Australian Capital Territory
Territory Records (Records Disposal Schedule – Territory Administrative Records Disposal Schedules - Personnel Records) Approval 2011 (No 1)
Notifiable instrument NI2011—97          
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 - Personnel Records) Approval 2011 (No 1)
2.	Approval
I approve the Records Disposal Schedule – Territory Administrative Records Disposal Schedules - Personnel Records.
3.	Commencement
This instrument commences on the day after notification.
4.	Revocation
I revoke Notifiable Instrument NI2009-448 notified 10 September 2009.

David Wardle
Director of Territory Records
28 February 2011

TARDiS

Territory Administrative Records
Disposal Schedules
Personnel 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
PERSONNEL
RECORDS DISPOSAL SCHEDULE
PERSONNEL
Accidents
Acquisition
Addresses (presentations)
Advice
Agreements
Allowances
Arrangements
Audit
Authorisation
Claims
Committees
Compliance
Conferences
Conferences (Continued)
Contracting out
Counselling
Discipline
Discipline (Continued)
Employment Conditions
Employment Conditions (Continued)
Employment Conditions (Continued)
Employment Conditions (Continued)
Evaluation
Grievances
Infringements
Insurance
Leave
Marketing
Meetings
Mentoring
Moving
Performance Management
Performance Management (Continued)
Planning
Planning (Continued)
Policy
Procedures
Recruitment
Rehabilitation
Reporting
Representatives
Reviewing
Reviews (decisions)
Salaries
Salaries (Continued)
Security
Separations
Social Clubs
Suggestions
Tendering
Tendering (Continued)
Training
Training (Continued)
Training (Continued)
RETAIN AS TERRITORY ARCHIVES
PERSONNEL
Policy
SCHEDULE OF AMENDMENTS – this information is provided for the assistance of users but does not form part of the Notifiable Instrument.

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

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

Diagram 2 - Model of disposal classes
Sometimes one class description can look the same as another but have a different retention period. This is because a record’s value depends on the context of the functions and activity. For example, the activity ‘Policy’ in FLEET MANAGEMENT is less important than ‘Policy’ in STRATEGIC MANAGEMENT.
Layout of the schedules
These Records Disposal Schedules are divided into sections. They begin with an introduction incorporating a glossary and the business classification scheme. Then the function and activity disposal sets or ‘disposal classes’ relating to one of the 16 functions are described. These are followed by a composite list of classes designated ‘Retain as Territory Archives’.
The functions and activity disposal sets show the following details:
Function	This is the broad level business function and is displayed in bold capital letters at the top of each page. It is the highest level in the business classification scheme. It is followed by the scope note, which provides definitions of the function and a collective view of the business activities that make that function unique. Specific directions relating to Territory use of a function have occasionally been added to the Territory Version of Keyword AAA scope note.	
Activity	Activities are the processes or operations that make up the business function. They are set in bold and italics below the function statement. This is the second level of the business classification scheme. The scope of the activity encompasses all of the transactions that take place in relation to this activity. Activities can relate to many functions with the scope notes covering all of these relationships (e.g. the activity ‘Distribution’ is linked to the functions EQUIPMENT & STORES, INFORMATION MANAGEMENT and PUBLICATION). However, each function and activity set represents a unique unit.	
Entry No.	This is the disposal class number allocated based on the function and activity set and the class number of the record. The barcode is the same as the Entry No. and may be used in an automated recordkeeping system.	
Description of Records	This is the description of the records documenting the business function, activity and transactions. The descriptions can relate to one record such as a register or a group of records documenting a particular set of transactions.	
Disposal Action	This is the minimum period a record must be kept for and is the trigger event from which the disposal date can be calculated.	
‘For’ Statements	‘For’ statements provide guidance on the inter-related links to other function and activity sets. ‘For’ statements positioned under the activity scope note belong to the particular function/activity set and all the records descriptions. The ‘For’ statements underneath a particular description relate to that record description alone.	
How to Sentence Records Using the Schedules
Sentencing is the process of identifying and classifying records according to a Records Disposal Schedule and applying the disposal action specified in it. In Diagram 2 an overview is presented of sentencing procedures that can be used for:
•	records titled using the Territory Version of Keyword AAA terms and sentenced from creation using this linked Territory Administrative Records Disposal Schedules;
•	records titled using the Territory Version of Keyword AAA terms but not sentenced from creation; and
•	records where the Territory Version of Keyword AAA terms have not been used
These Records Disposal Schedules can be used on all active and inactive records.
Sentencing from creation is the process of allocating a disposal action at the point of creating a record. This means adding the disposal class number to a paper file or to the metadata attached to an electronic record. If you plan to introduce sentencing from creation in your agency you will also need strategies to manage this process. For example, you will need to resolve who will be responsible for making the disposal decisions, either a central records management unit or action officers. If it is to be the individual action officers, the agency will need to consider training requirements and make sure that responsibilities are clearly defined and allocated. Training should include familiarisation with the scope notes of the 16 functions detailed in theses Schedules (see the Business Classification Schemes). Diagram 3 shows steps that can be followed to sentence all records using these Schedules.

