consideration of the number of staff, their position descriptions, equipment and other resources required to meet objectives.
Reviewing
The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.
Vacancies
The activities associated with managing positions in the agency that are currently unoccupied.
Variations
The activities involved in varying the agency's condition, character or nature of processes and other things that are not physical objects. Includes creating and abolishing individual positions.

RECORDS DISPOSAL SCHEDULE
ESTABLISHMENT
The function of establishing and changing the organisational structure. Including moving employees from one agency to another and reducing and increasing an agency's staffing levels. Also includes internal reorganisations to meet agency goals.
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	
004.005.001	Records documenting the receipt and provision of advice on the establishment function.	Destroy 2 years after action completed	
*004.005.001*			
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	
004.013.001	Final internal and external audit reports relating to the establishment function. Includes the final reports from audits conducted by the ACT Auditor General's Office.	Destroy 5 years after action completed	
*004.013.001*			
004.013.002	Records documenting the planning and conduct of internal and external audits relating to the establishment function. Includes:
•	liaison with the auditing body
•	notes taken at opening and exit interviews
•	draft reports
•	comments.	Destroy 5 years after action completed	
*004.013.002*			
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	
004.014.001	Delegations of power to agency staff to authorise administrative action relating to the establishment function.	Destroy 7 years after delegation expires	
*004.014.001*			
004.014.002	Authorisations for administrative actions relating to the establishment function.	Destroy 7 years after action completed	
*004.014.002*			
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.
[For records of high-level corporate committees responsible for the overall strategic directions of an agency, including establishment structures, use STRATEGIC MANAGEMENT - Committees or CORPORATE GOVERNANCE - Committees.]

Entry No.	Description of Records	Disposal Action	
004.020.001	Records of internal and external committees formed to consider matters relating to the establishment function. Includes:
•	documents establishing the committee
•	final versions of minutes
•	reports
•	recommendations
•	supporting documents such as briefing papers and discussion papers.	Destroy 5 years after action completed	
*004.020.001*			
004.020.002	Working papers documenting the conduct and administration of committees which consider matters relating to the establishment function. Includes:
•	agendas
•	notices of meetings
•	draft minutes.	Destroy 6 months after last action	
*004.020.002*			

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	
004.042.001	Records documenting the evaluation of positions and assigned duties of employees against existing or planned organisational structures to support corporate requirements and resource needs.	Destroy 5 years after action completed	
*004.042.001*			
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	
004.072.001	Final version of minutes and supporting documents tabled at meetings held to support the establishment function. Includes meetings with external agencies.	Destroy 3 years after action completed	
*004.072.001*			
004.072.002	Working papers documenting the conduct and administration of meetings held to support the establishment function. Includes:
•	agendas
•	notices of meetings
•	draft minutes.	Destroy 6 months after last action	
*004.072.002*			
Planning
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.
[For corporate plans that include the establishment structure of the agency, use STRATEGIC MANAGEMENT - Planning.]

Entry No.	Description of Records	Disposal Action	
004.079.001	Final versions of agency-wide establishment plans.	Destroy 10 years after plan is superseded	
*004.079.001*			
Planning (Continued)
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.
[For corporate plans that include the establishment structure of the agency, use STRATEGIC MANAGEMENT - Planning.]

Entry No.	Description of Records	Disposal Action	
004.079.002	Final versions of a section or business unit's establishment plans, including state, regional or overseas office.	Destroy 3 years after plan is superseded	
*004.079.002*			
004.079.003	Working papers used in developing all establishment plans. Includes: 
•	draft plans
•	reports analysing issues
•	comments received and input made by other areas of the agency.	Destroy 1 year after adoption of final plan	
*004.079.003*			
004.079.004	Copies of all establishment plans.	Destroy 6 months after last action	
*004.079.004*			
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	
004.080.001	Records documenting the development and establishment of the agency's establishment policies. Includes:
•	policy proposals
•	research papers
•	results of consultations
•	supporting reports
•	major drafts
•	final policy documents.	Destroy 10 years after policy is superseded	
*004.080.001*			
004.080.002	Records documenting comments made on the development of government-wide establishment policies.	Destroy 3 years after promulgation of new policy	
*004.080.002*			
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	
004.080.003	Working papers documenting the development of all establishment policies.	Destroy 3 years after promulgation of new policy	
*004.080.003*			
004.080.004	Copies of policy documents and supporting papers.	Destroy 6 months after last action	
*004.080.004*			
Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
004.082.001	Records documenting the development of agency procedures supporting the establishment function.	Destroy 1 year after production of procedures	
*004.082.001*			
004.082.002	Copies of manuals, handbooks, directives etc.	Destroy 6 months after last action	
*004.082.002*			
004.082.003	Master set of agency manuals, handbooks, directives etc detailing procedures supporting the establishment function.	Destroy 6 months after procedures are superseded	
*004.082.003*			
Reporting
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies, regulation, or legislation, e.g. Annual Report). Includes statistics and returns.
Note: Reports resulting from a routine activity (e.g. inspection reports) form part of that activity, i.e. reports resulting from an inspection are part of the inspection and not the activity of Reporting. Reports of these types should be classified as part of the greater activity generating the report.

