Australian Capital Territory
Territory Records (Records Disposal Schedule – Government Insurance Services Records) Approval 2017 (No 1)
Notifiable instrument NI2017 —604
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 – Government Insurance Services Records) Approval 2017 (No 1)
2	Commencement
This instrument commences on the day after notification.
3	Approval
I approve the Records Disposal Schedule – Government Insurance Services Records.
4	Revocation
This instrument revokes Territory Records (Records Disposal Schedule - Government Insurance Services Records) Approval 2009 (No 1) NI2009-630.

Danielle Wickman
Director of Territory Records
14 November 2017

Records Disposal Schedule
Government Insurance Services Records

Table of Contents
INTRODUCTION
PURPOSE
SCOPE
AUTHORITY
STRUCTURE AND RELATIONSHIP TO THE TERRITORY VERSION OF KEYWORD AAA
Whole of Government Thesaurus
GUIDELINES FOR USE
Coverage of authority
Layout of the schedule
FORMAT OF RECORD
Electronic records
DESTRUCTION OF RECORDS
UPDATING THE RECORDS DISPOSAL SCHEDULE
ASSISTANCE IN USING THE RECORDS DISPOSAL SCHEDULE
RELATED LEGISLATION
DEFINITIONS
Agency
Appraisal
Business Classification Scheme
Principal Officer
Records
Records of an Agency
Records Disposal Schedule
Records Management Program
Recordkeeping Systems
Scope Note
Sentencing
Territory Archives
BUSINESS CLASSIFICATION SCHEME
GOVERNMENT INSURANCE SERVICES
RECORDS DISPOSAL SCHEDULE
GOVERNMENT INSURANCE SERVICES
Addresses (presentations)
Advice
Agreements
Claims
Claims (Continued)
Claims (Continued)
Committees
Compliance
Contracting out
Distribution
Enquiries
Liaison
Meetings
Planning
Policy
Policy (Continued)
Procedures
Reporting
Representatives
Research
Reviewing
Risk Management & Insurance
Standards
Submissions
Tendering
Tendering (Continued)
Training
Training (Continued)
RETAIN AS TERRITORY ARCHIVES
GOVERNMENT INSURANCE SERVICES
Addresses (presentations)
Advice
Agreements
Claims
Committees
Meetings
Planning
Policy
Procedures
Reporting
Research
Risk Management & Insurance
Standards
Submissions
SCHEDULE OF AMENDMENTS – this information is provided for the assistance of users but does not form part of the Notifiable Instrument.

INTRODUCTION
The Records Disposal Schedule – Government Insurance Services Records is the official authority for the disposal of these ACT Government records.
It is one of a series of Whole of Government 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.
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 VERSION OF KEYWORD AAA
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 take all reasonable steps to ensure that no legal action is contemplated in relation to its records and 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 – Government Insurance 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 Version of Keyword AAA. The Records Disposal Schedule is designed to be applicable to all 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 incorporating 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 Director of Territory Records 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 (Records, Information and Data) Standard 2016. Appraisal is based upon the same type of analysis of business activity employed in the classification scheme used in the 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 - Government Insurance Services Records:
•	covers all records related to the function;
•	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
•	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 records classes covered by this Records Disposal Schedule:
Crimes Act 1900
Evidence Act 1971
Freedom of Information Act 1989
Insurance Authority Act 2005
Privacy Act 1988 (Cwlth)
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