Diagram 3 - Procedures for Sentencing
Determine the appropriate administrative function/activity.
•	Using the Territory Version of Keyword AAA and/or these Records Disposal Schedules, determine the appropriate administrative function and activity either to sentence a record from creation, or to link the terms to a record created not using these tools. The Index can also assist in identifying the correct function and activity set.
•	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
PERSONNEL
The function of managing all employees and volunteer workers in the agency. Including encouraging staff to develop their skills and abilities (through activities, programs and events) to maximise their potential and increase their productivity by identifying and implementing all aspects of training and development needs and programs (internal and external) available.  Also includes reviews of actions, overtime, salaries, superannuation, working hours.
Accidents
The activities involved in dealing with mishaps causing injury or damage. Includes damage or injury to the organisation's property or member of staff incurred while coming to, at, or leaving work, or to the general public or visitors whilst on the organisation's premises. Also includes measures to prevent accidents occurring.
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.
Addresses (presentations)
The activity of giving addresses for training, professional, community relations or sales purposes. Includes speeches and multi-media presentations.
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.
Allowances
The activities involved in arranging and managing money paid to employees in addition to salary to cover expenses incurred in the course of employment (e.g. travelling allowances).
Arrangements
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.
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.
Claims
The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property.
Committees
The activities associated with the establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agendas, etc. of committees and task forces.
Compliance
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.
Conferences
The activities involved in arranging or attending conferences held either by the agency or by other agencies or organisations. Includes registrations, publicity, and reports of participants, etc.
Contracting out
The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing.
Counselling
The activities associated with giving advice or guidance to an employee or client for various reasons.
Discipline
The activities and actions associated with the disciplinary process. Includes investigation, charges, formal inquiries, and punishment.
Employment Conditions
The activities associated with managing the general conditions of employment for personnel.
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.
Grievances
The activities associated with the handling and resolution of grievances. 
Includes handling complaints over perceived discrimination, or those arising over work environment, work organisation or distribution, peers, supervisors or subordinates. Also includes complaints regarding the provision of access to opportunities such as training, equipment, promotion, or higher duties.
Infringements
The activities associated with handling breaches of rules. Includes driving or traffic infringements and infringements of the agency's intellectual property.
Insurance
The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the agency's premises or whilst engaged during employment.
Leave
The process of administering leave for which staff are eligible. Includes unauthorised leave taken by staff.
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.
Mentoring
The activities involved in managing mentoring programs within the agency.
Moving
The process of relocation of an agency, business unit, workgroup or individual.
Performance Management
The process of identifying, evaluating, and developing corporate and employee work performance so that the agency's goals and objectives are achieved and also benefiting employees through recognition, performance feedback, catering for work needs and offering career guidance.
Planning
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.
Procedures
Standard methods of operating laid down by the agency according to formulated policy.
Recruitment
The process of recruiting which includes applying for approval to fill existing vacancies, advertising vacant positions and handling applications, interviews, selection, culling and appointment. Also includes recruiting volunteers.
Rehabilitation
The process of managing programs designed to restore the injured worker to the fullest physical, psychological, social, vocational and economic usefulness of which they are capable - consistent with pre-injury status. Includes early intervention with appropriate, adequate and timely services through the use of a rehabilitation coordinator.
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.
Representatives
The activities associated with the nomination, appointment or resignation of individuals or groups of personnel appointed by the organisation or their co-workers as official representatives to organisations, offices, unions, workers participation committees, councils or groups. Includes organisational legal representatives.
Reviewing
The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.
Reviews (decisions)
The activities involved in the process of reviewing actions both by an agency, or an external body. Includes reviews of promotion decisions.
Salaries
The process of managing the payment of salaries to personnel.
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.
Separations
The activities associated with managing any method of leaving an agency. Includes resignation, transfer to another agency, retirement, dismissal, death, redundancy, retrenchment and dispensations of services of temporary personnel.
Social Clubs
The activities involved in the agency's relationship with social clubs.
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.
Training
The activities associated with all aspects of the provision of training and development (external/internal).

RECORDS DISPOSAL SCHEDULE
PERSONNEL
The function of managing all employees and volunteer workers in the agency. Including encouraging staff to develop their skills and abilities (through activities, programs and events) to maximise their potential and increase their productivity by identifying and implementing all aspects of training and development needs and programs (internal and external) available. Also includes reviews of actions, overtime, salaries, superannuation, working hours.
Accidents
The activities involved in dealing with mishaps causing injury or damage. 
Includes damage or injury to the organisation's property or member of staff incurred while coming to, at, or leaving work, or to the general public or visitors whilst on the organisation's premises. Also includes measures to prevent accidents occurring.

Entry No.	Description of Records	Disposal Action	
012.001.001	Accident/incident reports where an employee is injured but no compensation claim is lodged.
[For accidents where a compensation claim is made by an employee, use COMPENSATION - Case Management.
For accident reports retained for occupational health & safety purposes, use OCCUPATIONAL HEALTH & SAFETY (OH&S) - Accidents.]	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.001.001*			
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	
012.003.001	Records documenting the acquisition of goods (e.g. training packages) and services (e.g. training consultants) required to support the personnel function where there is no tender or contracting-out process i.e. where the cost of the acquisition is below the threshold for tendering or where a purchase is made against a period contract.
[For the acquisition of staff development goods and services through a tender process, use PERSONNEL - Tendering.
For managing contracted services supporting the acquisition process, use PERSONNEL – Contracting out.
For managing financial transactions supporting acquisition activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments.]	Destroy 7 years after action completed	
*012.003.001*			
Addresses (presentations)
The activity of giving addresses for training, professional, community relations or sales purposes. Includes speeches and multi-media presentations.
[For the publication of addresses in conference proceedings or training material, use PUBLICATION - Production.]

