Australian Capital Territory
Territory Records (Records Disposal Schedule – Records & Information Management Records) Approval 2017 (No 1)
Notifiable instrument NI2017—87
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 – Records & Information Management Records) Approval 2017 (No 1).
2	Commencement
This instrument commences on 27 February 2017.
3	Approval
I approve the Records Disposal Schedule – Records & Information Management Records.
4	Revocation
This instrument revokes:
Territory Records (Records Disposal Schedules - Information Management Records) Approval 2011 (No 1) NI2011-92

Danielle Wickman
Director of Territory Records
16 February 2017

Records Disposal Schedule
Records & Information Management Records
Table of Contents
INTRODUCTION
PURPOSE
SCOPE
AUTHORITY
STRUCTURE AND RELATIONSHIP TO THE WHOLE OF GOVERNMENT THESAURUS
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
RECORDS & INFORMATION MANAGEMENT
RECORDS DISPOSAL SCHEDULE
RECORDS & INFORMATION MANAGEMENT
Acquisition
Acquisition (Continued)
Acquisition (Continued)
Advice
Audit
Compliance
Contract Management
Disposal
Disposal (Continued)
Donations
Information Access & Use
Information Access & Use (Continued)
Information Access & Use (Continued)
Operation & Control
Operation & Control (Continued)
Operation & Control (Continued)
Operation & Control (Continued)
Operation & Control (Continued)
Operation & Control (Continued)
Planning
Planning (Continued)
Policies & Procedures
Policies & Procedures (Continued)
Standards
RETAIN AS TERRITORY ARCHIVES
RECORDS & INFORMATION MANAGEMENT
Advice
Compliance
Disposal
Donations
Information Access & Use
Operation & Control
Operation & Control (Continued)
Operation & Control (Continued)
Planning
Policies & Procedures
Standards

INTRODUCTION
The Records Disposal Schedule – Records & Information Management 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 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 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 - Records & Information Management 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 Whole of Government Thesaurus. The Records Disposal Schedule is designed to be applicable to all records relating to the function described in this schedule regardless of titling conventions used, so that records, which have not been classified and 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 former Territory Version of Keyword AAA (TVKAAA) (2010).  In the Whole of Government Thesaurus all functions are considered to be functions performed by the ACT Government and have been included following consultation with stakeholder 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 classifying and titling of their 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 Whole of Government Thesaurus. 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 - Records & Information Management Records:
•	covers all records related to the function;
•	is intended to be used in conjunction with other Territory Whole of Government 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 records classes covered by this Records Disposal Schedule:
Crimes Act 1900
Criminal Code 2002
Electronic Transactions Act 2001
Evidence Act 2011
Financial Management Act 1996
Freedom of Information Act 1989
Health Records (Privacy and Access) Act 1997
Information Privacy Act 2014
Legal Aid Act 1977
Limitation Act 1985
Territory Records Act 2002
Workplace Privacy Act 2011

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 created and 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
RECORDS & INFORMATION MANAGEMENT
The function of managing the records and information resources of government and its organisations to ensure recordkeeping compliance and to meet their operational needs and, if appropriate, to allow public access to the records consistent with the Territory Records Act 2002 and the Freedom of Information Act 1989.  Includes the creation, keeping, protection, preservation, storage and disposal of, and access to records of an organisation, and developing strategies to manage records as archival resources for the benefit of future generations. Also includes the acquisition, control and disposal of library and other information products or items kept for reference purposes and the provision of records and information services to internal and external customers.
Acquisition
The activities associated with acquiring goods, services or works from an external source by purchase, lease, rental or exchange.  Includes acquisition planning and evaluation, providing or receiving acquisition advice, liaison with vendors and service providers, purchase requests, quotations, purchase orders, bids and offers, tenders, the establishment of contracts and agreements, including service level agreements and memorandums of understanding, and arrangements for the delivery of goods and services.
Advice
The activities associated with offering formal opinions and advice as to an action, judgement or topic.  Includes legal advice and formal advices required by legislation, e.g. Records Advice.
Audit
The activities associated with officially checking the activities, processes, services and operations of organisations, companies or other entities to ensure conformance with agreed or legislated standards, policies, procedures, or other requirements.  Includes internal or external financial, recordkeeping, skills, systems, operational, quality assurance or compliance audits.
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.
Contract Management
The activities associated with managing the performance of work or the provision of services by external consultants and contractors following their initial engagement.  Includes instructions to contracted personnel, progress reports, monitoring of expenditure against budgets, and performance reviews.  Also includes outsourcing.

Disposal
The activities associated with the disposal of assets no longer required by sale, auction, transfer, destruction, decommissioning or other means.  Includes disposal plans, assessments and investigations, approvals, disposal agreements and arrangements and destruction or transfer of semi-active and inactive records and information.
Donations
The activities associated with managing money, equipment, artefacts, property, or other items donated either by or to the organisation, including unsolicited donations and gifts registers.
Information Access & Use
The activities associated with handling requests to access and use information, including requests to access information under freedom of information, privacy or archives legislation, and requests to use or reproduce information subject to copyright or other intellectual property.  Also includes the application for and management of intellectual property, such as copyright associated with information resources.
Operation & Control
The activities associated with the day-to-day use, operation, control and security of land, property, vehicles, plant, equipment, systems, and information technology assets and associated services.  Includes the logging of damage, faults or incidents during operation, scheduling, logging and reporting on day-to-day usage and operations, providing operational advice, instructions, helpdesk and support services and monitoring and reviewing the performance of daily operations.  Also includes controlling data, information and records to ensure maximum control over records and recordkeeping systems and mechanisms for other information resources and systems by creating, maintaining and evaluating control mechanisms for classification, indexing, registration, forms design, security and tracking, etc.
Planning
The activities associated with carrying out systematic planning in order to meet strategic, business or operational goals and objectives.
Policies & Procedures
The activities associated with drafting, developing and implementing policies, procedures, and guidelines establishing decisions, directions, precedents and standard methods of operating which act as a reference for future decision making, and maintaining their currency over time.  Includes guidelines devised by both internal and external sources of authority, rules and instructions.
Standards
The activities associated with developing and/or implementing industry or organisation specific benchmarks for services and processes to enhance the quality and efficiency of an organisation, business or industry.

