Australian Capital Territory
Territory Records (Records Disposal Schedule – Territory Administrative Records Disposal Schedules – Information Management Records) Approval 2011 (No 1)
Notifiable instrument NI2011—92
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 - Information Management Records) Approval 2011 (No 1)
2.	Approval
I approve the Records Disposal Schedule – Territory Administrative Records Disposal Schedules - Information Management Records.
3.	Commencement
This instrument commences on the day after notification.
4.	Revocation
I revoke Notifiable Instrument NI2009-442 notified 10 September 2009.

David Wardle
Director of Territory Records
28 February 2011

TARDiS

Territory Administrative Records
Disposal Schedules
Information Management 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
INFORMATION MANAGEMENT
RECORDS DISPOSAL SCHEDULE
INFORMATION MANAGEMENT
Acquisition
Acquisition (Continued)
Advice
Agreements
Audit
Audit (Continued)
Authorisation
Case Management
Case Management (Continued)
Committees
Compliance
Conservation
Conservation (Continued)
Contracting out
Control
Control (Continued)
Control (Continued)
Customer Service
Disposal
Disposal (Continued)
Disposal (Continued)
Distribution
Donations
Enquiries
Evaluation
Implementation
Inspections
Intellectual Property
Intellectual Property (Continued)
Inventory
Liaison
Marketing
Meetings
Planning
Policy
Policy (Continued)
Privacy
Procedures
Procedures (Continued)
Reporting
Reporting (Continued)
Research
Restructuring
Reviewing
Reviewing (Continued)
Risk Management
Security
Standards
Submissions
Suggestions
Tendering
Tendering (Continued)
RETAIN AS TERRITORY ARCHIVES
INFORMATION MANAGEMENT
Advice
Agreements
Audit
Case Management
Committees
Compliance
Conservation
Control
Control (Continued)
Disposal
Donations
Implementation
Policy
Procedures
Reviewing
Security
Standards
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 1989.00 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 017.010.004 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
INFORMATION MANAGEMENT
The function of managing the records and information resources of government and its agencies to meet operational needs and, if appropriate, to allow public access to the records consistent with the Territory Records Act 2002 and the Freedom of Information Act 1989.  Includes the creation, keeping, protection, preservation, storage and disposal of, and access to records of the agency, and developing strategies to manage records as archival resources for the benefit of future generations. Also includes the acquisition, control and disposal of library and other information products or items kept for reference purposes and the provision of records and information services to internal and external customers.
Acquisition
The process of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions.
Advice
The activities associated with offering opinions as to an action or judgement. Includes the process of advising.
Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements. Includes records associated with preparing agreements/contracts and settling those agreements/contracts. Includes contracts, memoranda of understanding (MOU), deeds, leases, licences and mortgages.
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.
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.
Conservation
The activities involved in the preservation, protection, maintenance, restoration and enhancement of archival resources, heritage items and artefacts, properties, including buildings and land. Also includes environmental conservation activities.
Contracting out
The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing.
Control
The activities associated with creating, maintaining and evaluating control mechanisms. Includes classification, indexing, registration, forms design etc to ensure maximum control over records and recordkeeping systems. Also includes control mechanisms for other information resources and systems.
Customer Service
The activities associated with the planning, monitoring and evaluation of services provided to customers by the agency.
Disposal
The process of disposing of property no longer required by the agency, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage.
Distribution
The activities associated with disseminating items, correspondence or publications through sales, deliveries, or other customer services.
Donations
The activities associated with managing money, items, artifacts or property donated to the agency, or by the agency and or its staff to charities etc Includes managing unsolicited donations.
Enquiries
The activities associated with handling requests for information about the agency and its services, programs and activities.
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.
Implementation
The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes installation of equipment. Also includes monitoring to ensure the implementation goes according to schedule and that standards are met.
Inspections
The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives.
Intellectual Property
The activities involved in managing the agency's intellectual property, both published and unpublished, and the use of material held by the agency in which another party owns the intellectual property. Includes management of copyright, design, patents and trademarks, royalties and matters of confidentiality, such as trade secrets, which are not available to the public under Freedom of Information (FOI) legislation.
Inventory
The activities associated with listing and preparing lists of items and assets in the possession of the agency.
Marketing
The process of analysing, creating and selling products and services. Includes market research, sales forecasting, advertising, media releases, promotion, pricing and product evaluation.
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, as the basis from which the agency's operating procedures are determined.
Privacy
The activities associated with applying the principles of privacy. Includes data protection in relation to privacy. Also includes the process of collection, handling, use and disclosure of records of a private, personal, or confidential nature to maintain that the rights of a living person (or immediate family) are secure from unauthorised disclosure or access to such information.
Procedures
Standard methods of operating laid down by the agency according to formulated policy.
Reporting
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies, regulation, or legislation, e.g. Annual Report). Includes statistics and returns.
Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles, etc. Used to support development of projects, standards, guidelines, etc. and business activities in general. Includes following up enquiries relating to programs, projects, working papers, literature searches, etc.
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.
Risk Management
The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks.
Security
The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks.
Standards
The process of implementing industry or agency specific benchmarks for services and processes to enhance quality and efficiency of an organisation.
Submissions
The preparation and submission of a formal statement (e.g. a business case, statistics, etc.) supporting a case or opinion held by the agency which is submitted to another agency or organisation, or within the agency, for the purpose of either gain or support.
Suggestions
The process of using suggestions from personnel and the public to improve the services and processes of the agency.
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
INFORMATION MANAGEMENT
The function of managing the records and information resources of government and its agencies to meet operational needs and, if appropriate, to allow public access to the records consistent with the Territory Records Act 2002 and the Freedom of Information Act 1989.  Includes the creation, keeping, protection, preservation, storage and disposal of, and access to records of the agency, and developing strategies to manage records as archival resources for the benefit of future generations. Also includes the acquisition, control and disposal of library and other information products or items kept for reference purposes and the provision of records and information services to internal and external customers.
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	
009.003.001	Records documenting the acquisition of library and records materials and/or services (e.g. on-line services, media monitoring services) where there are no tender or contracting-out process, i.e. where the threshold for tendering or where a purchase is made against a period contract. Includes:
•	orders
•	subscription renewals
•	interlibrary loan payments.
[For the management of media items, use COMMUNITY RELATIONS - Media Relations and GOVERNMENT RELATIONS - Media Relations.
For joining organisations to obtain subscriptions to an organisation's publications, use COMMUNITY RELATIONS - Liaison.
For arranging loans and inter-library loans of library material, use INFORMATION MANAGEMENT - Control.
Continued next page.	Destroy 7 years after action completed	
*009.003.001*			
Acquisition (Continued)
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	
	For managing financial transactions supporting acquisition activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments.
For managing contracted services supporting the acquisition process, use INFORMATION MANAGEMENT - Contracting out.
For the tendering process for contracting services to support the acquisition process, use INFORMATION MANAGEMENT - Tendering.
For the acquisition of applications and systems, use TECHNOLOGY & TELECOMMUNICATIONS - Acquisitions.]		
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	
009.005.001	Records documenting the receipt and provision of whole-of-government advice to agencies or users relating to records and information management.	Retain as Territory Archives	
*009.005.001*			
009.005.002	Records documenting the receipt and provision of routine or minor advice to agencies or users relating to records and information management.	Destroy 1 year after action completed	
*009.005.002*			

Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements. Includes records associated with preparing agreements/contracts and settling those agreements/contracts. Includes contracts, memoranda of understanding (MOU), deeds, leases, licences and mortgages.

Entry No.	Description of Records	Disposal Action	
009.006.001	Final copies of agreements with other governments or inter-agency agreements of significance to the Territory.	Retain as Territory Archives	
*009.006.001*			
009.006.002	Final versions of other agreements relating to records and information management.
[For managing financial transactions associated with any agreement, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payment.]	Destroy 7 years after expiry of agreement	
*009.006.002*			
009.006.003	Records documenting negotiations, establishment, maintenance and review of agreements.	Destroy 7 years after expiry of agreement	
*009.006.003*			
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	
009.013.001	Records documenting audits of agencies for compliance to recordkeeping requirements by the regulating agency, including working papers and final reports.	Retain as Territory Archives	
*009.013.001*			
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	
009.013.002	Final internal and external audit reports relating to records and information management. Includes the final reports from audits conducted by the Privacy Commissioner or the ACT Auditor General's Office. Excludes reports from audits carried out by the regulating agency.	Destroy 5 years after action completed	
*009.013.002*			
009.013.003	Records documenting the planning and conduct of internal and external audits relating to records and information management. Includes audits conducted by the Privacy Commissioner or the ACT Auditor General's Office. Excludes audits carried out by the regulating agency. Also includes:
•	liaison with the auditing body
•	minutes of meetings
•	notes taken at opening and exit interviews
•	draft reports
•	comments.	Destroy 5 years after action completed	
*009.013.003*			
009.013.004	Records documenting recordkeeping audits within an agency. Includes file census.	Destroy 6 months after action completed	
*009.013.004*			
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	
009.014.001	Delegations of powers to agency staff to authorise administrative action relating to records and information management.	Destroy 3 years after delegation superseded	
*009.014.001*			
009.014.002	Authorisations for administrative actions relating to records and information management.	Destroy 3 years after authorisation expires or is superseded	
*009.014.002*			
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.

Entry No.	Description of Records	Disposal Action	
009.016.001	Records documenting requests for public access to records and documents under the Freedom of Information Act 1989, the Territory Records Act 2002 and other legislation specific to the agency that:
•	set a precedent
•	lead to a change of policy
•	relate to issues of national significance
•	relate to issues of public controversy
•	result in appeals to the ACT Civil and Administrative Tribunal (ACAT) or the Federal or High Court.	Retain as Territory Archives	
*009.016.001*			
009.016.002	Records documenting recurring or protracted requests received from the public for access to records and documents under the Freedom of Information Act 1989, the Territory Records Act 2002 and other legislation specific to the agency.	Destroy 10 years after completion of case	
*009.016.002*			
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.

Entry No.	Description of Records	Disposal Action	
009.016.003	Records documenting requests for public access to records and documents under the Freedom of Information Act 1989, the Territory Records Act 2002 and other legislation specific to the agency where:
•	there has been an internal review
•	where complaints have been lodged with the Ombudsman
•	where there have been negotiations between an individual and the agency relating to the amendment or alteration of records.	Destroy 5 years after action completed	
*009.016.003*			
009.016.004	Records documenting requests for public access to records and documents under the Freedom of Information Act 1989, the Territory Records Act 2002 and other legislation specific to the agency for:
•	less complex requests
•	applications which are not proceeded with (e.g. where requests are withdrawn, lapse because of non-payment of application fees)
•	or are referred to another agency.	Destroy 2 years after action completed	
*009.016.004*			
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	
009.020.001	Records of inter-government (both State/Territory and overseas) or inter-agency committees formed to consider matters relating to whole-of-government records and information management. Includes:
•	documents establishing the committee
•	agendas
•	minutes
•	reports
•	recommendations
•	supporting documents such as briefing and discussion papers.	Retain as Territory Archives	
*009.020.001*			
009.020.002	Records of internal and external committees formed to consider matters relating to the information management 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	
*009.020.002*			
009.020.003	Working papers documenting the conduct and administration of committees which consider matters relating to records and information management. Includes:
•	agenda
•	notices of meetings
•	draft minutes.	Destroy 6 months after last action	
*009.020.003*			
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.
[For compliance audits of agencies records and information programs by the regulating agency, use INFORMATION MANAGEMENT - Audit.]