Entry No.	Description of Records	Disposal Action	
012.004.001	Final versions of addresses delivered to conferences and training courses supporting staff training and development.	Destroy 6 months after last action	
*012.004.001*			
012.004.002	Records documenting the preparation of addresses. Includes working papers and drafts.	Destroy 6 months after last action	
*012.004.002*			

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	
012.005.001	Records relating to the receipt and provision of advice on staff training and development. Includes the procurement and distribution of advice on training courses.	Destroy 3 years after action completed	
*012.005.001*			
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	
012.006.001	Records documenting negotiations, establishment and implementation of a Australian Workplace Agreement (AWA) with an individual employee. Includes an authorised version of the final agreement.
[For Certified Agreements made under the Workplace Relations Act 1996, use INDUSTRIAL RELATIONS - Enterprise Bargaining.]	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.006.001*			
012.006.002	Records documenting other employment agreements/contracts made with employees. Includes the agreement and records of negotiations.	Destroy 7 years after separation from the ACTPS	
*012.006.002*			
Allowances
The activities involved in arranging and managing money paid to employees in addition to salary to cover expenses incurred in the course of employment (e.g. travelling allowances).

Entry No.	Description of Records	Disposal Action	
012.008.001	Records documenting the payment of allowances to employees. Includes:
•	overtime
•	first aid
•	clothing
•	travelling allowances
•	higher duties
•	attend training courses
[For the payment of allowances to employees, use FINANCIAL MANAGEMENT - Salaries.]	Destroy 7 years after action completed	
*012.008.001*			
Arrangements
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.

Entry No.	Description of Records	Disposal Action	
012.011.001	Records documenting arrangements for an employee to undertake a journey or trip for work related reasons. Includes arrangements for employees to attend training courses, conferences and obtaining official passports and visas.	Destroy 2 years after action completed	
*012.011.001*			
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	
012.013.001	Final internal and external audit report relating to the personnel function. Includes the final reports from audits conducted by the ACT Auditor General's Office.	Destroy 5 years after action completed	
*012.013.001*			
012.013.002	Records documenting the planning and conduct of internal and external audits relating to the personnel function. Includes: 
•	liaison with the auditing body
•	notes taken at opening and exit interviews
•	draft reports
•	comments	Destroy 5 years after action completed	
*012.013.002*			
Authorisation
The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action.

Entry No.	Description of Records	Disposal Action	
012.014.001	Delegations of power to agency staff to authorise administrative action relating to the personnel function.	Destroy 7 years after delegation expires	
*012.014.001*			
012.014.002	Authorisations for administrative actions relating to the personnel function (e.g. authorisations to collect group certificates).	Destroy 7 years after action completed	
*012.014.002*			
Claims
The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property.

Entry No.	Description of Records	Disposal Action	
012.019.001	Records documenting insurance claims. Includes:
copies of claims
reports
related correspondence
[For compensation claims covering personal injury lodged by ACTPS personnel, use COMPENSATION – Case Management.
For compensation claims covering personal injury lodged by volunteer workers, use COMPENSATION - Claims.]	Destroy 7 years after action completed	
*012.019.001*			
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	
012.020.001	Records of internal and external committees formed to consider matters relating to the personnel function. Includes:
•	documents establishing the committee
•	final versions of minutes
•	reports
•	recommendations
•	supporting documents such as briefing papers and discussion papers.
[For consultations with Workplace Relations Committee, use INDUSTRIAL RELATIONS - Committees.
For negotiations with staff and union representatives in establishing a Certified Agreement, use INDUSTRIAL RELATIONS - Enterprise Bargaining.]	Destroy 3 years after action completed	
*012.020.001*			
012.020.002	Working papers documenting the conduct and administration of committees held to consider matters relating to the personnel function. Includes:
•	agenda
•	notices of meetings
•	draft minutes	Destroy 6 months after last action	
*012.020.002*			

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

Entry No.	Description of Records	Disposal Action	
012.021.001	Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the personnel function.	Destroy 7 years after action completed	
*012.021.001*			
Conferences
The activities involved in arranging or attending conferences held either by the agency or by other agencies or organisations. Includes registrations, publicity, and reports of participants, etc.

Entry No.	Description of Records	Disposal Action	
012.022.001	Reports commenting on and assessing agency-arranged conferences held to support staff training and development.	Destroy 5 years after action completed	
*012.022.001*			
012.022.002	Master copies of unpublished proceedings and reports, speeches and papers from agency arranged conferences to support staff training and development.
[For published agency arranged conference proceedings, use PUBLICATIONS - Production.]	Destroy 5 years after action completed	
*012.022.002*			
012.022.003	Records documenting conferences arranged by the agency to support staff training development. Includes: 
•	program development
•	invitations to speakers 
•	promotion activities
•	registrations 
•	venue bookings
•	copies of financial statements.	Destroy 3 years after action completed	
*012.022.003*			
012.022.004	Assessments of conferences arranged by other organisations.	Destroy 3 years after date of conference	
*012.022.004*			

Conferences (Continued)
The activities involved in arranging or attending conferences held either by the agency or by other agencies or organisations. Includes registrations, publicity, and reports of participants, etc.

Entry No.	Description of Records	Disposal Action	
012.022.005	Records documenting the attendance of staff at conferences arranged by other organisations. Includes:
•	conference promotion material
•	programs
•	conference registration forms
[For travel and accommodation arrangements made for staff to attend conferences, use PERSONNEL - Arrangements.]	Destroy 6 months after last action	
*012.022.005*			
012.022.006	Copies of published conference proceedings and official reports received at conferences arranged by other organisations. 
Note:  Place one copy in the agency library or information centre.	Destroy 6 months after last action	
*012.022.006*			
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	
012.025.001	Records documenting contract management relating to the personnel function. Includes:
•	minutes of meetings with main stakeholders
•	performance and evaluation reports.	Destroy 7 years after completion or other termination of agreement or contract	
*012.025.001*			

Counselling
The activities associated with giving advice or guidance to an employee or client for various reasons.
[For counselling provided as part of a service for managing an individual's compensation case, use COMPENSATION - Case Management.]