RECORDS DISPOSAL SCHEDULE
RECORDS & INFORMATION MANAGEMENT
The function of managing the records and information resources of government and its organisations to ensure recordkeeping compliance and to meet their operational needs and, if appropriate, to allow public access to the records consistent with the Territory Records Act 2002 and the Freedom of Information Act 1989.  Includes the creation, keeping, protection, preservation, storage and disposal of, and access to records of an organisation, and developing strategies to manage records as archival resources for the benefit of future generations. Also includes the acquisition, control and disposal of library and other information products or items kept for reference purposes and the provision of records and information services to internal and external customers.
[For evaluating, reviewing and reporting on the performance of the function, business area, or specific organisation programs and services, use STRATEGY & GOVERNANCE – Performance Management.
For the development of business and corporate plans which set the strategic agenda and direction for the organisation, use STRATEGY & GOVERNANCE – Planning.
For disaster and business continuity planning, taking out insurance premiums to manage risks and handling associated insurance claims, use STRATEGY & GOVERNANCE – Risk Management & Insurance.]

Acquisition
The activities associated with acquiring goods, services or works from an external source by purchase, lease, rental or exchange.  Includes acquisition planning and evaluation, providing or receiving acquisition advice, liaison with vendors and service providers, purchase requests, quotations, purchase orders, bids and offers, tenders, the establishment of contracts and agreements, including service level agreements and memorandums of understanding, and arrangements for the delivery of goods and services.
[For the ongoing management of contracts and agreements with consultants, contractors and service providers once established, use Contract Management.
For acquisition policies, procedures and guidelines, use STRATEGY & GOVERNANCE - Policies & Procedures.
For donations of property, vehicles, equipment, artefacts, money or other items donated to the organisation, use Donations.]

Entry No.	Description of Records	Disposal Action	
198.003.001	Records documenting the research, evaluation and investigation of potential programs, equipment, goods, services and projects for their suitability for acquisition or lease where there is no tender or contract process, i.e. where the cost of the acquisition is below the threshold for tendering or where a purchase is made against a period contract. Includes:
•	authorisation to acquire goods, services, equipment, etc.;
•	requisitions and order forms;
•	submissions seeking support for an information management project;
•	tender documentation and tenders;
•	negotiations, establishment, maintenance and review of agreements;
•	simple contracts and agreements and contracts under seal;
•	post-offer negotiations and due diligence checks;
•	reports received from leasing companies;	Destroy 12 years after last action	
*198.003.001*	•			

Acquisition (Continued)
The activities associated with acquiring goods, services or works from an external source by purchase, lease, rental or exchange.  Includes acquisition planning and evaluation, providing or receiving acquisition advice, liaison with vendors and service providers, purchase requests, quotations, purchase orders, bids and offers, tenders, the establishment of contracts and agreements, including service level agreements and memorandums of understanding, and arrangements for the delivery of goods and services.
[For the ongoing management of contracts and agreements with consultants, contractors and service providers once established, use Contract Management.
For acquisition policies, procedures and guidelines, use STRATEGY & GOVERNANCE - Policies & Procedures.
For donations of property, vehicles, equipment, artefacts, money or other items donated to the organisation, use Donations.]

Entry No.	Description of Records	Disposal Action	
198.003.001 Cont.	•	minutes of meetings with main stakeholders, includes meetings with external agencies;
•	performance and evaluation reports;
•	evaluation of potential programs and services relating to government priorities, policies or economic reforms;
•	review of agency government & stakeholder related programs and operations, including documents establishing the review, final reports, action plans;
•	tender and contract registers;
•	unsuccessful tenders or where there is no suitable bidder or tender process discontinued;
•	formal requests for quotes;
•	orders;
•	library and records materials and/or services (e.g. on-line services, media monitoring services);
•	interlibrary loan payments information provided by vendors;
•	handover reports;	Destroy 12 years after last action	

Acquisition (Continued)
The activities associated with acquiring goods, services or works from an external source by purchase, lease, rental or exchange.  Includes acquisition planning and evaluation, providing or receiving acquisition advice, liaison with vendors and service providers, purchase requests, quotations, purchase orders, bids and offers, tenders, the establishment of contracts and agreements, including service level agreements and memorandums of understanding, and arrangements for the delivery of goods and services.
[For the ongoing management of contracts and agreements with consultants, contractors and service providers once established, use Contract Management.
For acquisition policies, procedures and guidelines, use STRATEGY & GOVERNANCE - Policies & Procedures.
For donations of property, vehicles, equipment, artefacts, money or other items donated to the organisation, use Donations.]

Entry No.	Description of Records	Disposal Action	
198.003.001 Cont.	•	formal internal reports and reports made to external agencies;
•	periodic internal reports; 
•	responses to surveys by other agencies or by the central office of an agency;
•	analysis of business processes;
•	whole-of-government outsourcing solutions;
•	routine forms and correspondence relating to the acquisition;
•	acquisitions not proceeded with;
•	working papers.
[For the management of media items, use GOVERNMENT & STAKEHOLDER RELATIONS - Media Relations.
For joining organisations to obtain subscriptions to an organisation's publications, use GOVERNMENT & STAKEHOLDER RELATIONS - Partnerships & Collaboration.
For managing financial transactions supporting acquisition activities, use FINANCE & TREASURY MANAGEMENT - Accounting.
For the acquisition of applications and systems, use INFORMATION & COMMUNICATIONS TECHNOLOGY - Acquisition.]	Destroy 12 years after last action	

Advice
The activities associated with offering formal opinions and advice as to an action, judgement or topic.  Includes legal advice and formal advices required by legislation, e.g. Records Advice.

