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12.0.0 INFORMATION MANAGEMENT (GA28)

The function of managing the organisation's information and knowledge resources. Includes creating, capturing, registering, classifying, indexing, storing, retrieving and disposing of records and developing strategies to manage records. Also includes the acquisition, control and disposal of library and other information products, items kept for reference purposes, and the provision of services to internal and external customers, based on information resources. Knowledge management initiatives, the management of archival records and requests for access under relevant legislation, such as Freedom of Information (FOI), the Government Information (Public Access) Act (GIPA) and records and privacy legislation, are also covered under this function.

See the organisation's functional retention and disposal authority for records relating to specific information that is created and managed as part of the performance of the organisation's functions, e.g. spatial information, scientific information.

See PUBLICATION - Production for records relating to the design and updating of the content of websites.

See TECHNOLOGY & TELECOMMUNICATIONS for records relating to management of technology and telecommunications resources.


12.1.0 ACQUISITION | ADVICE | 12.2.0 AGREEMENTS | 12.3.0 APPEALS | 12.4.0 AUDIT | 12.5.0 AUTHORISATION | 12.6.0 CASES | COMMITTEES | 12.7.0 COMPLIANCE | 12.8.0 CONSERVATION | CONTRACTING-OUT | 12.9.0 CONTROL | 12.10.0 CUSTOMER SERVICE | DATA ADMINISTRATION | 12.11.0 DISPOSAL | 12.12.0 DISTRIBUTION | 12.13.0 DONATIONS | 12.14.0 ENQUIRIES | 12.15.0 EVALUATION | 12.16.0 IMPLEMENTATION | INSPECTIONS | 12.17.0 INTELLECTUAL PROPERTY | 12.18.0 INVENTORY | 12.19.0 MARKETING | MEETINGS | 12.20.0 PLANNING | 12.21.0 POLICY | PRIVACY | 12.22.0 PROCEDURES | 12.23.0 REPORTING | RESEARCH | 12.24.0 REVIEWING | RISK MANAGEMENT | 12.25.0 SECURITY | STANDARDS | SUGGESTIONS | TENDERING

12.1.0 ACQUISITION

The process of gaining ownership or use of resources required for the conduct of business through purchase or requisition.

See the organisation's functional retention and disposal authority for records relating to the acquisition of resources if the organisation is involved in the acquisition of unique or rare collection items, e.g. State Library of NSW.

See COMMUNITY RELATIONS - Acquisition for records relating to the acquisition of services such as news cutting services.

See COMMUNITY RELATIONS - Liaison for records relating to joining organisations, e.g. professional associations, to obtain subscriptions to publications.

See CONTRACTING-OUT for records relating to the acquisition of services through a contracting-out or outsourcing process.

See EQUIPMENT & STORES - Acquisition for records relating to the acquisition of equipment and stores, e.g. file covers.

See FINANCIAL MANAGEMENT - Accounting for records relating to financial transactions supporting acquisitions.

See INFORMATION MANAGEMENT - Donations for records relating to the donation of information resources, e.g. books, to the organisation.

See TECHNOLOGY & TELECOMMUNICATIONS - Acquisition for records relating to the acquisition of technology and telecommunications equipment and systems.

See TENDERING for records relating to receiving and assessing tenders.

NoDescription of recordsDisposal action
12.1.1 Records relating to the acquisition of information management resources, e.g. books, and information services, online services, telephone information lines etc, where there is no tendering or contracting-out process, i.e. where the cost of the acquisition is below the threshold for tendering. Records include:
  • orders
  • subscriptions and renewals
  • related correspondence.
Retain minimum of 7 years after action completed, then destroy

ADVICE

See INFORMATION MANAGEMENT relevant activity for records relating to advice given or received by the organisation regarding particular issues concerning information management, e.g. use INFORMATION MANAGEMENT – COMPLIANCE for records relating to advice received regarding compliance issues, e.g. use INFORMATION MANAGEMENT – DISPOSAL for records relating to advice received from State Records regarding disposal.