Entry No.	Description of Records	Disposal Action	
012.029.001	Records documenting financial counselling of staff on separation. Includes superannuation and retirement counselling.	Destroy 7 years after action completed	
*012.029.001*			
012.029.002	Records documenting general counselling of staff. Includes:
•	personal counselling
•	new entry counselling
•	career counselling
•	work performance counselling
•	counselling for minor breaches to the Code of Conduct
[For counselling relating to a disciplinary matter, use PERSONNEL - Discipline.
For post appointment counselling and counselling of unsuccessful candidates, use PERSONNEL - Recruitment.]	Destroy 2 years after action completed	
*012.029.002*			
Discipline
The activities and actions associated with the disciplinary process. Includes investigation, charges, formal inquiries, and punishment.

Entry No.	Description of Records	Disposal Action	
012.033.001	Records documenting investigations of misconduct which are investigated, either by the agency or an external authority, and where allegations are proved to be unfounded and the employee has requested the retention of the records.	Destroy 7 years after action completed	
*012.033.001*			
Discipline (Continued)
The activities and actions associated with the disciplinary process. Includes investigation, charges, formal inquiries, and punishment.

Entry No.	Description of Records	Disposal Action	
012.033.002	Records documenting investigations of misconduct (e.g. a breach of the Code of Conduct) by either by the agency or an external body, which result in disciplinary action being taken.
[For the carrying out of sanctions and suspensions on an employee found to have breached the Code of Conduct or found guilty of misconduct, use the relevant activity under the PERSONNEL function, (e.g. PERSONNEL - Salaries and/or PERSONNEL – Separations).
For appeals against a decision on a misconduct charge, use PERSONNEL - Reviews (decisions).]	Destroy 5 years after action completed	
*012.033.002*			
012.033.003	Records documenting allegations into misconduct where no follow-up investigation is made, i.e. where allegations are proved to be frivolous or vexatious.	Destroy 18 months after action completed	
*012.033.003*			
012.033.004	Records documenting investigations of misconduct which are investigated, either by the agency or an external authority, and where allegations are proved to be unfounded and the employee has not requested the retention of the records.	Destroy 18 months after investigation is completed	
*012.033.004*			
Employment Conditions
The activities associated with managing the general conditions of employment for personnel.

Entry No.	Description of Records	Disposal Action	
012.039.001	Records documenting the appointment of heads of executive agencies. Includes report from Chief Executive on the vacancy, the Ministerial instrument of appointment and arrangements on remuneration and other employment conditions.
[For employment agreements/contracts (e.g. Australian Workplace Agreements), use PERSONNEL - Agreements.
For termination of appointment of heads of executive agencies, use PERSONNEL - Separations.]	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.039.001*			
012.039.002	Records documenting the consolidated employment history of permanent officers and Chief Executive, Executive Director and Director employees from initial appointment and subsequent promotions and details of higher duties undertaken. Includes:
•	letter of appointment and conditions of engagement
•	letter of acceptance
•	details of assigned duties (initial and subsequent variations)
•	probation reports
•	medical examinations/ health declarations
•	records detailing personal particulars and supporting
•	documentation (e.g. birth certificates)
•	evidence of educational qualifications
•	declarations of pecuniary interest
•	undertakings to preserve official secrets	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.039.002*			

Employment Conditions (Continued)
The activities associated with managing the general conditions of employment for personnel.

Entry No.	Description of Records	Disposal Action	
	[For employment agreements/contracts (e.g. Australian Workplace Agreements), use PERSONNEL - Agreements.
For pre-employment security checks, use PERSONNEL - Security.
For salary and superannuation related records completed on appointment, use PERSONNEL - Salaries.
For reviews of recruitment decisions, use PERSONNEL - Reviews (decisions).
For moving personnel from one location to another to take up an appointment, use PERSONNEL - Moving.]		
012.039.003	Records documenting potential exposure to hazardous substances, including asbestos, or records detailing that an employee was located at places identified as containing hazardous substances.
[For health surveillance of employees who have been exposed to hazardous substances, use OCCUPATIONAL HEALTH & SAFETY (OH&S) - Case Management.]	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.039.003*			
012.039.004	Records documenting redeployment of Chief Executive, Executive Director and Director personnel. Includes reassignment both at level and to a lower classification.	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.039.004*			

Employment Conditions (Continued)
The activities associated with managing the general conditions of employment for personnel.

Entry No.	Description of Records	Disposal Action	
012.039.005	Records documenting the reduction in the classification of an ACTPS employee either with or without the employees consent.
[For disciplinary action leading to a reduction in the classification of an employee, use PERSONNEL - Discipline.]	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.039.005*			

012.039.006	Records documenting the appointment of temporary employees.
[For agreements/contracts undertaken with non-ongoing employees, use PERSONNEL - Agreements.]	Destroy 7 years after termination of appointment	
*012.039.006*			
012.039.007	Records supporting higher duty arrangements.
[For arranging the payment of high duties allowances, use PERSONNEL - Allowances.]	Destroy 7 years after action completed	
*012.039.007*			
012.039.008	Records documenting the management of personnel under employment schemes (e.g. apprenticeships, scholarships, cadetships and traineeships).	Destroy 7 years after completion of training	
*012.039.008*			
012.039.009	Records documenting the management of non-Territory remuneration for performing duties as an ACTPS employee.	Destroy 7 years after action completed	
*012.039.009*			
012.039.010	Attendance records for employees where agency agreements or individual employee agreements or contracts allow for the payment of overtime. Includes:
•	attendance books
•	clock on/off cards
•	flextime sheets
•	overtime records	Destroy 7 years after action completed	
*012.039.010*			

Employment Conditions (Continued)
The activities associated with managing the general conditions of employment for personnel.