Entry No.	Description of Records	Disposal Action	
198.005.001	Records documenting the receipt and provision of whole-of-government advice to agencies or users relating to records and information management, including formal advice provided by the regulator.	Retain as Territory Archives	
*198.005.001*			
198.005.002	Records documenting the receipt and provision of routine or minor advice to agencies or users relating to records and information management.	Destroy 1 year after last action	
*198.005.002*			
Audit
The activities associated with officially checking the activities, processes, services and operations of organisations, companies or other entities to ensure conformance with agreed or legislated standards, policies, procedures, or other requirements.  Includes internal or external financial, recordkeeping, skills, systems, operational, quality assurance or compliance audits.

Entry No.	Description of Records	Disposal Action	
198.013.001	Records documenting audits of agencies for compliance to recordkeeping requirements by the regulating agency, including working papers and final reports.
[For internal and external audits conducted by the agency or other auditing bodies relating to records and information management, use STRATEGY & GOVERNANCE – Audit.]	Retain as Territory Archives	
*198.013.001*			

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

Entry No.	Description of Records	Disposal Action	
198.021.001	Records documenting the on-going monitoring of agency compliance with their Records Management Programs by the regulator.	Retain as Territory Archives	
*198.021.001*			
198.021.002	Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to records and information management (e.g. Australian Standard AS ISO 15489 Records Management). Includes records practices and recordkeeping systems.	Destroy 3 years after last action	
*198.021.002*			

Contract Management
The activities associated with managing the performance of work or the provision of services by external consultants and contractors following their initial engagement.  Includes instructions to contracted personnel, progress reports, monitoring of expenditure against budgets, and performance reviews.  Also includes outsourcing.
[For the initial selection and appointment of consultants and contractors, including tendering, selection, the establishment of contracts and terms of engagement, use Acquisition.
For material developed by contractors and consultants in accordance with their terms of engagement, use the relevant activity, (e.g. use Marketing & Publication, for marketing plans prepared for the organisation by consultants).]

Entry No.	Description of Records	Disposal Action	
198.276.001	Records documenting contract management relating to records and information management (e.g. courier and outsourced storage services). Includes:
•	minutes of meetings with main stakeholders;
•	formal internal reports and reports made to external agencies;
•	responses to information management surveys;
•	detailed and routine research supporting the management of contracts;
•	performance and evaluation reports;
•	working papers.	Destroy 7 years after last action	
*198.276.001*			

Disposal
The activities associated with the disposal of assets no longer required by sale, auction, transfer, destruction, decommissioning or other means.  Includes disposal plans, assessments and investigations, approvals, disposal agreements and arrangements and destruction or transfer of semi-active and inactive records and information.
[For disposal policies, procedures and guidelines, use Policies & Procedures.]

Entry No.	Description of Records	Disposal Action	
198.034.001	Records documenting destruction approvals and certificates of destruction provided by service providers or the transfer of the custody and ownership of records following the corporatisation or privatisation or sale of an agency, or part of an agency.	Retain as Territory Archives	
*198.034.001*			
198.034.002	Records documenting the disposal of records or culling of library collections and collections of non-agency publications by transfer, destruction (excludes records destruction approvals and certificates of destruction) and storage of records according to an approved records management program where the master control records have been annotated. Includes:
•	classified material;
•	transfer proposals;
•	consignment lists;
•	lists of records destroyed;
•	submissions seeking support for records disposal projects;
•	detailed and routine research carried out to support the disposal of records;
•	lists of records transferred to or from the custody a contractor under an outsourcing arrangement;
•	lists of records transferred to alternative storage providers;
•	formal internal reports and reports made to external agencies on records disposal;	Destroy 5 years after last action	
*198.034.002*			

Disposal (Continued)
The activities associated with the disposal of assets no longer required by sale, auction, transfer, destruction, decommissioning or other means.  Includes disposal plans, assessments and investigations, approvals, disposal agreements and arrangements and destruction or transfer of semi-active and inactive records and information.
[For disposal policies, procedures and guidelines, use Policies & Procedures.]

Entry No.	Description of Records	Disposal Action	
198.034.002 Cont.	•	periodic internal reports on general administrative matters used to monitor and document recurring disposal activities;
•	cumulative summary reports;
•	drafts and comments received;
•	work progress reports;
•	working papers.
[For lists of records destroyed where the master control records are not annotated, use RECORDS & INFORMATION MANAGEMENT – Operation & Control.	Destroy 5 years after last action	

Donations
The activities associated with managing money, equipment, artefacts, property, or other items donated either by or to the organisation, including unsolicited donations and gifts registers.
[For policies, procedures and guidelines relating to the receipt and handling of donations, use Policies & Procedures.
For sponsorships, use GOVERNMENT & STAKEHOLDER RELATIONS - Marketing & Publication.]

Entry No.	Description of Records	Disposal Action	
198.037.001	Records documenting donations of records or manuscript materials of archival or historical value to an agency for inclusion in the archives holdings of the Territory. Includes liaison with the owner on conditions of donation.	Retain as Territory Archives	
*198.037.001*			
198.037.002	Records documenting donations of other library or manuscript materials to an agency. Includes liaison with the owner on conditions of donation.
[For the disposal of library material after culling collections, use INFORMATION MANAGEMENT - Disposal.]	Destroy 7 years after disposal of item	
*198.037.002*			

Information Access & Use
The activities associated with handling requests to access and use information, including requests to access information under freedom of information, privacy or archives legislation, and requests to use or reproduce information subject to copyright or other intellectual property.  Also includes the application for and management of intellectual property, such as copyright associated with information resources.
[For policies, procedures, standards and guidelines in relation to information access and use, use Policies & Procedures.
For the application and management of intellectual property such as patents associated with the design and development of hardware and software, use INFORMATION & COMMUNICATIONS TECHNOLOGY - Systems Development.
For the application and management of intellectual property such as patents associated with the design and development of vehicles, equipment and other assets, use PROPERTY, EQUIPMENT & FLEET – Construction.
For the payment of money to collecting societies, use FINANCE & TREASURY MANAGEMENT - Accounting.
For guidelines and procedures to support the administration of reproduction services in the agency, use Policies & Procedures.]