GOVERNMENT INSURANCE SERVICES
The function of providing insurance services and promoting good risk management practices to the ACT Government, community and insurance industry for both physical assets and personal liability.  Identifies and provides funding for the types and levels of risk encountered by agencies and enables the costs of insurable claims and losses to be met in a timely and cost effective manner.  Services include insurance protection, managing insurance claims by and against the Territory, including claims related to the Default Insurance Fund (DIF) and Nominal Defendant (NOD), assessing and quantifying future financial risk, insurance specific education and training, and providing assistance in the development of agency risk management programs.  Also includes policy development, improving risk management practices, compliance, enquiries and research.  
[For accident or incident reports following an occurrence within the workplace to an employee or member of the public, use STRATEGY & GOVERNANCE – Risk Management & Insurance.
For payment of insurance premiums, use FINANCE & TREASURY MANAGEMENT –  Accounting.
For the recording of asset values, use FINANCE & TREASURY MANAGEMENT – Accounting.
For the publication of information guides, use GOVERNMENT & STAKEHOLDER RELATIONS – Marketing & Publication.]
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 by or to the agency as to an action or judgement. Includes the process of advising.
Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements.
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 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. 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.
Distribution
The activities associated with disseminating items, correspondence or publications through sales, deliveries, or other customer services.
Enquiries
The activities associated with handling requests for information about the agency and its services by the general public, agency employees or another agency.
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 ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to managing the section, department, or agency as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings.
Planning
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.
Procedures
Standard methods of operating laid down by the agency according to formulated policy.
Reporting
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), 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.
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.
Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles etc. Used to support development of projects, standards, guidelines etc and the business activities of the agency in general. Includes following up enquiries relating to agency programs, projects, working papers, literature searches etc.
Reviewing
The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.
Risk Management & Insurance
The activities associated with managing organisation risks.  Includes business continuity, disaster, fraud control and other risk management plans, risk assessments, analysis, treatment and control measures, risk registers, and the taking out of insurance to cover risks.

Standards
The process of implementing industry or agency specific benchmarks for services and processes to enhance quality and efficiency of an organisation.
Submissions
The preparation and submission of a formal statement (e.g. report, statistics, etc) supporting a case or opinion held by the agency which is submitted to another agency, or within the agency, for the purpose of either gain or support.
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

GOVERNMENT INSURANCE SERVICES
The function of providing insurance services and promoting good risk management practices to the ACT Government, community and insurance industry for both physical assets and personal liability.  Identifies and provides funding for the types and levels of risk encountered by agencies and enables the costs of insurable claims and losses to be met in a timely and cost effective manner.  Services include insurance protection; managing insurance claims by and against the Territory, including claims related to the Default Insurance Fund (DIF) and Nominal Defendant (NOD), assessing and quantifying future financial risk, insurance specific education and training, and providing assistance in the development of agency risk management programs.  Also includes policy development, improving risk management practices, compliance, enquiries and research.
[For accident or incident reports following an occurrence within the workplace to an employee or member of the public, use STRATEGY & GOVERNANCE – Risk Management & Insurance.
For payment of insurance premiums, use FINANCE & TREASURY MANAGEMENT –  Accounting.
For the recording of asset values, use FINANCE & TREASURY MANAGEMENT – Accounting.
For the publication of information guides, use GOVERNMENT & STAKEHOLDER RELATIONS – Marketing & Publication.]
Addresses (presentations)
The activity of giving addresses for training, professional, community relations or sales purposes. Includes speeches and multi-media presentations.

Entry No.	Description of Records	Disposal Action	
120.004.001	Final versions of addresses made by senior agency officers at major or significant events.
[For addresses presented by the Chief Minister or portfolio Minister, use GOVERNMENT & STAKEHOLDER RELATIONS - Events.]	Retain as Territory Archives	
*120.004.001*			
120.004.002	Final versions of addresses delivered in the promotion of the insurance services programs to government agencies.	Destroy 2 years after last action	
*120.004.002*			
120.004.003	Working papers documenting the development of addresses, including drafts.	Destroy 6 months after last action	
*120.004.003*			

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 & STAKEHOLDER RELATIONS - Government & Assembly Matters.
For advice provided to Cabinet, the portfolio Minister and other government agencies on proposed legislation for the agency or for comments made on other agencies' proposed legislation, use GOVERNMENT & STAKEHOLDER RELATIONS - Government & Assembly Matters.
For legal advice, including interpretations of the agency’s legislation, use SOLICITOR & LEGAL SERVICES – Advice.]

Entry No.	Description of Records	Disposal Action	
120.005.001	Receipt and provision of advice that result in major changes relating to the government insurance services function, including specialist or technical advice provided by consultants and independent regulators. Includes policy issues and recommendations for reform.   	Retain as Territory Archives	
*120.005.001*			
120.005.002	The receipt and provision of advice in support of the government insurance services function. Includes advice provided by consultants.	Destroy 10 years after last action	
*120.005.002*			
120.005.003	Working papers documenting the development of advice relating to the government insurance services function.	Destroy 2 years after last action	
*120.005.003*			

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 & STAKEHOLDER RELATIONS - Government & Assembly Matters.]

