Australian Capital Territory
Territory Records (Records Disposal Schedule – Operational Training Records) Approval 2012 (No 1)
Notifiable instrument NI2012—188
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 – Operational Training Records) Approval 2012 (No 1)
2.	Approval
I approve the Records Disposal Schedule – Operational Training Records.
3.	Commencement
This instrument commences on the day after notification.
4.	Revocation
I revoke Notifiable Instrument:
NI2011-91 notified 7 March 2011.

David Wardle
Director of Territory Records
29 March 2012

Records Disposal Schedule
Operational Training Records

Table of Contents
PURPOSE	4
SCOPE	4
AUTHORITY	4
STRUCTURE AND RELATIONSHIP TO THE TERRITORY WHOLE OF GOVERNMENT THESAURUS	4
Whole of Government Thesaurus	5
GUIDELINES FOR USE	5
Coverage of authority	5
Layout of the schedule	6
FORMAT OF RECORD	7
Electronic records	7
DESTRUCTION OF RECORDS	7
UPDATING THE RECORDS DISPOSAL SCHEDULE	7
ASSISTANCE IN USING THE RECORDS DISPOSAL SCHEDULE	7
RELATED LEGISLATION	8
DEFINITIONS	9
Agency	9
Appraisal	9
Business Classification Scheme	9
Principal Officer	9
Records	9
Records of an Agency	9
Records Disposal Schedule	9
Records Management Program	10
Recordkeeping Systems	10
Scope Note	10
Sentencing	10
Territory Archives	10
BUSINESS CLASSIFICATION SCHEME	1
OPERATIONAL TRAINING	2
RECORDS DISPOSAL SCHEDULE	1
OPERATIONAL TRAINING	2
Acquisition	2
Advice	2
Agreements	3
Appeals (decisions)	3
Arrangements	4
Audit	4
Ceremonies	4
Client Management	5
Committees	5
Committees (Continued)	6
Compliance	6
Contracting out	7
Course Delivery	7
Course Development	8
Enquiries	8
Enrolment	9
Evaluation	9
Examination and Assessment	10
Joint ventures	11
Liaison	11
Meetings	12
Planning	12
Policy	13
Procedures	13
Reporting	14
Reviewing	15
Tendering	15
Tendering (Continued)	16
Training Exercises	16
RETAIN AS TERRITORY ARCHIVES	17
OPERATIONAL TRAINING	18
Audit	18
Committees	18
Course Development	19
Procedures	19
SCHEDULE OF AMENDMENTS – this information is provided for the assistance of users but does not form part of the Notifiable Instrument.	20