Entry No.	Description of Records	Disposal Action	
198.418.001	Records documenting the management of access to and the use information, including requests to access information under freedom of information, privacy or archives legislation and other legislation specific to the agency, and requests to use or reproduce information subject to copyright and other intellectual property requests that:
•	sets a precedent;
•	leads to a change of policy;
•	relates to issues of national significance;
•	relates to issues of public controversy;
•	relates to agreements with other governments on archival resources resulting from joint activities, e.g. joint Royal Commissions;
•	results in appeals to the ACT Civil and Administrative Tribunal (ACAT) or the Federal or High Court;
•	results of reviews resulting in significant findings or actions.	Retain as Territory Archives	
*198.418.001*			
Information Access & Use (Continued)
The activities associated with handling requests to access and use information, including requests to access information under freedom of information, privacy or archives legislation, and requests to use or reproduce information subject to copyright or other intellectual property.  Also includes the application for and management of intellectual property, such as copyright associated with information resources.
[For policies, procedures, standards and guidelines in relation to information access and use, use Policies & Procedures.
For the application and management of intellectual property such as patents associated with the design and development of hardware and software, use INFORMATION & COMMUNICATIONS TECHNOLOGY - Systems Development.
For the application and management of intellectual property such as patents associated with the design and development of vehicles, equipment and other assets, use PROPERTY, EQUIPMENT & FLEET – Construction.
For the payment of money to collecting societies, use FINANCE & TREASURY MANAGEMENT - Accounting.
For guidelines and procedures to support the administration of reproduction services in the agency, use Policies & Procedures.]

Entry No.	Description of Records	Disposal Action	
198.418.002	Records documenting agreements made when an agency vests Crown copyright in another author or person/organisation.	Destroy 50 years after date of agreement or after the expiry date as specified in the agreement	
*198.418.002*			
198.418.003	Records documenting the management of access to and the use information, including requests to access information under freedom of information, privacy or archives legislation, and copyright and other intellectual property matters, including:
•	requests for access where there has been an internal review or complaint to the Ombudsman;
•	where there have been negotiations between an individual and the agency relating to the amendment or alteration of records;
•	less complex requests;
•	access applications which are not proceeded with;
•	access applications which are referred to another agency;	Destroy 10 years after last action	
*198.418.003*	•			

Information Access & Use (Continued)
The activities associated with handling requests to access and use information, including requests to access information under freedom of information, privacy or archives legislation, and requests to use or reproduce information subject to copyright or other intellectual property.  Also includes the application for and management of intellectual property, such as copyright associated with information resources.
[For policies, procedures, standards and guidelines in relation to information access and use, use Policies & Procedures.
For the application and management of intellectual property such as patents associated with the design and development of hardware and software, use INFORMATION & COMMUNICATIONS TECHNOLOGY - Systems Development.
For the application and management of intellectual property such as patents associated with the design and development of vehicles, equipment and other assets, use PROPERTY, EQUIPMENT & FLEET – Construction.
For the payment of money to collecting societies, use FINANCE & TREASURY MANAGEMENT - Accounting.
For guidelines and procedures to support the administration of reproduction services in the agency, use Policies & Procedures.]

Entry No.	Description of Records	Disposal Action	
198.418.003 Cont.	•	agreements, including negotiations, establishment, maintenance and review of agreements;
•	recurring or protracted access requests received from the public;
•	reviews of agency programs and operations;
•	submissions seeking support for a project;
•	agency and government wide management of copying and copyright;
•	formal internal reports and reports made to external agencies;
•	periodic internal reports on general administrative matters used to monitor and document recurring activities, including cumulative summary reports and work progress reports;
•	reviews of agency programs and operations;
•	working papers.	Destroy 10 years after last action	

Operation & Control
The activities associated with the day-to-day use, operation, control and security of land, property, vehicles, plant, equipment, systems, and information technology assets and associated services.  Includes the logging of damage, faults or incidents during operation, scheduling, inventory and stocktake, logging and reporting on day-to-day usage and operations, providing operational advice, instructions, helpdesk and support services and monitoring and reviewing the performance of daily operations.  Also includes controlling data, information and records to ensure maximum control over records and recordkeeping systems and mechanisms for other information resources and systems by creating, maintaining and evaluating control mechanisms for classification, indexing, registration, forms design, security and tracking, etc.
 [For operating policies, procedures, manuals and/or guidelines, use Policies & Procedures.
For proactive or reactive maintenance works required to keep land, property, vehicles, plant, equipment or systems in good condition and working order, use Maintenance.]

Entry No.	Description of Records	Disposal Action	
198.419.001	Records documenting methods for controlling data, information and records, recordkeeping systems and other information resources and systems, maintaining preserving, protecting, restoring and enhancing archival resources, heritage items and artefacts by creating and evaluating conservation projects, control mechanisms for classification, indexing, registration, managing security and tracking, etc., including:
•	master control records for recordkeeping systems (both paper and electronic);
•	master copies of file classification systems or authorised business classification schemes (currently created using the methodology of the Australian Standard AS ISO 15489 Records Management) and abbreviations used in paper and electronic systems;
•	the creation, maintenance and evaluation of thesauri, including master copy of a thesaurus;	Retain as Territory Archives	
*198.419.001*			

Operation & Control (Continued)
The activities associated with the day-to-day use, operation, control and security of land, property, vehicles, plant, equipment, systems, and information technology assets and associated services.  Includes the logging of damage, faults or incidents during operation, scheduling, inventory and stocktake, logging and reporting on day-to-day usage and operations, providing operational advice, instructions, helpdesk and support services and monitoring and reviewing the performance of daily operations.  Also includes controlling data, information and records to ensure maximum control over records and recordkeeping systems and mechanisms for other information resources and systems by creating, maintaining and evaluating control mechanisms for classification, indexing, registration, forms design, security and tracking, etc.
 [For operating policies, procedures, manuals and/or guidelines, use Policies & Procedures.
For proactive or reactive maintenance works required to keep land, property, vehicles, plant, equipment or systems in good condition and working order, use Maintenance.]