Entry No.	Description of Records	Disposal Action	
120.006.001	Records documenting significant agreements made between the agency and external third parties which have implications for major liabilities or obligations. Includes:
•	negotiations;
•	establishment;
•	reviews;
•	maintenance;
•	final agreements.	Retain as Territory Archives	
*120.006.001*			
120.006.002	Final versions of agreements made between the agency and external third parties in relation to the provision of insurance related services (e.g. memoranda of understanding). Includes:
•	negotiations;
•	establishment;
•	maintenance; 
•	reviews.	Destroy 7 years after expiry or other termination of the agreement	
*120.006.002*			

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.
[For statistical reporting on claims, use GOVERNMENT INSURANCE SERVICES - Reporting.
For the provision of compensation for property damage or personal injuries incurred or received while on an agency’s premises, use STRATEGY & GOVERNANCE - Risk Management & Insurance.
For workers compensation claims, use HUMAN RESOURCES – Workers Compensation.]

Entry No.	Description of Records	Disposal Action	
120.019.001	Records documenting significant claims by or against the Territory, including claims related to the Default Insurance Fund (DIF) and Nominal Defendant (NOD), which result in major changes to policy or procedure; are high profile, controversial or subject to social or political interest; or are precedent setting. Includes:
•	copies of claims;
•	reports;
•	correspondence.
[For media releases regarding significant insurance claims, use GOVERNMENT & STAKEHOLDER RELATIONS - Media Relations.]	Retain as Territory Archives	
*120.019.001*			
120.019.002	Insurance claims, made by government agencies or against the Territory, including claims related to the Default Insurance Fund (DIF) and Nominal Defendant (NOD), which have been closed, i.e. claims that did not progress past initial notification and investigation and/or where no further communications from the third party have been received.
Note: Limited to those matters involving claimants over the age of 18, or matters that do not involve individuals, at the time of the incident.	Destroy 15 years after last action	
*120.019.002*			

Claims (Continued)
The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property.
[For statistical reporting on claims, use GOVERNMENT INSURANCE SERVICES - Reporting.
For the provision of compensation for property damage or personal injuries incurred or received while on an agency’s premises, use STRATEGY & GOVERNANCE - Risk Management & Insurance.
For workers compensation claims, use HUMAN RESOURCES – Workers Compensation.]

Entry No.	Description of Records	Disposal Action	
120.019.003	Insurance claims made by government agencies or against the Territory, including claims related to the Default Insurance Fund (DIF) and Nominal Defendant (NOD), which relate to minors, i.e. the claimant was under the age of 18 at the time of the incident, including copies of claims, reports and correspondence.	Destroy 25 years after date of birth or 7 years after last action, whichever is later, if date of birth is unknown assume the person was 15 at the time of the accident	
*120.019.003*			
120.019.004	Insurance claims made by government agencies or against the Territory, including claims related to the Default Insurance Fund (DIF) and Nominal Defendant (NOD), where the matter has been settled, i.e. claims that are finalised due to:
•	the issuing of a Court decision in favour of either the then plaintiff(s) or defendant(s);
•	an offer of pre-trial/pre-litigation settlement between parties having been agreed to;
•	an agreement has been reached with the third party that they discontinue the claim against the Territory.	Destroy 7 years after last action	
*120.019.004*			

Claims (Continued)
The process of administering and managing payments demanded in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person, or damage to or destruction of property. Includes disputes over rights and ownership, and recompense sought for stolen or lost property.
[For statistical reporting on claims, use GOVERNMENT INSURANCE SERVICES - Reporting.
For the provision of compensation for property damage or personal injuries incurred or received while on an agency’s premises, use STRATEGY & GOVERNANCE - Risk Management & Insurance.
For workers compensation claims, use HUMAN RESOURCES – Workers Compensation.]

Entry No.	Description of Records	Disposal Action	
120.019.004 Cont.	Includes insurance claims which have been:
•	declined – notifications which do not fall within the provisions of the relevant policy; or
•	cancelled – a notification which has been lodged in the wrong year of insurance or is a duplication of an existing notification.	Destroy 7 years after last action	

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 agency representatives to external committees, use GOVERNMENT INSURANCE SERVICES – Representatives.
For audit committees, use STRATEGY & GOVERNANCE - Audit.
For the establishment of advisory councils or governing boards with decision making responsibility for agency policy and/or planning, use STRATEGY & GOVERNANCE - – Planning.]