Entry No.	Description of Records	Disposal Action	
012.039.011	Records documenting the engagement of volunteers and students undertaking work experience placements. Includes:
•	personal details
•	agreed undertakings relating to conditions of engagement
•	details of work performed
[For insuring volunteer/ work experience workers, use PERSONNEL - Insurance.
For compensation claims lodged by volunteer/ work experience workers, use COMPENSATION - Claims.]	Destroy 2 years after engagement ceases	
*012.039.011*			
012.039.012	Attendance records for employees where agency agreements or individual employee agreements or contracts do not allow for the payment of overtime. Includes:
•	attendance books
•	clock on/off cards
•	flextime sheets	Destroy 2 years after action completed	
*012.039.012*			
012.039.013	Records documenting the management of rosters.	Destroy 1 year after action completed	
*012.039.013*			

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

Entry No.	Description of Records	Disposal Action	
012.042.001	Records documenting the evaluation of existing and potential programs and services supporting the personnel function.
[For the evaluation of strategic personnel programs, use STRATEGIC MANAGEMENT - Evaluation.
For the evaluation of the performance of individual employees against performance agreements, use PERSONNEL - Performance Management.]	Destroy 5 years after action completed	
*012.042.001*			
Grievances
The activities associated with the handling and resolution of grievances. 
Includes handling complaints over perceived discrimination, or those arising over work environment, work organisation or distribution, peers, supervisors or subordinates. Also includes complaints regarding the provision of access to opportunities such as training, equipment, promotion, or higher duties.

Entry No.	Description of Records	Disposal Action	
012.051.001	Records documenting formal grievances lodged by an individual employee and considered either internally within the organisation and/or by an external body. Includes:
•	notes of meetings
•	reports
•	recommendations
[For records covering disciplinary action resulting from a grievance, use PERSONNEL - Discipline.
For records covering grievances lodged by a number of employees, use INDUSTRIAL RELATIONS - Grievances.
For appeals against decisions (e.g. promotions), use PERSONNEL - Reviews (decisions).]	Destroy 5 years after action completed	
*012.051.001*			
Infringements
The activities associated with handling breaches of rules. Includes driving or traffic infringements and infringements of the agency's intellectual property.

Entry No.	Description of Records	Disposal Action	
012.055.001	Records documenting infringements by an employee.
[For infringements which lead to disciplinary action, use PERSONNEL - Discipline.
For the management of driving infringements, use FLEET MANAGEMENT - Infringements.]	Destroy 18 months after action completed	
*012.055.001*			
Insurance
The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the agency's premises or whilst engaged during employment.
[For workers compensation insurance, use COMPENSATION - Insurance.
For managing financial transactions supporting insurance activities, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payments.]

Entry No.	Description of Records	Disposal Action	
012.059.001	Insurance policies supporting the management of the personnel function (e.g. for personal and household effects being moved overseas and insuring volunteer workers).	Destroy 7 years after action completed	
*012.059.001*			
012.059.002	Records documenting the annual renewal of insurance policies.	Destroy 1 year after policy expires	
*012.059.002*			

Leave
The process of administering leave for which staff are eligible. Includes unauthorised leave taken by staff.

Entry No.	Description of Records	Disposal Action	
012.065.001	Consolidated leave history records.	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.065.001*			
012.065.002	Records documenting long service leave, parental leave and leave without pay exceeding 5 days in any one calendar year, i.e. leave used to calculate entitlements for superannuation or long service leave.	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.065.002*			
012.065.003	Records documenting all other leave (with and without pay). Includes:
•	sick leave
•	recreation leave
•	special and personal leave
•	study leave
•	jury service and 
•	Defence training leave.	Destroy 7 years after action completed	
*012.065.003*			
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	
012.070.001	Records documenting recruitment campaigns run by an agency (e.g. graduate employment schemes).	Destroy 3 years after action completed	
*012.070.001*			

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	
012.072.001	Final version of minutes and supporting documents tabled at meetings held to support the personnel function.	Destroy 3 years after action completed	
*012.072.001*			
012.072.002	Working papers documenting the condition and administration of meetings held to support the personnel function. Includes agenda, notices of meetings and draft minutes.	Destroy 6 months after last action	
*012.072.002*			
Mentoring
The activities involved in managing mentoring programs within the agency.

Entry No.	Description of Records	Disposal Action	
012.073.001	Reports commenting on and assessing agency-arranged mentoring programs held to support staff training and development.	Destroy 5 years after action completed	
*012.073.001*			
012.073.002	Records documenting mentoring programs arranged by the agency to support staff training and development function. Includes: 
•	program development
•	invitations to speakers 
•	promotion activities
•	registrations 
•	venue bookings
•	copies of financial statements.	Destroy 3 years after action completed	
*012.073.002*			

Moving
The process of relocation of an agency, business unit, workgroup or individual.
[For relocation of workgroups, use PROPERTY MANAGEMENT - Moving.]