Entry No.	Description of Records	Disposal Action	
009.021.001	Records documenting the on-going monitoring of agency compliance with their Records Management Programs.	Retain as Territory Archives	
*009.021.001*			
009.021.002	Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to records and information management (e.g. Australian Standard AS ISO 15489 Records Management). Includes records practices and recordkeeping systems.	Destroy 3 years after action completed	
*009.021.002*			
Conservation
The activities involved in the preservation, protection, maintenance, restoration and enhancement of archival resources, heritage items and artefacts, properties, including buildings and land. Also includes environmental conservation activities.

Entry No.	Description of Records	Disposal Action	
009.023.001	Records documenting the management of conservation projects for the preservation of rare, historical or heritage records and other information resources.	Retain as Territory Archives	
*009.023.001*			
009.023.002	Records documenting the management of agency conservation projects for the preservation of records and other information resources.	Destroy 5 years after project completed	
*009.023.002*			
009.023.003	Records documenting routine preservation activities undertaken on agency records, library and other information resources. Includes book binding and repairs.	Destroy 6 months after last action	
*009.023.003*			

Conservation (Continued)
The activities involved in the preservation, protection, maintenance, restoration and enhancement of archival resources, heritage items and artefacts, properties, including buildings and land. Also includes environmental conservation activities.

Entry No.	Description of Records	Disposal Action	
009.023.004	Records documenting specialised conservation treatment for agency records (e.g. for specific groups of records such as photographs).	Destroy 6 months after last action	
*009.023.004*			
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	
009.025.001	Records documenting contract management relating to records and information management (e.g. courier and outsourced storage services). Includes:
•	minutes of meetings with main stakeholders
•	performance and evaluation reports
[For the transfer of records to a storage provider, use INFORMATION MANAGEMENT - Disposal.]	Destroy 7 years after completion or other termination of agreement or contract	
*009.025.001*			
Control
The activities associated with creating, maintaining and evaluating control mechanisms. Includes classification, indexing, registration, forms design etc to ensure maximum control over records and recordkeeping systems. Also includes control mechanisms for other information resources and systems.

Entry No.	Description of Records	Disposal Action	
009.026.001	Master control records for agency recordkeeping systems (both paper and electronic). Includes:
•	relevant metadata elements
•	registers of inwards/outwards correspondence (including Ministerial correspondence)
•	registers and indexes giving details of control numbers, titles, date, disposal details
•	file movement cards, if they also constitute the main control record or have been used to record disposal detail 
•	list of records destroyed, if master control records are not annotated
•	registers of case files (e.g. personnel and compensation case files registers).	Retain as Territory Archives	
*009.026.001*			
009.026.002	Master copy of file classification systems or an agency's authorised business classification schemes (currently created using the methodology of the Australian Standard AS ISO 15489 Records Management) and abbreviations used in paper and electronic systems.	Retain as Territory Archives	
*009.026.002*			

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

Entry No.	Description of Records	Disposal Action	
009.026.003	Records documenting the creation, maintenance and evaluation of an agency record titling thesauruses. Includes master copy of the thesaurus.
[For agency documentation of its functional analysis, the development of its business classification scheme and the recordkeeping requirements necessary for the creation of an agency Records Disposal Schedule and functional thesaurus, use INFORMATION MANAGEMENT - Policy.]	Retain as Territory Archives	
*009.026.003*			
009.026.004	Business rules and configuration settings for agency metadata. Includes developmental records and requests for changes.
[For the application, allocation and maintenance of the metadata in electronic systems, other than those covered by the Information Management function, use TECHNOLOGY & TELECOMMUNICATIONS - Control.]	Retain as Territory Archives	
*009.026.004*			
009.026.005	Records documenting forms design.
[For the printing of forms, use PUBLICATION - Production.]	Destroy 7 years after action completed	
*009.026.005*			
009.026.006	Records documenting the receipt and dispatch of agency mail. Includes receipts for registered and certified mail.
[For records supporting security requirement for the dispatch of classified mail, use INFORMATION MANAGEMENT - Security.
For the internal distribution of agency mail, use INFORMATION MANAGEMENT - Distribution.]	Destroy 3 years after action completed	
*009.026.006*			
Control (Continued)
The activities associated with creating, maintaining and evaluating control mechanisms. Includes classification, indexing, registration, forms design etc to ensure maximum control over records and recordkeeping systems. Also includes control mechanisms for other information resources and systems.

Entry No.	Description of Records	Disposal Action	
009.026.007	Ancillary records documenting the control of agency records, library and information resources. Includes:
•	chronological sets of inwards and outwards correspondence
•	file movements records, if they are a secondary control record to the main registers and indexes and have not been used to record disposal details
•	reference sets of master control records
•	reference sets of control records compiled and held by business units
•	resubmit lists
•	barcode lists
•	location lists.	Destroy 6 months after last action	
*009.026.007*			
009.026.008	Control records documenting library systems. Includes:
•	catalogues
•	authority files of subject heading
•	classification schemes
•	thesauruses created by libraries for specialised use
•	loan and inter-library loan records.
[For copies of invoices relating to payments for inter-library loans, use INFORMATION MANAGEMENT - Acquisitions.]	Destroy 6 months after last action	
*009.026.008*			
Customer Service
The activities associated with the planning, monitoring and evaluation of services provided to customers by the agency.