Entry No.	Description of Records	Disposal Action	
120.020.001	Internal and external committees formed to consider potentially controversial issues and/or matters with long term social effects relating to government insurance services. Includes:
•	establishing the committee;
•	terms of reference;
•	minutes;
•	reports;
•	recommendations;
•	briefing and discussion papers.	Retain as Territory Archives	
*120.020.001*			
120.020.002	Internal and external committees formed to consider matters relating to the government insurance services function. Includes:
•	establishing the committee;
•	minutes;
•	reports;
•	recommendations; 
•	briefing and discussion papers.	Destroy 5 years after last action	
*120.020.002*			
120.020.003	Working papers documenting the conduct and administration of committees that consider matters relating to the government insurance services function. Includes:
•	agendas;
•	notices of meetings;
•	draft minutes.	Destroy 6 months after last action	
*120.020.003*			
Compliance
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements.  Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

Entry No.	Description of Records	Disposal Action	
120.021.001	Records documenting compliance with mandatory or optional standards, or with statutory requirements, relating to the government insurance services function. Includes:
•	approvals;
•	inspection reports;
•	enforcements.
[For standards regarding insurance and risk management, use GOVERNMENT INSURANCE SERVICES – Standards.]	Destroy 7 years after action completed	
*120.021.001*			
Contracting out
The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing.

Entry No.	Description of Records	Disposal Action	
120.025.001	Contract management relating to the government insurance services function. Includes: 
•	minutes of meetings with main stakeholders;
•	performance reports;
•	evaluation reports.	Destroy 7 years after expiry or other termination of the agreement	
*120.025.001*			

Distribution
The activities associated with disseminating items, correspondence or publications through sales, deliveries, or other customer services.

Entry No.	Description of Records	Disposal Action	
120.036.001	Records documenting mailouts (e.g. newsletters or promotions) and mailing lists, including email distribution lists and postal address lists.	Destroy 6 months after last action	
*120.036.001*			
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	
120.040.001	Handling of public enquiries about government insurance services and its programs, products and services. Includes enquiries relating to natural disasters and other significant events.	Destroy 10 years after last action	
*120.040.001*			
Liaison
The activities associated with maintaining regular general contact between the agency and professional associations, professionals in related fields, other agencies, 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	
120.067.001	Liaison activities undertaken with professional associations, private sector organisations and community groups. Includes: 
•	collaboration on projects;
•	exchanges of information;
•	the activities of a member of an organisation.
[For mailing lists (e.g. email distribution lists) and/or mailouts, use GOVERNMENT INSURANCE SERVICES – Distribution.]	Destroy 3 years after last action	
*120.067.001*			

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	
120.072.001	Final versions of minutes and supporting documents tabled at insurance claims review meetings.
[For reports tabled during claims review meetings, use GOVERNMENT INSURANCE SERVICES - Reporting.]	Retain as Territory Archives	
*120.072.001*			
120.072.002	Final versions of minutes and supporting documents tabled at meetings held in relation to the government insurance services function. Includes meetings with external agencies.
[For meetings with insurance industry representatives, use INDUSTRY DEVELOPMENT – Meetings.]	Destroy 3 years after last action	
*120.072.002*			
120.072.003	Working papers documenting the conduct and administration of meetings held to support the government insurance services function (e.g. risk management forums and network meetings). Includes:
•	agendas; 
•	notices of meetings;
•	draft minutes.	Destroy 6 months after last action	
*120.072.003*			

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	
120.079.001	Final versions of plans for major or significant projects, programs or operational activities relating to the government insurance services function.
[For agency-wide strategic or corporate plans, use STRATEGY & GOVERNANCE - Planning.]	Retain as Territory Archives	
*120.079.001*			
120.079.002	Final versions of plans for routine projects, programs and operational activities relating to the government insurance services function.	Destroy 3 years after plan superseded	
*120.079.002*			
120.079.003	Working papers used to develop plans. Includes:
•	draft plans; 
•	reports analysing issues;
•	comments.	Destroy 1 year after adoption of final plan	
*120.079.003*			
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	
120.080.001	Final versions of policies supporting the government insurance services function.	Retain as Territory Archives	
*120.080.001*			

Policy (Continued)
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.