INTRODUCTION
The Records Disposal Schedule – Emergency Services Records is the official authority for the disposal of these ACT Government Records.
It is one of a series of Records Disposal Schedules authorised by the Director of Territory Records in accordance with the provisions of the Territory Records Act 2002. It is used in conjunction with other Territory Records Disposal Schedules.
PURPOSE
The purpose of this Records Disposal Schedule is to provide for the authorised disposal of records created or maintained by ACT Government Agencies.
SCOPE
This Records Disposal Schedule applies to records created or maintained by ACT Government Agencies. It applies to records in any format, including electronic records.
AUTHORITY
The Director of Territory Records, in consultation with stakeholders and the Territory Records Advisory Council, has approved this Records Disposal Schedule for use. The schedule does not take effect until it has been incorporated into an agency's Records Management Program that has been signed off by the Principal Officer of the agency.
Even so, officers using this Records Disposal Schedule should apply it with caution. They should be aware that the authorisations for disposal are given in terms of the Territory Records Act 2002 only. Officers must not dispose of records in contravention of this Records Disposal Schedule or other requirements such as a records disposal freeze.  Current records disposal freezes can be found at the Territory Records Office Internet site http://www.territoryrecords.act.gov.au/recordsadvice.
This Records Disposal Schedule will remain in force until a new schedule supersedes it or the Director of Territory Records withdraws it from use.
STRUCTURE AND RELATIONSHIP TO THE TERRITORY WHOLE OF GOVERNMENT THESAURUS
A Records Disposal Schedule generally specifies retention periods. That is, how long records are to be retained by the agency before being destroyed or retained as Territory Archives.
Retention periods set down in this schedule are minimum periods only and an agency may keep records for a longer period if considered necessary for business requirements. Reasons for longer retention could include legal requirements, administrative need or agency directives. An agency must not dispose of any records where it is aware of possible legal action for which the records may be required as evidence or if there is a current records disposal freeze in effect.
The Records Disposal Schedule – Emergency Services Records has a hierarchical structure that reflects its arrangements according to functions and activities, rather than by subject, and this also reflects a close relationship to the Territory Whole of Government Thesaurus originally based on the Territory Version of Keyword AAA. The Records Disposal Schedule is designed to be applicable to all ACT Government records regardless of titling conventions used, so that records, which have not been titled using the terminology represented by this Records Disposal Schedule, may still be sentenced with relative ease.
Whole of Government Thesaurus
The Whole of Government Thesaurus is a controlled vocabulary of terms designed for use in the classifying, titling and indexing of records on creation.
The Whole of Government Thesaurus has been developed on the basis of the Territory Version of Keyword AAA (TVKAAA 2010), a thesaurus which incorporated 16 common functions. All other functions within the Whole of Government Thesaurus are considered functions performed by the ACT Government and have been included following consultation with agencies and after consideration by the Territory Records Office (TRO) via a formal approval process.
The Whole of Government Thesaurus is mandated by the TRO for use by all ACT Government agencies as part of their classifying and titling of paper and electronic records.  See also Records Advice No.28 Functional directories on shared drives.
The disposal actions listed in this Records Disposal Schedule were determined through the process of appraisal in accordance with Territory Records Office Standard for Records Management No.2 - Appraisal. Appraisal is based upon the same type of analysis of business activity employed in the classification scheme used in the original Territory Version of Keyword AAA. Essentially, appraisal involves attaching record retention periods and disposal decisions (and even records creation requirements and rules) to the same classification scheme.
GUIDELINES FOR USE
Coverage of authority
The Records Disposal Schedule - Emergency Services Records:
•	covers all ACT Government records;
•	is intended to be used in conjunction with other Territory Records Disposal Schedules;
•	specifies the minimum period records should be kept (retention periods) 
•	specifies whether, upon the expiry of the retention periods, the records may be destroyed or are required as Territory Archives; and
•	is applicable to records created and maintained in any format, including electronic or formats such as microfiche.
Layout of the schedule
This Records Disposal Schedule begins with an introduction incorporating definitions and the business classification scheme. Then each of the functions and activity disposal sets or 'disposal classes' relating to the functions are described. These are followed by a composite list of classes designated 'Retain as Territory Archives'. The functions and activity disposal sets show the following details:
Function.
This is the broad level business function and is displayed in bold capital letters at the top of each page. It is the highest level in the business classification scheme. It is followed by the scope note, which provides definitions of the function and a collective view of the business activities that make that function unique.
Activity.
Activities are the processes or operations that make up the business function. They are set in bold and italics below the function statement. This is the second level of the business classification scheme. The scope of the activity encompasses all of the transactions that take place in relation to the activity. Activities can relate to many functions with the scope notes covering all of these relationships (e.g., the activity 'Policy' is linked to all of the functions). However, each function and activity set represents a unique unit.
Entry No.
This is the disposal class number allocated based on the function and activity set and the class number of the record. The barcode is the same as the Entry No. and may be used in an automated recordkeeping system.
Description of Records.
This is the description of the records documenting the business function, activity and transactions. The descriptions can relate to one record such as a register or a group of records documenting a particular set of transactions.
Disposal Action.
This is the minimum period a record must be kept for and is the trigger event from which the disposal date can be calculated.