Entry No.	Description of Records	Disposal Action	
009.030.001	Records documenting the planning, monitoring and evaluation of specific services provided to customers of libraries, archives and records management units. Includes customer surveys.	Destroy 3 years after action completed	
*009.030.001*			
009.030.002	Records documenting the development of service charters and directives relating to the provision of information management services. Includes final copies of charters.
[For the production of the service charter, use PUBLICATION - Planning and PUBLICATION - Production.]	Destroy 6 months after superseded	
*009.030.002*			
009.030.003	Records documenting the management of a library or a records management unit enquiry desk.	Destroy 6 months after reference ceases	
*009.030.003*			
009.030.004	Records documenting the management and use of translation services.	Destroy 1 year after action completed	
Disposal
The process of disposing of property no longer required by the agency, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage.
[For the disposal of real property through a tendering process, use PROPERTY MANAGEMENT - Tendering.
For the disposal of real property through an agreement, use PROPERTY MANAGEMENT - Agreements.]

Entry No.	Description of Records	Disposal Action	
009.034.001	Records documenting arrangement for the transfer of ownership of records following the corporatisation and privatisation of an agency, or part of an agency.	Retain as Territory Archives	
*009.034.001*			
Disposal (Continued)
The process of disposing of property no longer required by the agency, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage.
[For the disposal of real property through a tendering process, use PROPERTY MANAGEMENT - Tendering.
For the disposal of real property through an agreement, use PROPERTY MANAGEMENT - Agreements.]

Entry No.	Description of Records	Disposal Action	
009.034.002	Records documenting the authorisation of records and information for destruction and associated Certificates of Destruction provided by service providers.	Retain as Territory Archives	
*009.034.002*			
009.034.003	Records documenting the transfer of custody to or from a contractor under an outsourcing arrangement.	Destroy 3 years after completion or other termination of agreement or contract	
*009.034.003*			
009.034.004	Records documenting the culling of library collections and collections of non-agency publications.
[For the disposal of duplicate agency publications, use PUBLICATIONS - Disposal.]	Destroy 6 months after last action	
*009.034.004*			
Disposal (Continued)
The process of disposing of property no longer required by the agency, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage.
[For the disposal of real property through a tendering process, use PROPERTY MANAGEMENT - Tendering.
For the disposal of real property through an agreement, use PROPERTY MANAGEMENT - Agreements.]

Entry No.	Description of Records	Disposal Action	
009.034.005	Records documenting the transfer, destruction (excludes destruction approvals and certificates of destruction) and storage of records according to an approved records management program where the master control records have been annotated. Includes copies of:
•	transfer proposals
•	consignment lists
•	lists of records destroyed 
•	lists of records transferred to alternative storage providers.
[For lists of records destroyed if master control records are not annotated, use INFORMATION MANAGEMENT - Control.
For the transfer of records to another agency following an administrative change, use INFORMATION MANAGEMENT - Restructuring.]	Destroy 6 months after last action	
*009.034.005*			
Distribution
The activities associated with disseminating items, correspondence or publications through sales, deliveries, or other customer services.

Entry No.	Description of Records	Disposal Action	
009.036.001	Records documenting the internal and external distribution of correspondence and other information items (e.g. paper files, newspaper clippings and mail) within the agency. Includes distribution lists and advice on changes of location.	Destroy 6 months after last action	
*009.036.001*			
Donations
The activities associated with managing money, items, artifacts or property donated to the agency, or by the agency and or its staff to charities, etc. Includes managing unsolicited donations.

Entry No.	Description of Records	Disposal Action	
009.037.001	Records documenting donations of records or manuscript materials of archival or historical value to an agency for inclusion in the archives holdings of the Territory. Includes liaison with the owner on conditions of donation.	Retain as Territory Archives	
*009.037.001*			
009.037.002	Records documenting donations of other library or manuscript materials to an agency. Includes liaison with the owner on conditions of donation.
[For the disposal of library material after culling collections, use INFORMATION MANAGEMENT - Disposal.]	Destroy 7 years after disposal of item	
*009.037.002*			
Enquiries
The activities associated with handling requests for information about the agency and its services, programs and activities.
[For enquiries received from the general public about the agency's programs, products and services, use COMMUNITY RELATIONS - Enquiries.
For the management of requests from the public for access to records under the Freedom of Information Act 1989, Privacy Act 1988 (Cwlth) and Territory Records Act 2002 and other Acts specific to the agency, use INFORMATION MANAGEMENT - Case Management.]

Entry No.	Description of Records	Disposal Action	
009.040.001	Records documenting the management of discovery orders and subpoenas. Includes detailed lists and copies of records found.	Destroy 3 years after action completed	
*009.040.001*			
009.040.002	Records documenting the handling of enquiries from agency employees or another government organisations covering records and information management.
[For records supporting library loans and inter-library loans, use INFORMATION MANAGEMENT - Control. 
For records relating to copies of inter-library loan payments, use INFORMATION MANAGEMENT - Acquisitions.]	Destroy 1 year after action completed	
*009.040.002*			
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.
[For the evaluation of the technological aspects of library and recordkeeping systems, use TECHNOLOGY & TELECOMMUNICATIONS  - Evaluation.]

Entry No.	Description of Records	Disposal Action	
009.042.001	Records documenting the evaluation of potential or existing information management services and systems. Includes the evaluation of library and recordkeeping systems.	Destroy 7 years after evaluation completed	
*009.042.001*			
Implementation
The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes installation of equipment. Also includes monitoring to ensure the implementation goes according to schedule and that standards are met.

Entry No.	Description of Records	Disposal Action	
009.053.001	Records documenting the implementation of vital records plans and counter-disaster plans after disasters such as fire or floods, and implementation of emergency destruction plans covering the organisation's information resources. Includes a copy of current plan implemented for the disaster recovery process.
[For the development of the counter-disaster plan, vital records plan, and other plans relating to the information management function, use INFORMATION MANAGEMENT - Planning.]	Retain as Territory Archives	
*009.053.001*			
009.053.002	Records documenting the implementation of library systems and recordkeeping systems within an agency.
[For staff training to implement new systems, use PERSONNEL - Training.
For the technological aspects of implementing library and recordkeeping systems, use TECHNOLOGY & TELECOMMUNICATIONS - Implementation.]	Destroy 7 years after implementation is completed	
*009.053.002*			
Inspections
The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives.