Entry No.	Description of Records	Disposal Action	
004.088.001	Final versions of formal internal reports and reports made to external agencies relating to the establishment function.	Destroy 5 years after report is completed	
*004.088.001*			
004.088.002	Final versions of periodic reports on general administrative matters used to monitor and document recurring activities to support the establishment function.	Destroy 3 years after report is completed	
*004.088.002*			
004.088.003	Working papers documenting the development of all reports. Includes drafts and comments received.	Destroy 1 year after report is completed	
*004.088.003*			
004.088.004	Copies of establishment reports.	Destroy 6 months after last action	
*004.088.004*			
Restructuring
The activities involved in reassessing the activities, goals and structure of an agency. Includes consideration of the number of staff, their position descriptions, equipment and other resources required to meet objectives.

Entry No.	Description of Records	Disposal Action	
004.092.001	Agency-wide organisational charts produced after major restructure (e.g. a machinery of government change or an extensive internal restructure held by the area of the agency responsible for the establishment function).	Retain as Territory Archives	
*004.092.001*			
Restructuring (Continued)
The activities involved in reassessing the activities, goals and structure of an agency. Includes consideration of the number of staff, their position descriptions, equipment and other resources required to meet objectives.

Entry No.	Description of Records	Disposal Action	
004.092.002	Records documenting the establishment and development of a new agency structure. Includes:
•	copies of instruments giving effect to the machinery of government changes and details provided to facilitate administrative rearrangements relating to the transfer of functions and employees to other agencies
•	records documenting an internal restructure.
[For agreements between transferred employees and the receiving agency relating to remuneration and conditions of employment, use PERSONNEL - Agreements.]	Destroy 10 years after action completed	
*004.092.002*			
004.092.003	Records documenting agency adoption of new work level standards.	Destroy 7 years after standards are superseded	
*004.092.003*			
004.092.004	Copies of agency-wide organisation charts held in other areas of the agency, or charts showing lower levels of the organisation.	Destroy 6 months after last action	
*004.092.004*			
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	
004.093.001	Records documenting a review and reassessment of agency organisational structures against identified corporate requirements.	Destroy 10 years after action completed	
*004.093.001*			
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.

Entry No.	Description of Records	Disposal Action	
004.093.002	Records documenting a review of agency programs and operations supporting the establishment function. Includes:
•	documents establishing the review
•	final reports
•	action plans.	Destroy 5 years after action completed	
*004.093.002*			
004.093.003	Working papers supporting the conduct of an agency review.	Destroy 2 years after action completed	
*004.093.003*			
Vacancies
The activities associated with managing positions in the agency that are currently unoccupied.

Entry No.	Description of Records	Disposal Action	
004.107.001	Records documenting the management of vacancies.	Destroy 1 year after action completed	
*004.107.1*			
Variations
The activities involved in varying the agency's condition, character or nature of processes and other things that are not physical objects. Includes creating and abolishing individual positions.
[For the assignment of duties to individual employees, use PERSONNEL - Employment Conditions.]

Entry No.	Description of Records	Disposal Action	
004.108.001	Records documenting the creation, variation, abolition, transfer or reclassification of positions and assigned duties. Includes: 
•	authorised establishment variation authorities
•	position profiles
•	selection criteria.	Destroy 7 years after position or assigned duties have been abolished or altered	
*004.108.001*			
Variations (Continued)
The activities involved in varying the agency's condition, character or nature of processes and other things that are not physical objects. Includes creating and abolishing individual positions.
[For the assignment of duties to individual employees, use PERSONNEL - Employment Conditions.]

Entry No.	Description of Records	Disposal Action	
004.108.002	Applications to vary positions and assigned duties not approved or proceeded with.	Destroy 3 years after action completed	
*004.108.002*			

RETAIN AS TERRITORY ARCHIVES
ESTABLISHMENT
The function of establishing and changing the organisational structure. Including moving employees from one agency to another and reducing and increasing an agency's staffing levels. Also includes internal reorganisations to meet agency goals.
Restructuring
The activities involved in reassessing the activities, goals and structure of an agency. Includes consideration of the number of staff, their position descriptions, equipment and other resources required to meet objectives.

Entry No.	Description of Records	Disposal Action	
004.092.001	Agency-wide organisational charts produced after major restructure (e.g. a machinery of government change or an extensive internal restructure held by the area of the agency responsible for the establishment function).	Retain as Territory Archives	
*004.092.001*			

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	

Enhancements (Changes)	
FUNCTION	Activity	Entry no.	Description	
Establishment	All	All	Classes renumbered.	
Establishment			Scope note changed.	
	Advice		Scope note changed.	
	Committees		Classification and sentencing guide added to scope note.	
	Committees	004.020.002	Disposal action changed.	
	Meetings		Scope note changed.	
	Meetings	004.072.002	Disposal action changed.	
	Planning		Classification and sentencing guide added to scope note.	
	Planning	004.079.004	Disposal action changed.	
	Policy		Scope note changed.	
	Policy	004.080.004	Disposal action changed.	
	Procedures	004.082.002	Disposal action changed.	
	Procedures	004.082.003	Disposal action changed.	
	Reporting		Scope note changed.  Classification and sentencing guide added to scope note.	
	Reporting	004.088.004	Disposal action changed.	
	Restructuring	All	Renumbered	
	Restructuring	004.092.004	Disposal action changed.	

Corrections (Deletions)	
FUNCTION	Activity	Entry no.	Description	
Establishment	Recruitment	All	Removed	
Staff Development	All	All	Removed