FORMAT OF RECORD
This Records Disposal Schedule is applicable to any record that performs the function prescribed, irrespective of format. Records may include:
•	cards;
•	registers;
•	files;
•	microfilm;
•	COM (computer output microfiche);
•	electronic records, including various electronic media, and
•	any other formats.

Electronic records
Refers to records created, communicated and maintained by means of electronic equipment. Information could be maintained/stored in a number of ways - on the database (the main database, or a special archives database); on magnetic media; on optical disks; or on separate hardcopy (paper, COM).
Electronic records must be readily accessible for the length of the specified retention period. Routine treatment (such as wiping, updating, alterations or re-recording) does not constitute disposal.
DESTRUCTION OF RECORDS
When the approved disposal date for the destruction of records has been reached, appropriate arrangements for their destruction should be made. It is the responsibility of each agency to ensure that its records are destroyed in a secure and appropriate manner as indicated in the agency Records Management Program.
UPDATING THE RECORDS DISPOSAL SCHEDULE
Records Disposal Schedules are reviewed and updated from time to time. For suggested amendments or alterations to this schedule please contact the Director of Territory Records.
ASSISTANCE IN USING THE RECORDS DISPOSAL SCHEDULE
Agencies requiring any assistance in the interpretation or implementation of any Records Disposal Schedule are encouraged to contact the Director of Territory Records.

RELATED LEGISLATION
The following legislation is related to the record classes covered by this Records Disposal Schedule: 
Emergencies Act 2004
Evidence Act 1971
Freedom of Information Act 1989 
Health Records (Privacy and Access) Act 1997
Occupational Health and Safety Act 1989 
Privacy Act 1998 (Commonwealth)
Public Sector Management Act 1994
Territory Records Act 2002 

DEFINITIONS
Agency
The Executive, an ACT Court, the Legislative Assembly Secretariat, an administrative unit, a Board of Inquiry, a Judicial or Royal Commission, any other prescribed authority, or an entity declared under the regulations of the Territory Records Act 2002 to be an agency.
Appraisal
The process of evaluating business activities to:
•	determine which records need to be captured;
•	determine how long the records need to be kept to meet business needs; and
•	meet the requirements of organisational accountability and community expectations.
Business Classification Scheme
A hierarchical scheme for identifying and defining the functions, activities and transactions an agency performs in the conduct of its business, and the relationships between them.
Principal Officer
The Chief Executive of an administrative unit, or its equivalent in other types of agencies.
Records
Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transition of business. This recorded information must be maintained or managed by the agency to provide evidence of their business activities. Records can be in written, electronic or any other form.
Records of an Agency
Records, in writing, electronic or any other form, under the control of an agency or to which it is entitled to control, kept as a record of its activities, whether it was created or received by the agency.
Records Disposal Schedule
A document approved by the Director of Territory Records, which sets out the types of records an agency must make and how long they must be kept.
Records Management Program
A document that complies with Section 16 of the Territory Records Act 2002 by setting out the means by which an agency will manage its records, and is approved by the agency's Principal Officer.
Recordkeeping Systems
Information systems that capture, maintain and provide access to records over time. While the term is often associated with computer software, Recordkeeping Systems also encompass policies, procedures, practices and resources that are applied within an agency to ensure that full and accurate records of business activity are made and kept.
Scope Note
An explanation of terms used in describing the records and the context in which they were made and used.
Sentencing
The process of applying appraisal decisions to individual records by determining the part of a Records Disposal Schedule that applies to the record and assigning a retention period consistent with that part.
Territory Archives
Records preserved for the benefit of present and future generations.