Entry No.	Description of Records	Disposal Action	
012.075.001	Records documenting the removal of an employee and their family's personal effects. Includes arrangements made for the storage of personal and household effects at Territory expense.
[For any insurance claims made for loss or damage to property, use PERSONNEL - Insurance.
For managing financial transactions supporting the moving of an employee, use FINANCIAL MANAGEMENT - Accounting and/or FINANCIAL MANAGEMENT - Payment.]	Destroy 3 years after action completed	
*012.075.001*			
Performance Management
The process of identifying, evaluating, and developing corporate and employee work performance so that the agency's goals and objectives are achieved and also benefiting employees through recognition, performance feedback, catering for work needs and offering career guidance.

Entry No.	Description of Records	Disposal Action	
012.078.001	Records documenting the management of agency performance management schemes.
[For the development of agency performance management schemes, use PERSONNEL - Policy.
For training of staff in the conduct of agency performance management schemes, use PERSONNEL - Training.]	Destroy 5 years after action completed	
*012.078.001*			
012.078.002	Records documenting the conferring of awards (honours) on individuals, staff members and teams in recognition of achievements.	Destroy 5 years after action completed	
*012.078.002*			

Performance Management (Continued)
The process of identifying, evaluating, and developing corporate and employee work performance so that the agency's goals and objectives are achieved and also benefiting employees through recognition, performance feedback, catering for work needs and offering career guidance.

Entry No.	Description of Records	Disposal Action	
012.078.003	Performance agreements with individual employees. Includes:
•	final version of agreements
•	notes from meetings with employees
•	assessment and review reports
[For Australian Workplace Agreements and other agreements/contracts covering the employment of individual employees, use PERSONNEL - Agreements. 
For Certified Agreements made under the Workplace Relations Act 1996, use INDUSTRIAL RELATIONS - Enterprise Bargaining.]	Destroy 2 years after agreement expires or is superseded	
*012.078.003*			
Planning
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.
[For broad level human resource planning, use STRATEGIC MANAGEMENT - Planning.
For individual development plans produced as part of a performance agreement, use PERSONNEL - Performance Management.]

Entry No.	Description of Records	Disposal Action	
012.079.001	Final version of agency-wide staff training and development plans. Includes training project management plans.	Destroy 5 years after plan is superseded	
*012.079.001*			
012.079.002	Final versions of agency-wide personnel plans (e.g. workplace diversity plan or succession plan).	Destroy 5 years after plan is superseded	
*012.079.002*			
012.079.003	Final version of a section or business unit's personnel plans, including state, regional or overseas office.	Destroy 3 years after plan is superseded	
*012.079.003*			

Planning (Continued)
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.
[For broad level human resource planning, use STRATEGIC MANAGEMENT - Planning.
For individual development plans produced as part of a performance agreement, use PERSONNEL - Performance Management.]

Entry No.	Description of Records	Disposal Action	
012.079.004	Final version of a section or business unit's staff training and development plans, including state, regional or overseas office.	Destroy 3 years after plan is superseded	
*012.079.004*			
012.079.005	Working papers used to develop all staff training and development plans. Includes:
•	draft plans
•	reports analysing issues
•	comments received from other areas of the agency	Destroy 1 year after adoption of the final plan	
*012.079.005*			
012.079.006	Working papers used to develop all personnel plans. Includes:
•	draft plans
•	reports analysing issues
•	comments received from other areas of the agency	Destroy 1 year after adoption of final plan	
*012.079.006*			
012.079.007	Copies of all personnel plans.	Destroy 6 months after last action	
*012.079.007*			
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.

Entry No.	Description of Records	Disposal Action	
012.080.001	Records documenting the development and establishment of the agency's personnel policies. Includes:
•	policy proposals
•	research papers
•	results of consultations
•	supporting reports
•	major drafts
•	final policy documents.	Retain as Territory Archives	
*012.080.001*			
012.080.002	Working papers documenting the development of all personnel policies.	Destroy 3 years after promulgation of new policy	
*012.080.002*			
012.080.003	Records documenting comments made on the development of government-wide policies relating to the personnel function.	Destroy 2 years after promulgation of new policy	
*012.080.003*			
012.080.004	Copies of policy documents and supporting papers.	Destroy 6 months after last action	
*012.080.004*			
Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
012.082.001	Master set of agency manuals, handbooks, directives, etc. detailing procedures supporting the personnel function.	Destroy 5 years after procedures are superseded	
*012.082.001*			
012.082.002	Records documenting the development of agency procedures supporting the personnel function.	Destroy 1 year after completion of procedures	
*012.082.002*			
012.082.003	Copies of manuals, handbooks, directives etc.	Destroy 6 months after last action	
*012.082.003*			

Recruitment
The process of recruiting which includes applying for approval to fill existing vacancies, advertising vacant positions and handling applications, interviews, selection, culling and appointment. Also includes recruiting volunteers.

Entry No.	Description of Records	Disposal Action	
012.086.001	Records documenting the filling of vacancies in an agency. Includes officers and executive and temporary employees. Includes:
•	advertisements
•	applications
•	referee reports
•	interview reports
•	gazette notices
•	notification to unsuccessful applicants.
[For letter of appointment to the successful applicant and supporting documentation, use PERSONNEL - Employment Conditions.
For post recruitment counselling, use PERSONNEL - Counselling.]	Destroy 1 year after recruitment has been finalised	
*012.086.001*			
012.086.002	Records documenting the management of unsolicited applications.	Destroy 1 year after action completed	
*012.086.002*			
Rehabilitation
The process of managing programs designed to restore the injured worker to the fullest physical, psychological, social, vocational and economic usefulness of which they are capable - consistent with pre-injury status. Includes early intervention with appropriate, adequate and timely services through the use of a rehabilitation coordinator.