Entry No.	Description of Records	Disposal Action	
120.080.002	Development and establishment of government insurance services policies. Includes:
•	policy proposals;
•	research papers;
•	results of consultations;
•	comments;
•	supporting reports;
•	major drafts.	Destroy 5 years after policy superseded	
*120.080.002*			
120.080.003	Working papers documenting the development of all government insurance services policies.	Destroy 1 year after promulgation of the policy	
*120.080.003*			
Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
120.082.001	Master sets of agency manuals, handbooks, directives etc. detailing procedures supporting the government insurance services function.	Retain as Territory Archives	
*120.082.001*			
120.082.002	Records documenting the development, content and application of procedures supporting the government insurance services function.	Destroy 5 years after procedure superseded	
*120.082.002*			

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 GOVERNMENT & STAKEHOLDER RELATIONS - Publication & Marketing.
For submissions of annual reports to the Portfolio Minister, use GOVERNMENT & STAKEHOLDER RELATIONS - Government & Assembly Matters.]

Entry No.	Description of Records	Disposal Action	
120.088.001	Final versions of significant formal reports relating to the government insurance services function.	Retain as Territory Archives	
*120.088.001*			
120.088.002	Final versions of reports tabled at claims review meetings. Includes reports relating to insurance claims.	Retain as Territory Archives	
*120.088.002*			
120.088.003	Final versions of internal formal reports and reports made to external agencies relating to the government insurance services function. Includes reports relating to insurance claims.	Destroy 7 years after last action	
*120.088.003*			
120.088.004	Final versions of periodic internal reports on general administrative matters used to monitor and document recurring activities to support government insurance services. Includes the collection and reporting of statistical information.	Destroy 3 years after last action	
*120.088.004*			
120.088.005	Working papers documenting the development of all reports. Includes:
•	drafts;
•	comments received;
•	copies of reports.	Destroy 6 months after last action	
*120.088.005*			

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	
120.090.001	Records documenting agency representatives for external committees and organisations relating to the government insurance services function. Includes:
•	nominations;
•	appointments;
•	declarations of interest;
•	resignations and/or terminations.	Destroy 7 years after termination of appointment	
*120.090.001*			
Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles, etc.  Used to support development of projects, standards, guidelines, etc. and business activities in general.  Includes following up enquiries relating to programs, projects, working papers, literature searches, etc.
[For reporting on research, including statistical information, use GOVERNMENT INSURANCE SERVICES – Reporting.]

Entry No.	Description of Records	Disposal Action	
120.091.001	Detailed research carried out to support the government insurance services function.	Retain as Territory Archives	
*120.091.001*			
120.091.002	Routine research carried out to support the government insurance services function.	Destroy 2 years after last action	
*120.091.002*			

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

Entry No.	Description of Records	Disposal Action	
120.093.001	Records documenting the internal review or quality assurance of programs, operations or actions supporting the government insurance services function. Includes:
•	documents establishing the review;
•	action plans;
•	outcomes of the review.	Destroy 5 years after action completed	
*120.093.001*			
120.093.002	Working papers documenting a review of agency programs, operations or actions supporting the government insurance services function.	Destroy 1 year after action completed	
*120.093.002*			
Risk Management & Insurance
The activities associated with managing organisation risks.  Includes business continuity, disaster, fraud control and other risk management plans, risk assessments, analysis, treatment and control measures, risk registers, and the taking out of insurance to cover risks.

Entry No.	Description of Records	Disposal Action	
120.059.001	Territory insurance risk registers.	Retain as Territory Archives	
*120.059.001*			
120.059.002	Master sets of insurance policies, including insurance renewals.	Destroy 15 years after policy is cancelled or otherwise terminated	
*120.059.002*			
120.059.003	Records documenting management of risk treatment schedules, action plans and programs and the development, establishment and renewal of insurance policies and re-insurance policies, including the sending out and receipt of proposals for insurance cover to determine if any changes are needed, schedules of insurance cover and the setting of premiums.	Destroy 7 years after last action	
*120.059.003*			
Standards
The process of implementing industry or agency specific benchmarks for services and processes to enhance quality and efficiency of an organisation.
[For the adherence and monitoring of insurance and risk management standards, use GOVERNMENT INSURANCE SERVICES - Compliance.]