BUSINESS CLASSIFICATION SCHEME

OPERATIONAL TRAINING
The function of planning, providing, managing and evaluating training in emergency situations. Includes training in the use of specialised emergency equipment, communications and appliances and the provision of training to external organisations or individuals on a commercial basis. Also includes ongoing training, exercises and drills conducted. 
[For records regarding the development of skills and abilities for personnel, that are not emergency based, see PERSONNEL.]
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.
Appeals (Decisions)
The activities involved in the process of appeals against decisions by application to a higher authority. 
Arrangements
The activities involved in arranging for a journey or trip. Includes preparing travel itineraries, authorisations, entitlements etc Also includes arrangements made for the delivery of equipment or goods and the usage made of facilities, vehicles, equipment and space. 
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 the agency in a specified period. Includes compliance audits, financial audits, operational audits, recordkeeping audits, skills audits, system audits and quality assurance audits. 

Ceremonies
The activities associated with arranging and managing a formal act performed for a special occasion. 
Client Management
The activities associated with managing the organisation's clients. Includes contact lists, client details, distribution of information regarding services, etc. 
Committees
The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc. 
Compliance
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the agency is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series. 
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. 
Course Delivery
The means by which teaching is conducted. 
Course Development
The process of developing curricula for courses. This includes the initiation or discussion of proposals. 
Enquiries
The activities associated with handling requests for information about the agency and its services by the general public, agency employees or another agency. 
Enrolment
The process of registering/enrolling in a course or subject. 
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. 
Examination and Assessment
The process of testing knowledge and understanding of students by examination and other techniques, such as ongoing assessment. Includes arrangements for subject and university entrance examinations. 
Joint Ventures
The activities involved in managing joint operations between departments, either within the agency or with other agencies, or with the government, where there is a contract, joint contribution of funds and/or time. Also includes private sector ventures with public sector organisations, and co-research or collaboration between inter-departmental units, departments or agencies. 
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. 
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. 
Procedures
Standard methods of operating laid down by an organisation 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), and to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. 
Reviewing
The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities. 
Tendering
The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services. 
Training Exercises
The activities involved in planning, organising, carrying out, evaluating and reporting on training exercises. 

RECORDS DISPOSAL SCHEDULE

OPERATIONAL TRAINING
The function of planning, providing, managing and evaluating training in emergency situations. Includes training in the use of specialised emergency equipment, communications and appliances and the provision of training to external organisations or individuals on a commercial basis. Also includes ongoing training, exercises and drills conducted.
[For records regarding the development of skills and abilities for personnel, that are not emergency based, see PERSONNEL.]
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	
091.003.001	Records relating to the acquisition and/or licensed use of learning and assessment materials. These may include:
•	training packages 
•	learning support materials 
•	assessment guides 
•	student logs 
•	teaching plans 
•	implementation plans 
•	student and teacher resources.	Destroy 7 years after date of purchase or expiry of the licence	
*091.003.001*			
Advice
The activities associated with offering opinions as to an action or judgement. Includes the process of advising.
[For the provision of advice to the Minister or Chief Minister, use GOVERNMENT RELATIONS - Advice.
For legal advice, use LEGAL SERVICES - Advice.
For the development of submissions in relation to advice, use INDUSTRY DEVELOPMENT - Submissions.]

Entry No.	Description of Records	Disposal Action	
091.005.001	Records relating to the provision or receipt of general advice relating to training and assessment. Includes the provision of advice to prospective clients relating to:
•	enrolment and orientation procedures;
•	course information;
•	fees and charges records.	Destroy 2 years after last action	
*091.005.001*			
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.
[For agreements with other governments, including international governments, use GOVERNMENT RELATIONS - Agreements.]

Entry No.	Description of Records	Disposal Action	
091.006.001	Records relating to the establishment, maintenance and review of agreements and contracts.	Destroy 7 years after expiry or other termination of agreement	
*091.005.001*			
091.006.002	Register of agreements.	Destroy 7 years after expiry or other termination of agreement	
*091.006.002*			
Appeals (decisions)
The activities involved in the process of appeals against decisions by application to a higher authority.