Entry No.	Description of Records	Disposal Action	
009.057.001	Records documenting inspections of agency records by a monitoring agency such as the Director of Territory Records or the Auditor General or any inspections of copyright records.
[For copies of copyright declaration forms, use INFORMATION MANAGEMENT- Intellectual Property.
For records relating to formal audits, use INFORMATION MANAGEMENT - Audit.]	Destroy 4 years after action completed	
*009.057.001*			
Intellectual Property
The activities involved in managing the agency's intellectual property, both published and unpublished, and the use of material held by the agency in which another party owns the intellectual property. Includes management of copyright, design, patents and trademarks, royalties and matters of confidentiality, such as trade secrets, which are not available to the public under Freedom of Information (FOI) legislation.
[For applications made to reproduce published material, use PUBLICATIONS - Intellectual Property.
For the establishment and general management of intellectual property, use LEGAL SERVICES - Intellectual Property.]

Entry No.	Description of Records	Disposal Action	
009.060.001	Records documenting the government wide management of copying and copyright. Includes the collection of payments for collecting societies and any sampling undertaken to support the payment process.	Destroy 7 years after action completed	
*009.060.001*			
Intellectual Property (Continued)
The activities involved in managing the agency's intellectual property, both published and unpublished, and the use of material held by the agency in which another party owns the intellectual property. Includes management of copyright, design, patents and trademarks, royalties and matters of confidentiality, such as trade secrets, which are not available to the public under Freedom of Information (FOI) legislation.
[For applications made to reproduce published material, use PUBLICATIONS - Intellectual Property.
For the establishment and general management of intellectual property, use LEGAL SERVICES - Intellectual Property.]

Entry No.	Description of Records	Disposal Action	
009.060.002	Records documenting the management of copying services in an agency. Includes the administration of payments made to the collecting body and responses to any sampling undertaken to support the payment process.
[For the payment of money to collecting societies, use FINANCIAL MANAGEMENT - Payments.
For guidelines and procedures to support the administration of reproduction services in the agency, use INFORMATION MANAGEMENT - Procedures.]	Destroy 7 years after action completed	
*009.060.002*			
009.060.003	Copyright declaration forms.
[For inspections carried out by copyright owners of declaration forms and other records supporting the administration of copyright in the agency, use INFORMATION MANAGEMENT - Inspections.]	Destroy 4 years after action completed	
*009.060.003*			
Inventory
The activities associated with listing and preparing lists of items and assets in the possession of the agency.
[For the conduct of a file census, use INFORMATION MANAGEMENT - Audit.
For inventories of records transferred between agencies following an administrative change, use INFORMATION MANAGEMENT - Restructuring.
For inventories of equipment used in information management areas, use EQUIPMENT & STORES - Inventory.]

Entry No.	Description of Records	Disposal Action	
009.061.001	Routine inventories of library materials. Includes inventories created for shelf checking.	Destroy 1 year after action completed	
*009.061.001*			
Liaison
The activities associated with maintaining regular general contact between the agency and professional associations, professionals in related fields, other private sector organisations and community groups. Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects that are not joint ventures.

Entry No.	Description of Records	Disposal Action	
009.067.001	Records documenting liaison activities undertaken with professional associations, private sector organisations and community groups. Includes:
•	collaboration on projects
•	exchanges of information
•	all the activities of a member of an organisation.
[For subscriptions to publications of professional bodies where the subscriber does not have to be a member of an organisation, use INFORMATION MANAGEMENT - Acquisitions.]	Destroy 3 years after action completed	
*009.067.001*			

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

Entry No.	Description of Records	Disposal Action	
009.070.001	Records documenting the promotion of library and records management unit services. Includes customer profiles.
[For training staff in the efficient use of an agency information unit, use PERSONNEL - Training.]	Destroy 6 months after last action	
*009.070.001*			
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	
009.072.001	Final versions of minutes and supporting documents tabled at meetings held to support records and information management. Includes meetings with external agencies.	Destroy 3 years after action completed	
*009.072.001*			
009.072.002	Working papers documenting the conduct and administration of meetings held to support records and information management. Includes:
•	agenda
•	notices of meetings
•	draft minutes.	Destroy 6 months after last action	
*009.072.002*			

Planning
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.

Entry No.	Description of Records	Disposal Action	
009.079.001	Final versions of agency-wide information management plans. Includes:
•	vital records plans
•	emergency destruction plans
•	counter-disaster plans.
[For the implementation of a counter-disaster plan, vital records plan and emergency destruction plan covering the information management function, use INFORMATION MANAGEMENT - Implementation.]	Destroy 5 years after plan is superseded	
*009.079.001*			
009.079.002	Final versions of a section or business unit's information management plans, including state, regional or overseas office.	Destroy 3 years after plan is superseded	
*009.079.002*			
009.079.003	Working papers used to develop all information management plans. Includes:
•	draft plans
•	reports analysing issue
•	comments received from areas of the agency.	Destroy 6 months after last action	
*009.079.003*			
009.079.004	Copies of all information management plans.	Destroy 6 months after last action	
*009.079.004*			

Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the agency's operating procedures are determined.

Entry No.	Description of Records	Disposal Action	
009.080.001	Records documenting the development and establishment of government wide records and information management policies. Includes: 
•	policy proposals
•	research papers
•	results of consultations
•	supporting reports 
•	major drafts
•	final policy documents.	Retain as Territory Archives	
*009.080.001*			
009.080.002	Records documenting the development and establishment of the agency's records and information management policies. Includes:
•	Records Management Programs
•	information management security policies
•	library collection development policies
•	recordkeeping policies
•	e-mail policies
•	policy proposals
•	research papers
•	results of consultations
•	supporting reports
•	major drafts
•	final policy documents.	Destroy 5 years after policy is superseded	
*009.080.002*			
009.080.003	Snapshot of agency's recordkeeping requirement data taken at the point when recordkeeping instructions are issued.	Destroy 5 years after recordkeeping instruction is superseded	
*009.080.003*			
009.080.004	Records documenting comments made on the development of government wide records and information management policies.	Destroy 3 years after promulgation of new policy	
*009.080.004*			

Policy (Continued)
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the agency's operating procedures are determined.