Entry No.	Description of Records	Disposal Action	
012.087.001	Records documenting the rehabilitation of workers to full employment which are not related to a compensation case. Includes return to work plans.
[For rehabilitation records relating to compensation cases, use COMPENSATION - Case Management.]	Destroy 7 years after completion of rehabilitation	
*012.087.001*			
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	
012.088.001	Final version of formal internal reports and reports made to external agencies relating to the personnel function (e.g. workplace diversity report).	Destroy 5 years after action completed	
*012.088.001*			
012.088.002	Records documenting surveys carried out support the personnel function.	Destroy 5 years after action completed	
*012.088.002*			
012.088.003	Final version of periodic internal reports on general administrative matters used to monitor and document recurring activities to support the personnel function.	Destroy 3 years after action completed	
*012.088.003*			
012.088.004	Working papers documenting the development of all reports. Includes drafts and comments received.	Destroy 1 year after report is completed	
*012.088.004*			
012.088.005	Copies of personnel reports.	Destroy 6 months after last action	
*012.088.005*			

Representatives
The activities associated with the nomination, appointment or resignation of individuals or groups of personnel appointed by the organisation or their co-workers as official representatives to organisations, offices, unions, workers participation committees, councils or groups. Includes organisational legal representatives.

Entry No.	Description of Records	Disposal Action	
012.090.001	Records documenting the nomination, appointment, resignation from and/or termination of agency representatives on bodies considering matters relating to the personnel function.
[For appointments on community organisations, use COMMUNITY RELATIONS - Representatives.
For appointments on government bodies, use GOVERNMENT RELATIONS - Representatives.]	Destroy 3 years after end of appointment	
*012.090.001*			
Reviewing
The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.
[For review of a recruitment decision, use PERSONNEL - Reviews (decisions).]

Entry No.	Description of Records	Disposal Action	
012.093.001	Records documenting a review of agency programs and operations supporting the personnel function. Includes:
•	documents establishing the review
•	final version of reports
•	action plans	Destroy 5 years after action completed	
*012.093.001*			
012.093.002	Working papers documenting a review of agency programs and operations supporting the personnel function.	Destroy 2 years after action completed	
*012.093.002*			

Reviews (decisions)
The activities involved in the process of reviewing actions both by an agency, or an external body. Includes reviews of promotion decisions.
[For disciplinary action taken as a result of a misconduct charge, use PERSONNEL - Discipline.]

Entry No.	Description of Records	Disposal Action	
012.094.001	Records documenting reviews of actions, other than reviews of promotion decisions, either carried out within the agency or by an external authority.	Destroy 5 years after action completed	
*012.094.001*			
012.094.002	Records documenting applications for reviews of action that were not proceeded with (e.g. if the application for review is considered frivolous or vexatious).	Destroy 18 months after action completed	
*012.094.002*			
012.094.003	Records documenting reviews of promotion decisions.	Destroy 1 year after recruitment has been finalised	
*012.094.003*			
Salaries
The process of managing the payment of salaries to personnel.

Entry No.	Description of Records	Disposal Action	
012.096.001	Records documenting the payment of employees' salaries. Includes:
•	taxation declaration records
•	group certificates
•	payroll deduction authorities
•	records relating to the recovery of overpayments
•	deductions to satisfy a judgement debt 
•	employee pay history records
[For the payment of salaries, use FINANCIAL MANAGEMENT - Salaries.]	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.096.001*			
012.096.002	Records documenting superannuation deductions.	Destroy 7 years after termination of employment in the ACTPS	
*012.096.002*			

Salaries (Continued)
The process of managing the payment of salaries to personnel.

Entry No.	Description of Records	Disposal Action	
012.096.003	Records documenting the management of special salary packaging arrangements. Includes Fringe Benefit Tax (FBT) arrangements.	Destroy 7 years after action completed	
*012.096.003*			
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 the issue of keys to employees, use PROPERTY MANAGEMENT - Security or EQUIPMENT & STORES - Security.
For security breaches by an employee involving the inappropriate handling of records and/or the disclosure of information, use INFORMATION MANAGEMENT - Security.
For security breaches by an employee involving premises, use PROPERTY MANAGEMENT - Security.
For security breaches by an employee involving equipment and stores, use EQUIPMENT & STORES - Security.
For security breaches by an employee involving the use of technology, use TECHNOLOGY & TELECOMMUNICATIONS - Security.
For any disciplinary action taken against an employee for a breach of security, use PERSONNEL - Discipline.]

Entry No.	Description of Records	Disposal Action	
012.097.001	Register of security clearances and passes held by agency staff.	Destroy 10 years after last entry	
*012.097.001*			
012.097.002	Records documenting the issue of security passes to employees.	Destroy 5 years after pass expires	
*012.097.002*			
012.097.003	Records documenting security checks (vetting) carried out as part of pre-engagement and pre-employment checks, or periodic reviews.	Destroy 5 years after separation from the ACTPS	
*012.097.003*			

Separations
The activities associated with managing any method of leaving an agency. Includes resignation, transfer to another agency, retirement, dismissal, death, redundancy, retrenchment and dispensations of services of temporary personnel.

Entry No.	Description of Records	Disposal Action	
012.098.001	Records documenting the separation of officers and executives. Includes:
•	retirements (including retirement with incentive)
•	resignations
•	voluntary redundancies
•	dismissal 
•	death
•	retrenchment.
[For the temporary or permanent transfer of officers, use PERSONNEL - Employment Conditions.]	Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later	
*012.098.001*			
012.098.002	Records documenting the termination of a non-ongoing employee before the completion of a specified term of employment.	Destroy 7 years after termination	
*012.098.002*			
Social Clubs
The activities involved in the agency's relationship with social clubs.