See INFORMATION MANAGEMENT - Cases for records relating to requests for or decisions regarding access to or alteration of information under relevant legislation, e.g. Freedom of Information (FOI).

See INFORMATION MANAGEMENT - Customer service for records relating to advice on customer services regarding information management provided by the organisation.

See INFORMATION MANAGEMENT - Enquiries

.for records relating to the handling of enquiries relating to the information management services or holdings of the organisation.

12.2.0 AGREEMENTS

The processes associated with the establishment, negotiation, maintenance and review of agreements.

See CONTRACTING-OUT for records relating to the acquisition of services through a contracting-out or outsourcing process.

See INFORMATION MANAGEMENT - Customer service for records relating to charters, standards or guarantees relating to the provision of information management services to clients.

See TENDERING for records relating to receiving and assessing tenders.

NoDescription of recordsDisposal action
12.2.1 Records relating to the establishment, negotiation, maintenance and review of agreements regarding the provision of information or knowledge management services or the management of information resources that do not form part of contracting-out or tendering arrangements, e.g. agreements for Kinetica services with the National Library of Australia, agreements with State Records for the distributed management of State archives, licensing agreements for thesauri, records confidentiality agreements with external organisations, agreements to share or access records or information resources etc. Records include:
  • correspondence and negotiations including minutes or notes of meetings with main stakeholders
  • drafts containing significant changes/alterations or formally circulated for comment
  • final, approved versions of agreements
  • reviews of agreements.
Retain minimum of 7 years after expiry or termination of agreement or minimum of 7 years after action completed, whichever is longer, then destroy

12.3.0 APPEALS

The activities involved in the process of appealing against decisions by application to a higher authority.

See INFORMATION MANAGEMENT - Cases for records relating to appeals against decisions regarding access to or alteration of information under relevant legislation, e.g. Freedom of Information (FOI).

NoDescription of recordsDisposal action
12.3.1 Records relating to matters that are referred to the relevant Minister for determination or review, e.g. requests made under s.7(5) or s.17 of the State Records Act. Required as State archives

12.4.0 AUDIT

The activities associated with officially checking quality assurance and operational records, systems or processes to confirm legislation, directions and regulations have been adhered to or that operations are carried out efficiently, economically and in compliance with requirements.

See FINANCIAL MANAGEMENT - Audit for records relating to formal audits of accounts or the management of financial resources.

See INFORMATION MANAGEMENT - Compliance for records relating to the organisation's compliance with mandatory or optional standards or requirements regarding information management to which the organisation is subject.

See INFORMATION MANAGEMENT - Evaluation for records relating to the evaluation of potential or existing information management programs, services and systems that are not formal audits.

See INFORMATION MANAGEMENT - Inventory for records relating to inventories of library materials or records censuses undertaken to monitor location control.

See INFORMATION MANAGEMENT - Reviewing for records relating to the review of potential or existing information management programs, services and systems that are not formal audits.

See STRATEGIC MANAGEMENT - Audit for records relating to audits which cross functions, examine core functions or measure organisational performance or compliance at a strategic level.

NoDescription of recordsDisposal action
12.4.1 Records relating to information management audits, e.g. audits regarding compliance with records or privacy legislation or quality management standards, performance audits etc. Records include:
  • records of audit planning or liaison with auditing body
  • minutes or notes of meetings
  • notes taken at interviews
  • correspondence
  • draft versions of reports containing significant changes/alterations or formally circulated for comment
  • final, approved versions of reports
  • records of remedial action.
Retain minimum of 6 years after action completed, then destroy

12.5.0 AUTHORISATION

The process of seeking and granting permission to undertake a requested action.

See CONTRACTING-OUT for records relating to authorisation when it forms part of a contract between the organisation and the external party.