Entry No.	Description of Records	Disposal Action	
198.419.001 Cont.	•	business rules and configuration settings for metadata, including developmental records and requests for changes;
•	management of conservation projects for the preservation of rare, historical or heritage records or other information resources;
•	reviews of agency programs and operations supporting records and information management which result in significant findings or actions that cause major changes to government recordkeeping; 
•	major security breaches where classified records and information have been removed from official custody and passed to a third party, including referral to law enforcement authorities.
[For agency documentation of its functional analysis, the development of its business classification scheme and the recordkeeping requirements necessary for the creation of an agency Records Disposal Schedule and functional 	Retain as Territory Archives	

Operation & Control (Continued)
The activities associated with the day-to-day use, operation, control and security of land, property, vehicles, plant, equipment, systems, and information technology assets and associated services.  Includes the logging of damage, faults or incidents during operation, scheduling, inventory and stocktake, logging and reporting on day-to-day usage and operations, providing operational advice, instructions, helpdesk and support services and monitoring and reviewing the performance of daily operations.  Also includes controlling data, information and records to ensure maximum control over records and recordkeeping systems and mechanisms for other information resources and systems by creating, maintaining and evaluating control mechanisms for classification, indexing, registration, forms design, security and tracking, etc.
 [For operating policies, procedures, manuals and/or guidelines, use Policies & Procedures.
For proactive or reactive maintenance works required to keep land, property, vehicles, plant, equipment or systems in good condition and working order, use Maintenance.]

Entry No.	Description of Records	Disposal Action	
198.419.001 Cont.	thesaurus, use RECORDS & INFORMATION MANAGEMENT – Policies & Procedures.
For the application, allocation and maintenance of the metadata in electronic systems, use INFORMATION & COMMUNICATIONS TECHNOLOGY – Operation & Control.
For disciplinary action against staff for security related breaches involving records and information, use HUMAN RESOURCES – Performance Management.]	Retain as Territory Archives	
198.419.002	Records documenting the management and provision of recordkeeping, library and other information services, recordkeeping systems and other information resources and systems and ancillary records documenting the control of agency records, library and information resources by maintaining and evaluating mechanisms for preserving, protecting, restoring and enhancing archival resources, heritage items and artefacts, classification, indexing, registration, managing security and tracking, etc., including:	Destroy 7 years after last action	
*198.419.002*			

Operation & Control (Continued)
The activities associated with the day-to-day use, operation, control and security of land, property, vehicles, plant, equipment, systems, and information technology assets and associated services.  Includes the logging of damage, faults or incidents during operation, scheduling, inventory and stocktake, logging and reporting on day-to-day usage and operations, providing operational advice, instructions, helpdesk and support services and monitoring and reviewing the performance of daily operations.  Also includes controlling data, information and records to ensure maximum control over records and recordkeeping systems and mechanisms for other information resources and systems by creating, maintaining and evaluating control mechanisms for classification, indexing, registration, forms design, security and tracking, etc.
[For operating policies, procedures, manuals and/or guidelines, use Policies & Procedures.
For proactive or reactive maintenance works required to keep land, property, vehicles, plant, equipment or systems in good condition and working order, use Maintenance.]

Entry No.	Description of Records	Disposal Action	
198.419.002 Cont.	•	recordkeeping audits and file census;
•	forms design and publication;
•	receipt and dispatch of agency ordinary, registered and certified mail;
•	ancillary records documenting the control of agency records;
•	control records documenting library systems;
•	planning, monitoring and evaluation of specific services;
•	customer surveys;
•	development and publication of service charters and directives;
•	management and use of translation services;
•	internal and external distribution of correspondence and other information items;
•	distribution lists;
•	enquiries from agency employees or another organisations;
•	inventories of library materials;
•	evaluation of potential or existing services and systems;
•	implementation of systems within an agency;	Destroy 7 years after last action	

Operation & Control (Continued)
The activities associated with the day-to-day use, operation, control and security of land, property, vehicles, plant, equipment, systems, and information technology assets and associated services.  Includes the logging of damage, faults or incidents during operation, scheduling, inventory and stocktake, logging and reporting on day-to-day usage and operations, providing operational advice, instructions, helpdesk and support services and monitoring and reviewing the performance of daily operations.  Also includes controlling data, information and records to ensure maximum control over records and recordkeeping systems and mechanisms for other information resources and systems by creating, maintaining and evaluating control mechanisms for classification, indexing, registration, forms design, security and tracking, etc.
[For operating policies, procedures, manuals and/or guidelines, use Policies & Procedures.
For proactive or reactive maintenance works required to keep land, property, vehicles, plant, equipment or systems in good condition and working order, use Maintenance.]

Entry No.	Description of Records	Disposal Action	
198.419.002 Cont.	•	discovery orders and subpoenas;
•	inspections of agency records by a monitoring agency such as the Director of Territory Records or the Auditor General or any inspections of copyright records;
•	minutes and supporting documents tabled at internal or external agencies meetings;
•	formal internal reports and reports made to external agencies relating to records and information management;
•	cumulative summary reports and work progress reports;
•	working papers;
•	routine and detailed research;
•	reviews of agency programs and operations that result in no significant findings or actions;
•	management of agency conservation projects;
•	routine preservation activities;
•	specialised conservation treatment for agency records;
•	minor security breaches;	Destroy 7 years after last action	

Operation & Control (Continued)
The activities associated with the day-to-day use, operation, control and security of land, property, vehicles, plant, equipment, systems, and information technology assets and associated services.  Includes the logging of damage, faults or incidents during operation, scheduling, inventory and stocktake, logging and reporting on day-to-day usage and operations, providing operational advice, instructions, helpdesk and support services and monitoring and reviewing the performance of daily operations.  Also includes controlling data, information and records to ensure maximum control over records and recordkeeping systems and mechanisms for other information resources and systems by creating, maintaining and evaluating control mechanisms for classification, indexing, registration, forms design, security and tracking, etc.
[For operating policies, procedures, manuals and/or guidelines, use Policies & Procedures.
For proactive or reactive maintenance works required to keep land, property, vehicles, plant, equipment or systems in good condition and working order, use Maintenance.]