Entry No.	Description of Records	Disposal Action	
012.099.001	Records documenting staff social clubs including support and/or sponsorship given by the agency.	Destroy 2 years after action completed	
*012.099.001*			
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	
012.103.001	Records documenting management of staff suggestion schemes promoted by an agency, including staff suggestions.	Destroy 2 years after action completed	
*012.103.001*			
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	
012.104.001	Signed contracts under seal resulting from tenders and supporting records.	Destroy 12 years after completion or other termination of agreement or contract	
*012.104.001*			
012.104.002	Records documenting the development and issue of tender documentation. Includes:
•	Statement of Requirements
•	Requests for Proposal
•	Expressions of Interest
•	Requests for Tender (RFT)
•	draft contracts	Destroy 7 years after tender process completed	
*012.104.002*			
012.104.003	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	
*012.104.003*			
012.104.004	Records documenting post-offer negotiations and due diligence checks.	Destroy 7 years after tender process completed	
*012.104.004*			
012.104.005	Tender register.	Destroy 7 years after last entry	
*012.104.005*			
012.104.006	Signed simple contracts and agreements resulting from tenders and supporting records.	Destroy 7 years after completion or other termination of agreement or contract	
*012.104.006*			
012.104.007	Contract register.	Destroy 7 years after last entry	
*012.104.007*			

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	
012.104.008	Records of unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued. Includes submissions, notification of outcome and reports on debriefing sessions.	Destroy 2 years after tender process completed or decision made not to continue with the tender	
*012.104.008*			
Training
The activities associated with all aspects of the provision of training and development (external/internal).

Entry No.	Description of Records	Disposal Action	
012.105.001	Records documenting occupational health and safety training provided to agency staff including managers and occupational health and safety representatives. Includes hazardous substance training and training provided to staff working in confined spaces.	Destroy 50 years after training is completed	
*012.105.001*			
012.105.002	Occupational health and safety (OH&S) training register.	Destroy 50 years after last entry	
*012.105.002*			
012.105.003	Records documenting the administration of specific study schemes (e.g. Studybank, scholarships, agency-supported apprenticeship and other specific trainee schemes).	Destroy 7 years after action completed	
*012.105.003*			
012.105.004	Notices of examination results of either internal or external courses attended by staff.	Destroy 7 years after action completed	
*012.105.004*			

Training (Continued)
The activities associated with all aspects of the provision of training and development (external/internal).

Entry No.	Description of Records	Disposal Action	
012.105.005	Records documenting the administration of government-wide initiatives.	Destroy 5 years after action completed	
*012.105.005*			
012.105.006	Records detailing staff attendance at both internal and external courses.	Destroy 3 years after action completed	
*012.105.006*			
012.105.007	Records documenting assessments of internally and externally conducted courses. Includes course evaluations made by staff after attending courses.	Destroy 3 years after action completed	
*012.105.007*			
012.105.008	Records detailing administrative arrangements supporting the conduct of training courses run internally by the agency. Includes:
•	processing applications
•	venue bookings
•	hire of equipment
•	catering 
•	copies of financial records.
[For the payment of accounts supporting the running of internal courses, use FINANCIAL MANAGEMENT - Accounting and Payments.]	Destroy 2 years after action completed	
*012.105.008*			
012.105.009	Records detailing administrative arrangements supporting the attendance of staff on training courses. Includes confirmation of course attendance and lodgement of application forms.
[For travel and accommodation arrangements made for staff to attend training courses, use PERSONNEL - Arrangements.]	Destroy 2 years after action completed	
*012.105.009*			
012.105.010	Working papers documenting the development of training material for courses run internally by the agency.	Destroy 1 year after training material is produced	
*012.105.010*			

Training (Continued)
The activities associated with all aspects of the provision of training and development (external/internal).

Entry No.	Description of Records	Disposal Action	
012.105.011	Master set of training material for courses run internally by the agency (e.g. induction courses, graduate training and training of volunteers). Includes:
•	programs
•	lecture notes
•	hand-outs
•	films and videos.
[For publishing training material, use PUBLICATION - Production.]	Destroy 6 months after action completed	
*012.105.011*			

RETAIN AS TERRITORY ARCHIVES
PERSONNEL
The function of managing all employees and volunteer workers in the agency. Including encouraging staff to develop their skills and abilities (through activities, programs and events) to maximise their potential and increase their productivity by identifying and implementing all aspects of training and development needs and programs (internal and external) available. Also includes reviews of actions, overtime, salaries, superannuation, working hours.
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.

Entry No.	Description of Records	Disposal Action	
012.080.001	Records documenting the development and establishment of the agency's personnel policies. Includes:
•	policy proposals
•	research papers
•	results of consultations
•	supporting reports
•	major drafts
•	final policy documents	Retain as Territory Archives	
*012.080.001*			

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

Changes to  NI2009-448	Dated	10 September 2009	
New Features (Insertions)	
FUNCTION	Activity	Entry no.	Description	

Enhancements (Changes)	
FUNCTION	Activity	Entry no.	Description	
PERSONNEL	Acquisition	012.003.001	omit
to support the staff development function
substitute
to support the personnel function	
PERSONNEL	Conferences	012.022.005	omit
use STAFF DEVELOPMENT – Arrangements
substitute
use PERSONNEL – Arrangements	
			
Corrections (Deletions)	
FUNCTION	Activity	Entry no.	Description