Entry No.	Description of Records	Disposal Action	
120.100.001	Records documenting the development of insurance and risk management standards. Includes:
•	research;
•	supporting documents;
•	consultation;
•	final standards.	Retain as Territory Archives	
*120.100.001*			
120.100.002	Records documenting the adoption and implementation of agency standards related to the government insurance services function.	Destroy 7 years after standard is implemented	
*120.100.002*			
Submissions
The preparation and submission of a formal statement (e.g. a business case, statistics, etc.) supporting a case or opinion held by the agency which is submitted to another agency or organisation, or within the agency, for the purpose of either gain or support.
[For Cabinet submissions, use GOVERNMENT & STAKEHOLDER RELATIONS - Government & Assembly Matters.
For the development of submissions on the proposals of new legislation or the amendment of existing legislation, use STRATEGY & GOVERNANCE - Legislation.]

Entry No.	Description of Records	Disposal Action	
120.102.001	Final versions of submissions regarding government administrative practices that result in changes to policy relating to the government insurance services function.	Retain as Territory Archives	
*120.102.001*			
120.102.002	Working papers documenting the development of submissions. Includes drafts.	Destroy 3 years after action completed	
*120.102.002*			

Tendering
The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services.

Entry No.	Description of Records	Disposal Action	
120.104.001	Signed contracts under seal resulting from tenders and supporting records.	Destroy 12 years after expiry or other termination of contract	
*120.104.001*			
120.104.002	Development and issue of tender documentation. Includes:
•	expressions of interest;
•	requests for tender (RFT);
•	draft contracts.	Destroy 7 years after tender process completed	
*120.104.002*			
120.104.003	Evaluation of tenders received against selection criteria. Includes:
•	arrangements for carrying out the evaluation process;
•	evaluation reports;
•	recommendations;
•	final reports;
•	public notices.	Destroy 7 years after tender process completed	
*120.104.003*			
120.104.004	Post-offer negotiations and due diligence checks.	Destroy 7 years after tender process completed	
*120.104.004*			
120.104.005	Tender registers.	Destroy 7 years after last entry	
*120.104.005*			
120.104.006	Signed simple contracts and agreements resulting from tenders and supporting records.	Destroy 7 years after expiry or other termination of contract	
*120.104.006*			
120.104.007	Contract registers.	Destroy 7 years after last entry	
*120.104.007*			

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	
120.104.008	Unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued. Includes:
•	submissions;
•	notifications of outcome;
•	reports on debriefing sessions.	Destroy 3 years after tender process completed	
*120.104.008*			
Training
The activities associated with all aspects of the provision of training and development (external/internal).
[For internal and external training courses attended by staff, use HUMAN RESOURCES - - Training & Development.
For conferences attended by staff, use HUMAN RESOURCES - Training & Development.]

Entry No.	Description of Records	Disposal Action	
120.105.001	Master set of training course materials for courses supporting the government insurance services function. Includes:
•	course notes;
•	hand-outs;
•	programs.
[For publishing training material, use PUBLICATION – Production.]	Destroy 7 years after last action	
*120.105.001*			

Training (Continued)
The activities associated with all aspects of the provision of training and development (external/internal).
[For internal and external training courses attended by staff, use HUMAN RESOURCES - - Training & Development.
For conferences attended by staff, use HUMAN RESOURCES - Training & Development.]

Entry No.	Description of Records	Disposal Action	
120.105.002	Records documenting the administrative arrangements for providing training courses supporting the government insurance services function. Includes:
•	processing applications;
•	venue bookings;
•	hire of equipment;
•	catering.
[For the payments of accounts supporting the running of internal training courses, use FINANCE & TREASURY MANAGEMENT – Accounting.]	Destroy 2 years after action completed	
*120.105.002*			
120.105.003	Working papers documenting the development of training materials for training courses supporting the government insurance services function.	Destroy 1 year after last action	
*120.105.003*			