Entry No.	Description of Records	Disposal Action	
198.419.002 Cont.	•	security arrangements for handling records and information;
•	agency submissions seeking support for an information management project;
•	suggestions received and used to improve records and information management services.
[For copies of invoices relating to payments for inter-library loans, use RECORDS & INFORMATION MANAGEMENT - Acquisition.
For copies of copyright declaration forms, use RECORDS & INFORMATION MANAGEMENT - Information Access & Use.
For records relating to formal audits, use STRATEGY & GOVERNANCE - Audit.
For disciplinary action against staff for security related breaches involving records and information, use HUMAN RESOURCES – Performance Management.]	Destroy 7 years after last action	

Planning
The activities associated with carrying out systematic planning in order to meet strategic, business or operational goals and objectives.
[For the development of business and corporate plans which set the strategic agenda and direction for the organisation, use STRATEGY & GOVERNANCE – Planning.]
Note: Use the relevant activity where strategies and plans are developed to support a more specific process, (e.g. use Maintenance for maintenance plans, or Risk Management & Insurance for risk management plans and strategies).

Entry No.	Description of Records	Disposal Action	
198.079.001	Records documenting systematic planning related to the strategic, business or operational goals and objectives for the whole of government or inter-government management of records and information, including inter-government (both State/Territory and overseas) or inter-agency committees or working groups formed to consider matters relating to whole of government or inter-government strategies and objectives and the development and implementation of vital records and counter-disaster plans implemented after a disaster, etc., and emergency destruction plans for records and information resources.  Includes:
•	documents establishing a committee or working group;
•	agendas;
•	minutes;
•	reports;
•	recommendations;
•	a copy of current plan implemented for the disaster recovery process;
•	supporting documents such as briefing and discussion papers.	Retain as Territory Archives	
*198.079.001*			

Planning (Continued)
The activities associated with carrying out systematic planning in order to meet strategic, business or operational goals and objectives.
[For the development of business and corporate plans which set the strategic agenda and direction for the organisation, use STRATEGY & GOVERNANCE – Planning.]
Note: Use the relevant activity where strategies and plans are developed to support a more specific process, (e.g. use Maintenance for maintenance plans, or Risk Management & Insurance for risk management plans and strategies).

Entry No.	Description of Records	Disposal Action	
198.079.002	Records documenting the development, monitoring and evaluation of agency-wide information management plans. Includes:
•	vital records plans;
•	emergency destruction plans;
•	counter-disaster plans;
•	final versions of a section or business unit's plans, including state, regional or overseas office;
•	draft plans;
•	reports analysing issues;
•	comments received from areas of the agency;
•	internal and external committees or meetings formed or held to support and contribute to the development of plans;
•	evaluation of potential or existing library and recordkeeping systems;
•	research carried out to support records and information management planning;
•	formal or periodic internal reports and reports made to external agencies supporting  records and information management planning, including cumulative summary reports and work progress reports;
•	working papers supporting the committees, meetings or the planning process.	Destroy 7 years after last action	
*198.079.001*	•			

Policies & Procedures
The activities associated with drafting, developing and implementing policies, procedures, and guidelines establishing decisions, directions, precedents and standard methods of operating which act as a reference for future decision making, and maintaining their currency over time.  Includes guidelines devised by both internal and external sources of authority, rules and instructions.
[For policy proposals and guidelines which form legislative instruments, use STRATEGY & GOVERNANCE – Legislation.]

Entry No.	Description of Records	Disposal Action	
198.273.001	Records documenting the development and establishment of government wide records and information management policies and agency recordkeeping rules/guidelines. Includes: 
•	policy proposals;
•	research papers;
•	results of consultations;
•	supporting reports;
•	major drafts;
•	final policy documents;
•	master copies of recordkeeping rules/guidelines; 
•	supporting documentation.	Retain as Territory Archives	
*198.273.001*			
198.273.002	Records documenting the development and establishment of the agency's records and information management policies and procedures. Includes:
•	Records Management Programs;
•	information management security policies;
•	library collection development policies;
•	recordkeeping policies;
•	e-mail policies;
•	policy proposals;
•	research papers;
•	results of consultations;
•	supporting reports;
•	major drafts;
•	final policy documents;
•	snapshot of agency's recordkeeping requirement data;	Destroy 5 years after last action	
*198.273.002*			

Policies & Procedures (Continued)
The activities associated with drafting, developing and implementing policies, procedures, and guidelines establishing decisions, directions, precedents and standard methods of operating which act as a reference for future decision making, and maintaining their currency over time.  Includes guidelines devised by both internal and external sources of authority, rules and instructions.
[For policy proposals and guidelines which form legislative instruments, use STRATEGY & GOVERNANCE – Legislation.]

Entry No.	Description of Records	Disposal Action	
198.273.002 Cont.	•	comments made on the development of government wide records and information management policies;
•	the development of agency procedures;
•	drafts and input from other areas of the agency;
•	the creation of Records Disposal Schedules;
•	master sets of agency manuals, handbooks, directives, etc.;
•	working papers documenting the development of agency records and information management.
[For the master copy of the business classification schemes developed as the foundation document for the Records Disposal Schedule, use RECORDS & INFORMATION MANAGEMENT – Operation & Control.
For records documenting the transfer, destruction and storage of records, use RECORDS & INFORMATION MANAGEMENT - Disposal.
For the recordkeeping risk assessment report, use STRATEGY & GOVERNANCE - Risk Management & Insurance.]	Destroy 5 years after last action	

Standards
The activities associated with developing and/or implementing industry or organisation specific benchmarks for services and processes to enhance the quality and efficiency of an organisation, business or industry.
[For compliance with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements, use Compliance.]