See INFORMATION MANAGEMENT - Agreements for records relating to agreements regarding the provision of information or knowledge management services or the management of information resources that do not form part of contracting-out or tendering arrangements.

See INFORMATION MANAGEMENT - Cases for records relating to requests for or decisions regarding access to or alteration of information under relevant legislation, e.g. Freedom of Information (FOI), privacy etc, and for discretionary access to the organisation's records.

See INFORMATION MANAGEMENT - Disposal for records relating to internal authorisation for the disposal of records.

NoDescription of recordsDisposal action
12.5.1 Records relating to authorisations for employees to access records that have been transferred to other organisations following administrative change, privatisation or the outsourcing of functions. Retain minimum of 6 years after authorisation expires, then destroy

12.6.0 CASES

The activities associated with maintaining individual case files relating to requests for or decisions regarding public access to records under relevant legislation, e.g. GIPA, Freedom of Information (FOI), privacy or records legislation or legislation specific to the organisation.

See INFORMATION MANAGEMENT - Compliance for records relating to breaches or suspected breaches regarding access to information.

See INFORMATION MANAGEMENT - Reporting for records relating to Freedom of Information (FOI) reporting, including Statements of Affairs, Summary of Affairs and periodical reports.

See INFORMATION MANAGEMENT - Security for records relating to security breaches affecting information resources.

NoDescription of recordsDisposal action
12.6.1 Records relating to requests for or decisions regarding access to or alteration of information under relevant legislation, e.g. GIPA, Freedom of Information (FOI), privacy or records legislation or legislation specific to the organisation, where the decision to grant or refuse access or alteration:
  • sets a precedent, or
  • leads to a major change in policies.

Records include:
  • applications
  • records of decisions or directions
  • related correspondence
  • records of alterations or notations to records claimed to be incomplete, incorrect, irrelevant, out of date or misleading
  • records relating to internal or external reviews or appeals of decisions.
Required as State archives
12.6.2 Records relating to recurring or protracted requests for or decisions regarding access to or alteration of information under relevant legislation, e.g. GIPA, Freedom of Information (FOI), privacy or records legislation or legislation specific to the organisation, where the decision to grant or refuse access or alteration does not:
  • set a precedent, or
  • lead to a major change in policies.

Records include:
  • applications
  • records of decisions or directions
  • related correspondence
  • records of alterations or notations to records claimed to be incomplete, incorrect, irrelevant, out of date or misleading
  • records relating to internal or external reviews or appeals of decisions.
Retain minimum of 10 years after action completed, then destroy
12.6.3 Records relating to requests for or decisions regarding access to or alteration of information under relevant legislation, e.g. GIPA, Freedom of Information (FOI), privacy or records legislation or legislation specific to the organisation, where the request is not recurring or protracted and the decision to grant or refuse access or alteration does not:
  • set a precedent, or
  • lead to a major change in policies.

Records include:
  • applications
  • records of decisions or directions
  • related correspondence
  • records of alterations or notations to records claimed to be incomplete, incorrect, irrelevant, out of date or misleading
  • records relating to internal or external reviews or appeals of decisions.
Retain minimum of 5 years after action completed, then destroy
12.6.4 Records relating to requests for access to or alteration of information under relevant legislation, e.g. GIPA, Freedom of Information (FOI), privacy or records legislation or legislation specific to the organisation, where:
  • the request was withdrawn
  • the request lapsed because of non payment of application fees
  • the request was not relevant to the organisation
  • the applicant was referred to another organisation, or
  • information was not supplied because it was already readily available to the public.
Retain minimum of 2 years after action completed, then destroy
12.6.5 Summary records or registration systems created to facilitate the management of access requests and their outcomes, e.g. Freedom of Information (FOI) registers.
Note: With paper-based registers, retain minimum of 5 years after last entry in the register. With electronic registers, retain minimum of 5 years after last update or amendment to an entry, or after data has become obsolete, then destroy.
Retain minimum of 5 years after action completed, then destroy
12.6.6 Records relating to the handling of requests for discretionary access to the organisation's records that does not involve the application of legislation such as GIPA, Freedom of Information (FOI), privacy or records legislation or legislation specific to the organisation, e.g. access provided to family members or researchers given outside these Acts. Includes approvals and refusals. Retain minimum of 5 years after action completed, then destroy
12.6.7 Records relating to requests for the suppression of information in public registers maintained by the organisation, in accordance with privacy legislation. Includes approvals and refusals. Retain minimum of 5 years after action completed, then destroy