RETAIN AS TERRITORY ARCHIVES

GOVERNMENT INSURANCE SERVICES
The function of providing insurance services and promoting good risk management practices to the ACT Government, community and insurance industry for both physical assets and personal liability.  Identifies and provides funding for the types and levels of risk encountered by agencies and enables the costs of insurable claims and losses to be met in a timely and cost effective manner.  Services include insurance protection; managing insurance claims by and against the Territory, including claims related to the Default Insurance Fund (DIF) and Nominal Defendant (NOD), assessing and quantifying future financial risk, insurance specific education and training, and providing assistance in the development of agency risk management programs.  Also includes policy development, improving risk management practices, compliance, enquiries and research.
[For the provision of compensation for property damage, personal injuries or death of staff, use HUMAN RESOURCES – Risk Management & Insurance.
For accident or incident reports following an occurrence within the workplace to an employee, use HUMAN RESOURCES – Health & Safety.
For accident or incident reports following an occurrence within the workplace to a member of the public, use GOVERNANCE & STRATEGY - Risk Management & Insurance.
For payment of insurance premiums, use FINANCE & TREASURY MANAGEMENT - Accounting.
For the recording of asset values, use FINANCIAL MANAGEMENT – Accounting.]
Addresses (presentations)
The activity of giving addresses for training, professional, community relations or sales purposes. Includes speeches and multi-media presentations.

Entry No.	Description of Records	Disposal Action	
120.004.001	Final versions of addresses made by senior agency officers at major or significant events.
[[For addresses presented by the Chief Minister or portfolio Minister, use GOVERNMENT & STAKEHOLDER RELATIONS - Events.]	Retain as Territory Archives	
*120.004.001*			

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 & STAKEHOLDER RELATIONS - Government & Assembly Matters.
For advice provided to Cabinet, the portfolio Minister and other government agencies on proposed legislation for the agency or for comments made on other agencies' proposed legislation, use GOVERNMENT & STAKEHOLDER RELATIONS - Government & Assembly Matters.
For legal advice, including interpretations of the agency’s legislation, use SOLICITOR & LEGAL SERVICES – Advice.]

Entry No.	Description of Records	Disposal Action	
120.005.001	Receipt and provision of advice that result in major changes relating to the government insurance services function, including specialist or technical advice provided by consultants and independent regulators. Includes policy issues and recommendations for reform.   	Retain as Territory Archives	
*120.005.001*			
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 & STAKEHOLDER RELATIONS - Government & Assembly Matters.]

Entry No.	Description of Records	Disposal Action	
120.006.001	Records documenting significant agreements made between the agency and external third parties which have implications for major liabilities or obligations. Includes:
•	negotiations;
•	establishment;
•	reviews;
•	maintenance;
•	final agreements.	Retain as Territory Archives	
*120.006.001*			
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.
[For statistical reporting on claims, use GOVERNMENT INSURANCE SERVICES - Reporting.
For the provision of compensation for property damage or personal injuries incurred or received while on an agency’s premises, use STRATEGY & GOVERNANCE - Risk Management & Insurance.
For workers compensation claims, use HUMAN RESOURCES – Workers Compensation.]

Entry No.	Description of Records	Disposal Action	
120.019.001	Records documenting significant claims by or against the Territory, including claims related to the Default Insurance Fund (DIF) and Nominal Defendant (NOD), which result in major changes to policy or procedure; are high profile, controversial or subject to social or political interest; or are precedent setting. Includes:
•	copies of claims;
•	reports;
•	correspondence.
[For media releases regarding significant insurance claims, use GOVERNMENT & STAKEHOLDER RELATIONS - Media Relations.]	Retain as Territory Archives	
*120.019.001*			

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 agency representatives to external committees, use GOVERNMENT INSURANCE SERVICES – Representatives.
For audit committees, use STRATEGY & GOVERNANCE - Audit.
For the establishment of advisory councils or governing boards with decision making responsibility for agency policy and/or planning, use STRATEGY & GOVERNANCE - – Planning.]

Entry No.	Description of Records	Disposal Action	
120.020.001	Internal and external committees formed to consider potentially controversial issues and/or matters with long term social effects relating to government insurance services. Includes:
•	establishing the committee;
•	terms of reference;
•	minutes;
•	reports;
•	recommendations;
•	briefing and discussion papers.	Retain as Territory Archives	
*120.020.001*			
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	
120.072.001	Final versions of minutes and supporting documents tabled at insurance claims review meetings.
[For reports tabled during claims review meetings, use GOVERNMENT INSURANCE SERVICES - Reporting.]	Retain as Territory Archives	
*120.072.001*			

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	
120.079.001	Final versions of plans for major or significant projects, programs or operational activities relating to the government insurance services function.
[For agency-wide strategic or corporate plans, use STRATEGY & GOVERNANCE - Planning.]	Retain as Territory Archives	
*120.079.001*			
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.