Entry No.	Description of Records	Disposal Action	
009.080.005	Working papers documenting the development of agency records and information management policies. Includes drafts and input from other areas of the agency.	Destroy 3 years after promulgation of new policy	
*009.080.005*			
009.080.006	Copies of policy documents and supporting papers.	Destroy 6 months after last action	
*009.080.06*			
009.080.007	Records documenting the creation of Records Disposal Schedules.
[For the master copy of the business classification schemes developed as the foundation document for the Records Disposal Schedule, use INFORMATION MANAGEMENT - Control.
For records documenting the transfer, destruction and storage of records, use INFORMATION MANAGEMENT - Disposal.
For the recordkeeping risk assessment report, use INFORMATION MANAGEMENT - Risk Management.]	Destroy 6 months after last action	
*009.080.007*			
009.080.008	Records documenting the on-going maintenance and review of agency recordkeeping and information management.	Destroy 6 months after last action	
*009.080.008*			
Privacy
The activities associated with applying the principles of privacy. Includes data protection in relation to privacy. Also includes the process of collection, handling, use and disclosure of records of a private, personal, or confidential nature to maintain that the rights of a living person (or immediate family) are secure from unauthorised disclosure or access to such information.
[For negotiations between an individual and the agency relating to the amendment or alteration of records under the Privacy Act, use INFORMATION MANAGEMENT - Case Management.
For privacy audits, use INFORMATION MANAGEMENT - Audits.
For the mechanisms to protect privacy of information, use INFORMATION MANAGEMENT – Security.]

Entry No.	Description of Records	Disposal Action	
009.081.001	Investigations into alleged privacy breaches relating to records and information management. Includes unauthorised disposal of records containing personal information.	Destroy 5 years after action completed	
*009.081.001*			
Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
009.082.001	Master copy of recordkeeping rules/guidelines of the agency and supporting documentation.
[For recordkeeping requirements data, use INFORMATION MANAGEMENT - Policy.]	Retain as Territory Archives	
*009.082.001*			
009.082.002	Records documenting the development of agency procedures supporting the records and information management function. Excludes documents supporting the development of agency recordkeeping rules.	Destroy 1 year after completion of procedures	
*009.082.002*			

Procedures (Continued)
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
009.082.003	Master set of agency manuals, handbooks, directives, etc. detailing procedures supporting records and information management.	Destroy 6 months after procedures are superseded	
*009.082.003*			
009.082.004	Copies of manuals, handbooks, directives etc.
[For recordkeeping requirements data, use INFORMATION MANAGEMENT - Policy.]	Destroy 6 months after last action	
*009.082.004*			
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	
009.088.001	Final versions of formal internal reports and reports made to external agencies relating to records and information management.	Destroy 5 years after action completed	
*009.088.001*			
009.088.002	Final versions of periodic internal reports on general administrative matters used to monitor and document recurring activities to support records and information management. Includes cumulative summary reports and work progress reports.	Destroy 3 years after action completed	
*009.088.002*			
Reporting (Continued)
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	
009.088.003	Responses to information management surveys requested by other agencies or by the central office of an agency.
[For customer services surveys, use INFORMATION MANAGEMENT - Customer Services.]	Destroy 3 years after action completed	
*009.088.003*			
009.088.004	Working papers documenting the development of all reports. Includes drafts and comments received.	Destroy 1 year after action completed	
*009.088.004*			
009.088.005	Copies of information management reports.	Destroy 6 months after last action	
*009.088.005*			
Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles, etc. Used to support development of projects, standards, guidelines, etc. and business activities in general. Includes following up enquiries relating to programs, projects, working papers, literature searches, etc.
[For agencies with a core functional responsibility to carry out research, use RESEARCH MANAGEMENT.]

Entry No.	Description of Records	Disposal Action	
009.091.001	Records documenting detailed research carried out to support records and information management.	Destroy 3 years after research is completed	
*009.091.001*			
009.091.002	Records documenting routine research carried out to support records and information management.	Destroy 6 months after last action	
*009.091.002*			

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	
009.092.001	Records documenting functions which have been transferred to another Territory agency or institution.	Transfer 6 months after new information is transferred to master control records	
*009.092.001*			
009.092.002	List of records and other supporting documentation for transferring records to another agency following an administrative change.	Destroy 6 months after new information is transferred to master control records	
*009.092.002*			
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	
009.093.001	Records documenting a review of agency programs and operations supporting records and information management which result in significant findings or actions that cause major changes to government recordkeeping. Includes:
•	documents establishing the review
•	final version of the reports
•	the action plans.	Retain as Territory Archives	
*009.093.001*			
009.093.002	Records documenting a review of agency programs and operations supporting records and information management that result in no significant findings or actions. Includes:
•	documents establishing the review
•	final version of the reports
•	the action plans.	Destroy 5 years after action completed	
*009.093.002*			

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	
009.093.003	Working papers documenting a review of agency programs and operations supporting records and information management.	Destroy 2 years after action completed	
*009.093.003*			
Risk Management
The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks.

Entry No.	Description of Records	Disposal Action	
009.095.001	Records documenting risk management relating to the information management function. Includes:
•	documentation covering each stage of the process
•	treatment schedules
•	action plans.	Destroy 7 years after next risk assessment	
*009.095.001*			
009.095.002	Risk register relating to the information management function.	Destroy 7 years after next risk assessment	
*009.095.002*			
Security
The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks.
[For breaches of privacy of information, use INFORMATION MANAGEMENT - Privacy.]