Entry No.	Description of Records	Disposal Action	
198.100.001	Records documenting the development of government wide standards relating to records and information management in the Territory.	Retain as Territory Archives	
*198.100.001*			
198.100.002	Records documenting the implementation of industry, government and agency standards to support records and information management, (e.g. Australian Standard AS ISO 15489 Records Management).	Destroy 7 years after last action	
*198.100.002*			

RETAIN AS TERRITORY ARCHIVES
RECORDS & INFORMATION MANAGEMENT
The function of managing the records and information resources of government and its organisations to ensure recordkeeping compliance and to meet their operational needs and, if appropriate, to allow public access to the records consistent with the Territory Records Act 2002 and the Freedom of Information Act 1989.  Includes the creation, keeping, protection, preservation, storage and disposal of, and access to records of an organisation, and developing strategies to manage records as archival resources for the benefit of future generations. Also includes the acquisition, control and disposal of library and other information products or items kept for reference purposes and the provision of records and information services to internal and external customers.
[For evaluating, reviewing and reporting on the performance of the function, business area, or specific organisation programs and services, use STRATEGY & GOVERNANCE – Performance Management.
For the development of business and corporate plans which set the strategic agenda and direction for the organisation, use STRATEGY & GOVERNANCE – Planning.
For disaster and business continuity planning, taking out insurance premiums to manage risks and handling associated insurance claims, use STRATEGY & GOVERNANCE – Risk Management & Insurance.]
Advice
The activities associated with offering formal opinions and advice as to an action, judgement or topic.  Includes legal advice and formal advices required by legislation, e.g. Records Advice.

Entry No.	Description of Records	Disposal Action	
198.005.001	Records documenting the receipt and provision of whole-of-government advice to agencies or users relating to records and information management, including formal advice provided by the regulator.	Retain as Territory Archives	
*198.005.001*			

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

Entry No.	Description of Records	Disposal Action	
198.021.001	Records documenting the on-going monitoring of agency compliance with their Records Management Programs by the regulator.	Retain as Territory Archives	
*198.021.001*			
Disposal
The activities associated with the disposal of assets no longer required by sale, auction, transfer, destruction, decommissioning or other means.  Includes disposal plans, assessments and investigations, approvals, disposal agreements and arrangements and destruction or transfer of semi-active and inactive records and information.
[For disposal policies, procedures and guidelines, use Policies & Procedures.]

Entry No.	Description of Records	Disposal Action	
198.034.001	Records documenting destruction approvals and certificates of destruction provided by service providers or the transfer of the custody and ownership of records following the corporatisation or privatisation or sale of an agency, or part of an agency.	Retain as Territory Archives	
*198.034.001*			
Donations
The activities associated with managing money, equipment, artefacts, property, or other items donated either by or to the organisation, including unsolicited donations and gifts registers.
[For policies, procedures and guidelines relating to the receipt and handling of donations, use Policies & Procedures.
For sponsorships, use GOVERNMENT & STAKEHOLDER RELATIONS - Marketing & Publication.]

Entry No.	Description of Records	Disposal Action	
198.037.001	Records documenting donations of records or manuscript materials of archival or historical value to an agency for inclusion in the archives holdings of the Territory. Includes liaison with the owner on conditions of donation.	Retain as Territory Archives	
*198.037.001*			
Information Access & Use
The activities associated with handling requests to access and use information, including requests to access information under freedom of information, privacy or archives legislation, and requests to use or reproduce information subject to copyright or other intellectual property.  Also includes the application for and management of intellectual property, such as copyright associated with information resources.
[For policies, procedures, standards and guidelines in relation to information access and use, use Policies & Procedures.
For the application and management of intellectual property such as patents associated with the design and development of hardware and software, use INFORMATION & COMMUNICATIONS TECHNOLOGY - Systems Development.
For the application and management of intellectual property such as patents associated with the design and development of vehicles, equipment and other assets, use PROPERTY, EQUIPMENT & FLEET – Construction.
For the payment of money to collecting societies, use FINANCE & TREASURY MANAGEMENT - Accounting.
For guidelines and procedures to support the administration of reproduction services in the agency, use Policies & Procedures.]

Entry No.	Description of Records	Disposal Action	
198.418.001	Records documenting the management of access to and the use information, including requests to access information under freedom of information, privacy or archives legislation and other legislation specific to the agency, and requests to use or reproduce information subject to copyright and other intellectual property requests that:
•	sets a precedent;
•	leads to a change of policy;
•	relates to issues of national significance;
•	relates to issues of public controversy;
•	relates to agreements with other governments on archival resources resulting from joint activities, e.g. joint Royal Commissions;
•	results in appeals to the ACT Civil and Administrative Tribunal (ACAT) or the Federal or High Court;
•	results of reviews resulting in significant findings or actions.	Retain as Territory Archives	

Operation & Control
The activities associated with the day-to-day use, operation, control and security of land, property, vehicles, plant, equipment, systems, and information technology assets and associated services.  Includes the logging of damage, faults or incidents during operation, scheduling, inventory and stocktake, logging and reporting on day-to-day usage and operations, providing operational advice, instructions, helpdesk and support services and monitoring and reviewing the performance of daily operations.  Also includes controlling data, information and records to ensure maximum control over records and recordkeeping systems and mechanisms for other information resources and systems by creating, maintaining and evaluating control mechanisms for classification, indexing, registration, forms design, security and tracking, etc.
[For operating policies, procedures, manuals and/or guidelines, use Policies & Procedures.
For proactive or reactive maintenance works required to keep land, property, vehicles, plant, equipment or systems in good condition and working order, use Maintenance.]