Entry No.	Description of Records	Disposal Action	
120.080.001	Final versions of policies supporting the government insurance services function.	Retain as Territory Archives	
*120.080.001*			
Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
120.082.001	Master set of agency manuals, handbooks, directives etc. detailing procedures supporting the government insurance services function.	Retain as Territory Archives	
*120.082.001*			

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.
[For the Annual Report drafting process, use GOVERNMENT & STAKEHOLDER RELATIONS - Publication & Marketing.
For submissions of annual reports to the Portfolio Minister, use GOVERNMENT & STAKEHOLDER RELATIONS - Government & Assembly Matters.]

Entry No.	Description of Records	Disposal Action	
120.088.001	Final versions of significant formal reports relating to the government insurance services function.	Retain as Territory Archives	
*120.088.001*			
120.088.002	Final versions of reports tabled at claims review meetings. Includes reports relating to insurance claims.	Retain as Territory Archives	
*120.088.002*			
Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles, etc.  Used to support development of projects, standards, guidelines, etc. and business activities in general.  Includes following up enquiries relating to programs, projects, working papers, literature searches, etc.
[For reporting on research, including statistical information, use GOVERNMENT INSURANCE SERVICES – Reporting.]

Entry No.	Description of Records	Disposal Action	
120.091.001	Detailed research carried out to support the government insurance services function.	Retain as Territory Archives	
*120.091.001*			

Risk Management & Insurance
The activities associated with managing organisation risks.  Includes business continuity, disaster, fraud control and other risk management plans, risk assessments, analysis, treatment and control measures, risk registers, and the taking out of insurance to cover risks.

Entry No.	Description of Records	Disposal Action	
120.059.001	Territory insurance risk registers.	Retain as Territory Archives	
*120.059.001*			
Standards
The process of implementing industry or agency specific benchmarks for services and processes to enhance quality and efficiency of an organisation.
[For the adherence and monitoring of insurance and risk management standards, use GOVERNMENT INSURANCE SERVICES - Compliance.]

Entry No.	Description of Records	Disposal Action	
120.100.001	Records documenting the development of insurance and risk management standards. Includes:
•	research;
•	supporting documents;
•	consultation;
•	final standards.	Retain as Territory Archives	
*120.100.001*			
Submissions
The preparation and submission of a formal statement (e.g. a business case, statistics, etc.) supporting a case or opinion held by the agency which is submitted to another agency or organisation, or within the agency, for the purpose of either gain or support.
[For Cabinet submissions, use GOVERNMENT & STAKEHOLDER RELATIONS - Government & Assembly Matters.
For the development of submissions on the proposals of new legislation or the amendment of existing legislation, use STRATEGY & GOVERNANCE - Legislation.]

Entry No.	Description of Records	Disposal Action	
120.102.001	Final versions of submissions regarding government administrative practices that result in changes to policy relating to the government insurance services function.	Retain as Territory Archives	
*120.102.001*			

SCHEDULE OF AMENDMENTS – this information is provided for the assistance of users but does not form part of the Notifiable Instrument.
Amendments to the GOVERNMENT INSURANCE SERVICES Records Disposal Schedule	Dated	July 2016	

Function (Amendments)	
The GOVERNMENT INSURANCE SERVICES function incorporates records that were previously covered by the defunct COMPENSATION function.	
The GOVERNMENT INSURANCE SERVICES function scope note amended.	
Classification and sentencing guidelines amended in the GOVERNMENT INSURANCE SERVICES scope note and under class or activity scope notes.	

New Features (Insertions)	
Activity	Entry no.	Description	
Risk Management & Insurance	All	New activity in line with latest methodology	

Enhancements (Changes)	
Activity	Entry no.	Description	
Claims	N/A	Classification and sentencing guidelines amended in the scope note	
Claims	120.019.001
120.019.002
120.019.003
120.019.004	Class descriptions modified to include the new group of records	
Claims	120.019.003	Class description and disposal action changed to reflect the coverage is for clients under the age of 18 years.	
Insurance	120.059.003
120.059.004
120.059.005	Combined into class 120.059.003 with a new class description	

Deletions	
Activity	Entry no.	Description	
Insurance	All	Removed and place under new activity Risk Management & Insurance	
Risk Management	All	Removed and place under new activity Risk Management & Insurance