Entry No.	Description of Records	Disposal Action	
009.097.001	Records documenting major security breaches where classified records and information have been removed from official custody and passed to a third party. Includes referral to law enforcement authorities.
[For disciplinary action against staff for security related breaches involving records and information, use PERSONNEL - Discipline.]	Retain as Territory Archives	
*009.097.001*			
009.097.002	Records documenting minor security breaches where classified records and information have not been appropriately secured.
[For disciplinary action against staff for security related breaches involving records and information, use PERSONNEL - Discipline.]	Destroy 5 years after action completed	
*009.097.002*			
009.097.003	Records documenting the management of security arrangements for handling records and information (e.g. mail) within an agency. Includes:
•	classified document registers (e.g. register of Cabinet documents)
•	safe hand registers
•	safe hand receipts.
[For the destruction of classified waste, use PROPERTY MANAGEMENT - Maintenance.]	Destroy 5 years after action completed	
*009.097.003*			

Standards
The process of implementing industry or agency specific benchmarks for services and processes to enhance quality and efficiency of an organisation.
[For compliance with standards (except where other activities apply), use INFORMATION MANAGEMENT - Compliance.]

Entry No.	Description of Records	Disposal Action	
009.100.001	Records documenting the development of government wide standards relating to records and information management in the Territory.	Retain as Territory Archives	
*009.100.001*			
009.100.002	Records documenting the implementation of industry, government and agency standards to support records and information management, (e.g. Australian Standard AS ISO 15489 Records Management).	Destroy 7 years after standard is implemented	
*009.100.002*			
Submissions
The preparation and submission of a formal statement (e.g. a business case, statistics, etc.) supporting a case or opinion held by the agency which is submitted to another agency or organisation, or within the agency, for the purpose of either gain or support.

Entry No.	Description of Records	Disposal Action	
009.102.001	Records documenting the preparation of agency submissions seeking support for an information management project.	Destroy 3 years after action completed	
*009.102.001*			
Suggestions
The process of using suggestions from personnel and the public to improve the services and processes of the agency.

Entry No.	Description of Records	Disposal Action	
009.103.001	Records documenting suggestions received and used to improve records and information management services.	Destroy 2 years after action completed	
*009.103.001*			
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	
009.104.001	Signed contracts under seal resulting from tenders and supporting records.	Destroy 12 years after completion or other termination of agreement or contract	
*009.104.001*			
009.104.002	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	
*009.104.002*			
009.104.003	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	
*009.104.003*			
009.104.004	Records documenting post-offer negotiations and due diligence checks.	Destroy 7 years after tender process completed	
*009.104.004*			
009.104.005	Tender registers.	Destroy 7 years after last entry	
*009.104.005*			
009.104.006	Signed simple contracts and agreements resulting from tenders and supporting records.	Destroy 7 years after completion or other termination of agreement or contract	
*009.104.006*			
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	
009.104.007	Contract registers.	Destroy 7 years after last entry	
*009.104.007*			
009.104.008	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	
*009.104.008*			

RETAIN AS TERRITORY ARCHIVES
INFORMATION MANAGEMENT
The function of managing the records and information resources of government and its agencies to meet operational needs and, if appropriate, to allow public access to the records consistent with the Territory Records Act 2002 and the Freedom of Information Act 1989.  Includes the creation, keeping, protection, preservation, storage and disposal of, and access to records of the agency, and developing strategies to manage records as archival resources for the benefit of future generations. Also includes the acquisition, control and disposal of library and other information products or items kept for reference purposes and the provision of records and information services to internal and external customers.
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	
009.005.001	Records documenting the receipt and provision of whole-of-government advice to agencies or users relating to records and information management.	Retain as Territory Archives	
*009.005.001*			
Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements. Includes records associated with preparing agreements/contracts and settling those agreements/contracts. Includes contracts, memoranda of understanding (MOU), deeds, leases, licences and mortgages.

Entry No.	Description of Records	Disposal Action	
009.006.001	Final copies of agreements with other governments or inter-agency agreements of significance to the Territory.	Retain as Territory Archives	
*009.006.001*			

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	
009.013.001	Records documenting audits of agencies for compliance to recordkeeping requirements by the regulating agency, including working papers and final reports.	Retain as Territory Archives	
*009.013.001*			
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.

Entry No.	Description of Records	Disposal Action	
009.016.001	Records documenting requests for public access to records and documents under the Freedom of Information Act 1989, the Territory Records Act 2002 and other legislation specific to the agency that:
•	set a precedent
•	lead to a change of policy
•	relate to issues of national significance
•	relate to issues of public controversy
•	result in appeals to the ACT Civil and Administrative Tribunal (ACAT) or the Federal or High Court.	Retain as Territory Archives	
*009.016.001*			

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	
009.020.001	Records of inter-government (both State/Territory and overseas) or inter-agency committees formed to consider matters relating to whole-of-government records and information management. Includes:
•	documents establishing the committee
•	agendas
•	minutes
•	reports
•	recommendations
•	supporting documents such as briefing and discussion papers.	Retain as Territory Archives	
*009.020.001*			
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.
[For compliance audits of agencies records and information programs by the regulating agency, use INFORMATION MANAGEMENT - Audit.]

Entry No.	Description of Records	Disposal Action	
009.021.001	Records documenting the on-going monitoring of agency compliance with their Records Management Programs.	Retain as Territory Archives	
*009.021.001*			
Conservation
The activities involved in the preservation, protection, maintenance, restoration and enhancement of archival resources, heritage items and artefacts, properties, including buildings and land. Also includes environmental conservation activities.