Entry No.	Description of Records	Disposal Action	
198.419.001	Records documenting methods for controlling data, information and records, recordkeeping systems and other information resources and systems, maintaining preserving, protecting, restoring and enhancing archival resources, heritage items and artefacts by creating and evaluating conservation projects, control mechanisms for classification, indexing, registration, managing security and tracking, etc., including:
•	master control records for recordkeeping systems (both paper and electronic);
•	master copies of file classification systems or authorised business classification schemes (currently created using the methodology of the Australian Standard AS ISO 15489 Records Management) and abbreviations used in paper and electronic systems;
•	the creation, maintenance and evaluation of thesauri, including master copy of a thesaurus;	Retain as Territory Archives	
*198.419.001*			

Operation & Control (Continued)
The activities associated with the day-to-day use, operation, control and security of land, property, vehicles, plant, equipment, systems, and information technology assets and associated services.  Includes the logging of damage, faults or incidents during operation, scheduling, inventory and stocktake, logging and reporting on day-to-day usage and operations, providing operational advice, instructions, helpdesk and support services and monitoring and reviewing the performance of daily operations.  Also includes controlling data, information and records to ensure maximum control over records and recordkeeping systems and mechanisms for other information resources and systems by creating, maintaining and evaluating control mechanisms for classification, indexing, registration, forms design, security and tracking, etc.
[For operating policies, procedures, manuals and/or guidelines, use Policies & Procedures.
For proactive or reactive maintenance works required to keep land, property, vehicles, plant, equipment or systems in good condition and working order, use Maintenance.]

Entry No.	Description of Records	Disposal Action	
198.419.001 Cont.	•	business rules and configuration settings for metadata, including developmental records and requests for changes;
•	management of conservation projects for the preservation of rare, historical or heritage records or other information resources;
•	reviews of agency programs and operations supporting records and information management which result in significant findings or actions that cause major changes to government recordkeeping; 
•	major security breaches where classified records and information have been removed from official custody and passed to a third party, including referral to law enforcement authorities.
[For agency documentation of its functional analysis, the development of its business classification scheme and the recordkeeping requirements necessary for the creation of an agency Records Disposal Schedule and functional 	Retain as Territory Archives	

Operation & Control (Continued)
The activities associated with the day-to-day use, operation, control and security of land, property, vehicles, plant, equipment, systems, and information technology assets and associated services.  Includes the logging of damage, faults or incidents during operation, scheduling, inventory and stocktake, logging and reporting on day-to-day usage and operations, providing operational advice, instructions, helpdesk and support services and monitoring and reviewing the performance of daily operations.  Also includes controlling data, information and records to ensure maximum control over records and recordkeeping systems and mechanisms for other information resources and systems by creating, maintaining and evaluating control mechanisms for classification, indexing, registration, forms design, security and tracking, etc.
[For operating policies, procedures, manuals and/or guidelines, use Policies & Procedures.
For proactive or reactive maintenance works required to keep land, property, vehicles, plant, equipment or systems in good condition and working order, use Maintenance.]

Entry No.	Description of Records	Disposal Action	
198.419.001 Cont.	thesaurus, use RECORDS & INFORMATION MANAGEMENT – Policies & Procedures.
For the application, allocation and maintenance of the metadata in electronic systems, use INFORMATION & COMMUNICATIONS TECHNOLOGY – Operation & Control.
For disciplinary action against staff for security related breaches involving records and information, use HUMAN RESOURCES – Performance Management.]	Retain as Territory Archives	

Planning
The activities associated with carrying out systematic planning in order to meet strategic, business or operational goals and objectives.
[For the development of business and corporate plans which set the strategic agenda and direction for the organisation, use STRATEGY & GOVERNANCE – Planning.]
Note: Use the relevant activity where strategies and plans are developed to support a more specific process, (e.g. use Maintenance for maintenance plans, or Risk Management & Insurance for risk management plans and strategies).

Entry No.	Description of Records	Disposal Action	
198.079.001	Records documenting systematic planning related to the strategic, business or operational goals and objectives for the whole of government or inter-government management of records and information, including inter-government (both State/Territory and overseas) or inter-agency committees or working groups formed to consider matters relating to whole of government or inter-government strategies and objectives and the development and implementation of vital records and counter-disaster plans implemented after a disaster, etc., and emergency destruction plans for records and information resources.  Includes:
•	documents establishing a committee or working group;
•	agendas;
•	minutes;
•	reports;
•	recommendations;
•	a copy of current plan implemented for the disaster recovery process;
•	supporting documents such as briefing and discussion papers.	Retain as Territory Archives	
*198.079.001*			

Policies & Procedures
The activities associated with drafting, developing and implementing policies, procedures, and guidelines establishing decisions, directions, precedents and standard methods of operating which act as a reference for future decision making, and maintaining their currency over time.  Includes guidelines devised by both internal and external sources of authority, rules and instructions.
[For policy proposals and guidelines which form legislative instruments, use STRATEGY & GOVERNANCE – Legislation.]

Entry No.	Description of Records	Disposal Action	
198.273.001	Records documenting the development and establishment of government wide records and information management policies and agency recordkeeping rules/guidelines. Includes: 
•	policy proposals;
•	research papers;
•	results of consultations;
•	supporting reports;
•	major drafts;
•	final policy documents;
•	master copies of recordkeeping rules/guidelines;
•	supporting documentation.	Retain as Territory Archives	
*198.273.001*			
Standards
The activities associated with developing and/or implementing industry or organisation specific benchmarks for services and processes to enhance the quality and efficiency of an organisation, business or industry.
[For compliance with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements, use Compliance.]

Entry No.	Description of Records	Disposal Action	
198.100.001	Records documenting the development of government wide standards relating to records and information management in the Territory.	Retain as Territory Archives	
*198.100.001*