Entry No.	Description of Records	Disposal Action	
091.009.001	Records relating to appeals made by clients including copies of outcome reports. May include appeals relating to:
•	course exclusions;
•	results;
•	assessments;
•	harassment;
•	discrimination.	Destroy 7 years after appeal outcome is finalised, or when the client has reached 25 years of age, whichever is the latter	
*091.009.001*			

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	
091.011.001	Records documenting training course arrangements. Records could include venue booking, hire of equipment, catering, lodgement and processing of applications, confirmation notices, parking, etc.	Destroy 2 years after course conducted	
*091.011.001*			
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	
091.013.001	Final audit reports relating to audits of the operational training function that result in substantial change to procedures or policy.	Retain as Territory Archives	
*091.013.001*			
091.013.002	Final audit report relating to audits of the operational training function that do not result in substantial change to procedures or policy.	Destroy 7 years after audit completed	
*091.013.002*			
091.013.003	Working papers relating to audits of the operational training function.	Destroy 2 years after audit completed	
*091.013.003*			
Ceremonies
The activities associated with arranging and managing a formal act performed for a special occasion.

Entry No.	Description of Records	Disposal Action	
091.018.001	Records relating to the conduct of ceremonies for the presentation of qualifications and statements of attainment.	Destroy 2 years after last action	
*091.018.001*			
Client Management
The activities associated with managing the organisation's clients. Includes contact lists, client details, distribution of information regarding services, etc.

Entry No.	Description of Records	Disposal Action	
091.234.001	Records relating to the management of clients training needs. Records could include course applications, course reminders, confirmation letters, contact details, lists of attendees, payment details, etc.	Destroy 6 months after last action	
*091.234.001*			
Committees
The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc.
[For audit committees, use STRATEGIC MANAGEMENT - Committees.
For the establishment of advisory councils or governing boards with decision making responsibility for agency policy and/or planning, use STRATEGIC MANAGEMENT - Committees.]

Entry No.	Description of Records	Disposal Action	
091.020.001	Records of internal committees and external committees where the agency has the administrative or secretariat role including VET management group, industry advisory committees, assessment committees etc. These may include:
•	final versions of minutes;
•	agenda;
•	briefing and discussion papers.	Retain as Territory Archives	
*091.020.001*			
091.020.002	Records of external committees where the organisation does not have the administrative or secretariat role. Includes: 
•	final versions of minutes 
•	agenda papers 
•	reports 
•	submissions.	Destroy 2 years after action completed or following next registration audit whichever is the latter	
*091.020.002*			

Committees (Continued)
The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc.
[For audit committees, use STRATEGIC MANAGEMENT - Committees.
For the establishment of advisory councils or governing boards with decision making responsibility for agency policy and/or planning, use STRATEGIC MANAGEMENT - Committees.]

Entry No.	Description of Records	Disposal Action	
091.020.003	Records relating to the establishment of committees including the appointment of members for committees not included above.	Destroy 2 years after last action	
*091.020.003*			
091.020.004	Records relating to the conduct and administration of committees including notices of meetings and correspondence.	Destroy 2 years after last action	
*091.020.004*			
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	
091.021.001	Records relating to major breaches of compliance with registration requirements resulting in suspension or cancellation of registration.	Destroy 7 years after suspension or cancellation of registration	
*091.021.001*			
091.021.002	Records relating to registration under the Australian Quality Training Framework (AQTF) standards for Registered Training Organisations (RTOs). These records may include:
•	self assessments;
•	applications for registration;
•	certificate of registration.	Destroy 2 years after accreditation or registration expires or is superseded	
*091.021.002*			
091.021.003	Records relating to minor breaches of compliance with registration requirements that do not result in suspension or cancellation of registration.	Destroy 2 years after last action	
*091.021.003*			
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	
091.025.001	Records relating to the arrangements for, and the management of, training and/or assessment services by external parties. Records may include: 
•	agreements;
•	memorandum of understanding;
•	correspondence;
•	vocational placement agreements;
•	progress reports.	Destroy 7 years after expiry or other termination of agreement	
*091.025.001*			
Course Delivery
The means by which teaching is conducted.