Entry No.	Description of Records	Disposal Action	
009.023.001	Records documenting the management of conservation projects for the preservation of rare, historical or heritage records and other information resources.	Retain as Territory Archives	
*009.023.001*			
Control
The activities associated with creating, maintaining and evaluating control mechanisms. Includes classification, indexing, registration, forms design etc to ensure maximum control over records and recordkeeping systems. Also includes control mechanisms for other information resources and systems.

Entry No.	Description of Records	Disposal Action	
009.026.001	Master control records for agency recordkeeping systems (both paper and electronic). Includes:
•	relevant metadata elements
•	registers of inwards/outwards correspondence (including Ministerial correspondence)
•	registers and indexes giving details of control numbers, titles, date, disposal details
•	file movement cards, if they also constitute the main control record or have been used to record disposal detail
•	list of records destroyed, if master control records are not annotated
•	registers of case files (e.g. personnel and compensation case files registers).	Retain as Territory Archives	
*009.026.001*			

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

Entry No.	Description of Records	Disposal Action	
009.026.002	Master copy of file classification systems or an agency's authorised business classification schemes (currently created using the methodology of the Australian Standard AS ISO 15489 Records Management) and abbreviations used in paper and electronic systems.	Retain as Territory Archives	
*009.026.002*			
009.026.003	Records documenting the creation, maintenance and evaluation of an agency record titling thesauruses. Includes master copy of the thesaurus.
[For agency documentation of its functional analysis, the development of its business classification scheme and the recordkeeping requirements necessary for the creation of an agency Records Disposal Schedule and functional thesaurus, use INFORMATION MANAGEMENT - Policy.]	Retain as Territory Archives	
*009.026.003*			
009.026.004	Business rules and configuration settings for agency metadata. Includes developmental records and requests for changes.
[For the application, allocation and maintenance of the metadata in electronic systems, other than those covered by the Information Management function, use TECHNOLOGY & TELECOMMUNICATIONS - Control.]	Retain as Territory Archives	
*009.026.004*			

Disposal
The process of disposing of property no longer required by the agency, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage.
[For the disposal of real property through a tendering process, use PROPERTY MANAGEMENT - Tendering.
For the disposal of real property through an agreement, use PROPERTY MANAGEMENT - Agreements.]

Entry No.	Description of Records	Disposal Action	
009.034.001	Records documenting arrangement for the transfer of ownership of records following the corporatisation and privatisation of an agency, or part of an agency.	Retain as Territory Archives	
*009.034.001*			
009.034.002	Records documenting the authorisation of records and information for destruction and associated Certificates of Destruction provided by service providers.	Retain as Territory Archives	
*009.034.002*			
Donations
The activities associated with managing money, items, artifacts or property donated to the agency, or by the agency and or its staff to charities etc Includes managing unsolicited donations.

Entry No.	Description of Records	Disposal Action	
009.037.001	Records documenting donations of records or manuscript materials of archival or historical value to an agency for inclusion in the archives holdings of the Territory. Includes liaison with the owner on conditions of donation.	Retain as Territory Archives	
*009.037.001*			

Implementation
The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes installation of equipment. Also includes monitoring to ensure the implementation goes according to schedule and that standards are met.

Entry No.	Description of Records	Disposal Action	
009.053.002	Records documenting the implementation of vital records plans and counter-disaster plans after disasters such as fire or floods, and implementation of emergency destruction plans covering the organisation's information resources. Includes a copy of current plan implemented for the disaster recovery process.
[For the development of the counter-disaster plan, vital records plan, and other plans relating to the information management function, use INFORMATION MANAGEMENT - Planning.]	Retain as Territory Archives	
*009.053.002*			
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the agency's operating procedures are determined.

Entry No.	Description of Records	Disposal Action	
009.080.001	Records documenting the development and establishment of government wide records and information management policies. Includes:
•	policy proposals
•	research papers
•	results of consultations
•	supporting reports
•	major drafts
•	final policy documents.	Retain as Territory Archives	
*009.080.001*			

Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
009.082.001	Master copy of recordkeeping rules/guidelines of the agency and supporting documentation.
[For recordkeeping requirements data, use INFORMATION MANAGEMENT - Policy.]	Retain as Territory Archives	
*009.082.001*			
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	
009.093.001	Records documenting a review of agency programs and operations supporting records and information management which result in significant findings or actions that cause major changes to government recordkeeping. Includes:
•	documents establishing the review
•	final versions of the report
•	action plans.	Retain as Territory Archives	
*009.093.001*			

Security
The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks.
[For breaches of privacy of information, use INFORMATION MANAGEMENT - Privacy.]

Entry No.	Description of Records	Disposal Action	
009.097.001	Records documenting major security breaches where classified records and information have been removed from official custody and passed to a third party. Includes referral to law enforcement authorities.
[For disciplinary action against staff for security related breaches involving records and information, use PERSONNEL - Discipline.]	Retain as Territory Archives	
*009.097.001*			
Standards
The process of implementing industry or agency specific benchmarks for services and processes to enhance quality and efficiency of an organisation.
[For compliance with standards (except where other activities apply), use INFORMATION MANAGEMENT - Compliance.]

Entry No.	Description of Records	Disposal Action	
009.100.001	Records documenting the development of government wide standards relating to records and information management in the Territory.	Retain as Territory Archives	
*009.100.001*			

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

Changes to  NI2009-442	Dated	10 September 2009	
New Features (Insertions)	
FUNCTION	Activity	Entry no.	Description	

Enhancements (Changes)	
FUNCTION	Activity	Entry no.	Description	
INFORMATION MANAGEMENT	Acquisition	009.003.001	omit
Retain as Territory Archives
substitute
Destroy 7 years after action completed	
INFORMATION MANAGEMENT	Case Management	009.016.001	omit
Administrative Appeals Tribunal
substitute
Australian Capital Territory Civil and Administrative Tribunal (ACAT)	
			
Corrections (Deletions)	
FUNCTION	Activity	Entry no.	Description