Entry No.	Description of Records	Disposal Action	
091.229.001	Subject resources and material used in course delivery. Examples of records: Subject outlines, study guides, readings, self assessment exercises, reading lists, assignment lists, lecture notes.	Destroy 7 years after last action	
*091.229.001*			
091.229.002	Examination papers - master set of questions.	Destroy 7 years after last action	
*091.229.002*			
091.229.003	Working papers for course/subject preparation and/or delivery. Examples of records: Research notes and drafts of documents.	Destroy 6 months after last action	
*091.229.003*			
091.229.004	Attendance records.	Destroy 2 years after delivery of course	
*091.229.004*			

Course Development
The process of developing curricula for courses. This includes the initiation or discussion of proposals.

Entry No.	Description of Records	Disposal Action	
091.230.001	Master records relating to development of courses and programs of study. Records could include master set of programs, lecture notes, training manuals, hand-outs, films and videos, photographs, slides, scripts, brochures.	Retain as Territory Archives	
*091.230.001*			
091.230.002	One representative sample, for each calendar year, of training programs and presentation materials.	Retain as Territory Archives	
*091.230.002*			
091.230.003	Working papers and related correspondence documenting the development of the curriculum.	Destroy 2 years after last action	
*091.230.003*			
Enquiries
The activities associated with handling requests for information about the agency and its services, programs and activities.

Entry No.	Description of Records	Disposal Action	
091.040.001	Records relating to enquiries for routine information.	Destroy 6 months after last action	
*091.040.001*			

Enrolment
The process of registering/enrolling all students in a course or subject. Includes the enrolment of international and exchange students.

Entry No.	Description of Records	Disposal Action	
091.182.001	Records documenting enrolment in training and/or assessments. These may include: 
•	enrolment details;
•	personal details;
•	certified attendance lists;
•	enrolment forms (where no other record of enrolment exists).	Destroy 30 years after assessment enrolment completed	
*091.182.001*			
091.182.002	Records supporting the process of enrolment in training and/or assessment. These may include:
•	enrolment forms;
•	daily roll books.
[See 4.27.1 where these are the only record of enrolment.]	Destroy 2 years after evaluation	
*091.182.002*			
091.182.003	Records relating to the determination of fees and charges for training and assessment.
[See FINANCIAL MANAGEMENT for financial transactions relating to the payment or refund of fees.]	Destroy 2 years after last action	
*091.182.003*			
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	
091.042.001	Record documenting the evaluation of courses, including assessment of courses by participants in Registered Training Organisation (RTO) modules.	Destroy after next registration audit	
*091.042.001*			
091.042.002	Record documenting the evaluation of courses, including assessment of courses by participants that are not Registered Training Organisation (RTO) modules.	Destroy 2 years after last action	
*091.042.002*			
Examination and Assessment
The process of testing knowledge and understanding of students by examination and other techniques, such as ongoing assessment. Includes arrangements for subject and university entrance examinations.

Entry No.	Description of Records	Disposal Action	
091.186.001	Records of assessment results of individuals. These may include:
•	result details contained in database/register;
•	lists of results (where no other record of results exists);
•	copies of qualifications (where no other record of results exists).	Destroy 30 years after assessment	
*091.186.001*			
091.186.002	Records documenting the assessment of individuals not included above. These may include:
•	assessment tools;
•	assessment checklists;
•	assessment reports;
•	evidence submitted by clients;
•	assessment reviews;
•	client assessment records (books);
•	photographs.	Destroy after master record of assessment is produced or updated and appeals period has passed	
*091.186.002*			
091.186.003	Records documenting validation of the assessment process conducted in conjunction with other Registered Training Organisations (RTOs). Includes samples of assessment instruments and assessment evidence used in the validation process.	Destroy 2 years after registration audit is completed	
*091.186.003*			
091.186.004	Records relating to administrative arrangements for assessment which may include:
•	venue bookings;
•	equipment bookings;
•	timetabling;
•	notices of assessment.	Destroy 6 months after last action	
*091.186.004*			
091.186.005	Records relating to requests for the issue or replacement of qualifications and statements of attainment.	Destroy 6 months after last action	
*091.186.005*			
Joint ventures
The activities involved in managing joint operations between the agency and other agencies, or with the government, where there is a contract, joint contribution of funds and/or time. Includes private sector ventures with public sector organisations, and co-research or collaboration between inter-departmental units, departments or agencies.

Entry No.	Description of Records	Disposal Action	
091.062.001	Records relating to the management of joint ventures or partnerships, including the establishment, maintenance and review of joint venture agreements and contracts.	Destroy 7 years after termination of arrangement	
*091.062.001*			
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	
091.067.001	Records relating to contact with national bodies, professional associations, industry bodies, private sector organisations, government agencies and community groups regarding training deliver and/or assessment. Includes membership of industry and professional associations.	Destroy after next registration audit	
*091.067.001*			
091.067.002	Records relating to maintaining regular contact with other organisations and persons with an interest in operational training activities. Includes exchange of contact details and information (e.g. newsletters).	Destroy 6 months after last action	
*091.067.002*			

Meetings
The activities associated with regular or ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the function. Includes staff meetings, arrangements, agenda, taking of minutes, etc. Excludes committee meetings.

Entry No.	Description of Records	Disposal Action	
091.072.001	Records of ad hoc meetings which may include the master set of:
•	agenda papers;
•	minutes;
•	briefing papers;
•	discussion papers;
•	administrative arrangements.	Destroy 2 years after last action	
*091.072.001*			
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	
091.079.001	Records relating to planning operational training activities, (e.g. training project schedules, project plans). Records could include feasibility studies, strategic plans.	Destroy 7 years after last action	
*091.079.001*			
091.079.002	Records relating to the development, maintenance and review of business plans for the provision and management of training delivery and assessment. See Course Delivery for training plans and session plans.	Destroy 2 years after plan is superseded	
*091.079.002*			
091.079.003	Routine organisational matters relating to the planning process.	Destroy 2 years after last action	
*091.079.003*			

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	
091.080.001	Records relating to the establishment and development of policy in relation to operational training. Includes policy proposals, research papers, results of consultations, supporting reports and final documents.	Destroy 7 years after policy is superseded	
*091.080.001*			
091.080.002	Ancillary records supporting the development of the organisation's policy concerning operational training function. Includes working papers and drafts.	Destroy 2 years after policy is promulgated	
*091.080.002*			
Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
091.082.001	Master copies of procedures or instructions in regards to operational training. Including the development and review of Quality Management System Procedures to ensure quality training and assessments.	Retain as Territory Archives	
*091.082.001*			
091.082.002	Ancillary records supporting the development of the organisation’s procedures, etc. Includes working papers and drafts.	Destroy 2 years after last action	
*091.082.002*			

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.
[For the Annual Report drafting process, use PUBLICATIONS - Drafting.
For submissions of annual reports to the Portfolio Minister, use GOVERNMENT RELATIONS - Compliance.]

Entry No.	Description of Records	Disposal Action	
091.088.001	All records, including training databases, documenting details of specific training received by members of the organisation and volunteers. Training includes rescue operations, urban search and rescue, hazardous materials.	Destroy 30 years after training is completed	
*091.088.001*			
091.088.002	Records relating to the provision of reports to comply with internal (Quality Management System) and external reporting requirements. These may include:
•	Letters of Completion;
•	Management Review Reports;
•	Customer Feedback.	Destroy 2 years after action completed or next registration audit whichever is the latter	
*091.088.002*			
091.088.003	Training log books (or similar) of officers documenting their individual training, competencies achieved, skills maintenance, etc.	Destroy after offer to officer on retirement or leaving, if not wanted destroy after 2 years	
*091.088.003*			

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

Entry No.	Description of Records	Disposal Action	
091.093.001	Records relating to reviews of training delivery and assessment including the collection and analysis of stakeholder and client feedback.	Destroy after next registration audit	
*091.093.001*			
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	
091.104.001	Records documenting the development and issue of tender documentation. Includes Statement of Requirements, Request for Proposals, Expression of Interest, Request for Tender (RFT) and draft contract.	Destroy 7 years after tender process completed	
*091.104.001*			
091.104.002	Evaluation of tenders received against selection criteria. Includes records documenting arrangements for carrying out the evaluation process, evaluation report, recommendations, final report and public notices.	Destroy 7 years after tender process completed	
*091.104.002*			
091.104.003	Records documenting post-offer negotiations and due diligence checks.	Destroy 7 years after tender process completed	
*091.104.003*			
091.104.004	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	
*091.104.004*			
091.104.005	Tender register.	Destroy 7 years after last entry	
*091.104.005*			

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	
091.104.006	Signed contracts under seal resulting from tenders and supporting records.	Destroy 12 years after completion of contract	
*091.104.006*			
091.104.007	Signed simple contracts and agreements resulting from tenders and supporting records.	Destroy 7 years after completion of contract	
*091.104.007*			
091.104.008	Contract register.	Destroy 7 years after last entry	
*091.104.008*			
Training Exercises
The activities involved in planning, organising, carrying out, evaluating and reporting on training exercises.

Entry No.	Description of Records	Disposal Action	
091.407.001	Records documenting activities such as exercises and drills, which prepare staff to respond to emergencies. Includes inter-agency exercises, joint ventures.	Destroy 7 years after exercise completed	
*091.407.001*			

RETAIN AS TERRITORY ARCHIVES

OPERATIONAL TRAINING
The function of planning, providing, managing and evaluating training in emergency situations. Includes training in the use of specialised emergency equipment, communications and appliances and the provision of training to external organisations or individuals on a commercial basis. Also includes ongoing training, exercises and drills conducted.
[For records regarding the development of skills and abilities for personnel, that are not emergency based, see PERSONNEL.]
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	
091.013.001	Final audit reports relating to audits of the operational training function that result in substantial change to procedures or policy.	Retain as Territory Archives	
*091.013.001*			
Committees
The activities associated with the managing of committees and task forces. Includes the committee's establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc.
[For audit committees, use STRATEGIC MANAGEMENT - Committees.
For the establishment of advisory councils or governing boards with decision making responsibility for agency policy and/or planning, use STRATEGIC MANAGEMENT - Committees.]

Entry No.	Description of Records	Disposal Action	
091.020.001	Records of internal committees and external committees where the agency has the administrative or secretariat role including VET management group, industry advisory committees, assessment committees etc. These may include:
•	final versions of minutes;
•	agenda;
•	briefing and discussion papers.	Retain as Territory Archives	
*091.020.001*			
Course Development
The process of developing curricula for courses. This includes the initiation or discussion of proposals.

Entry No.	Description of Records	Disposal Action	
091.230.001	Master records relating to development of courses and programs of study. Records could include master set of programs, lecture notes, training manuals, hand-outs, films and videos, photographs, slides, scripts, brochures.	Retain as Territory Archives	
*091.230.001*			
091.230.002	One representative sample, for each calendar year, of training programs and presentation materials.	Retain as Territory Archives	
*091.230.002*			
Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
091.082.001	Master copies of procedures or instructions in regards to operational training. Including the development and review of Quality Management System Procedures to ensure quality training and assessments.	Retain as Territory Archives	
*091.082.001*			

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

Amendments to the Operational Training Records Disposal Schedule	Dated	March 2012	

Function (Amendments)	
The OPERATIONAL TRAINING disposal schedule reissued as a separate Instrument due to removal of the MATERIEL SUPPORT Function from NI2011-91 Emergency Services Records and according to current procedures.	

New Features (Insertions)	
Activity	Entry no.	Description	

Enhancements (Changes)	
Activity	Entry no.	Description