COMMITTEES

See COMMITTEES for records relating to the formation, meetings and decisions of committees, task forces, working groups or parties etc.

12.7.0 COMPLIANCE

The activities associated with complying with mandatory or optional accountability, legal, regulatory or quality standards or requirements to which the organisation is subject. Includes compliance with legislation and with national and international standards.

See the organisation's functional retention and disposal authority for records relating to compliance if one of the functions of the organisation is to monitor and assess the compliance of other organisations with legislation, government policies etc.

See INFORMATION MANAGEMENT - Audit for records relating to formal internal or external information management audits against compliance requirements.

See INFORMATION MANAGEMENT - Cases for records relating to specific cases regarding access to or alteration of the organisation's information, e.g. applications for access under Freedom of Information (FOI), privacy or records legislation.

See INFORMATION MANAGEMENT - Planning for records relating to the development and review of information management plans such as Privacy Management Plans or Health Privacy Management Plans.

See INFORMATION MANAGEMENT - Policy for records relating to the development and review of information management policies such as Codes of Practice under the privacy legislation, records management policies etc.

See LEGAL SERVICES - Litigation for records relating to prosecution of the organisation for breaches of compliance requirements.

NoDescription of recordsDisposal action
12.7.1 Records relating to the organisation's compliance with mandatory or optional standards or with statutory requirements regarding information management which do not involve individual cases, e.g. records documenting compliance with the Library Act 1939, international standards such as AS ISO 15489 Records Management, State Records Act 1998 and standards released under the Act or privacy or information protection and security requirements.
Records include:
  • records of inspections by monitoring organisations such as State Records to monitor compliance
  • advice provided on compliance issues.

Note: Retention period is provided as a guideline only. Any records providing evidence of organisational compliance with statutory or administrative requirements must be kept as long as the organisation has to account for its actions.
Retain minimum of 6 years after action completed, then destroy
12.7.2 Records relating to requests for exemption from complying with statutory requirements, e.g. requests to the Privacy Commissioner to exempt the organisation from complying with an information protection principle or health privacy principle, requests to State Records to exempt an organisation from the application of standards etc. Records include:
  • requests for exemption
  • correspondence with relevant bodies concerning requests including advice given and received
  • records of negotiation or refusal of requests
  • directions from relevant bodies exempting the organisation from compliance.
Retain minimum of 10 years after exemption is refused, revoked or superseded, then destroy
12.7.3 Records relating to breaches or suspected breaches of privacy. Records include:
  • complaints
  • records of investigations
  • correspondence with stakeholders
  • records of conciliation
  • reports and recommendations
  • records of remedial action.
Retain minimum of 10 years after action completed, then destroy
12.7.4 Records relating to breaches or suspected breaches of statutory requirements for the management of records or information resources other than privacy, e.g. breaches of the State Records Act 1998, FOI reporting obligations etc. Records include:
  • complaints
  • reports of breaches/suspected breaches
  • records of investigations
  • correspondence with stakeholders
  • records of conciliation
  • reports and recommendations
  • records of remedial action.

See STRATEGIC MANAGEMENT - Compliance for records relating to breaches of requirements in relation to use of the organisation's intellectual property rights, including breaches of copyright.
Retain minimum of 5 years after action completed, then destroy
12.7.5 Records relating to still in use determinations made by the organisation in accordance with State records legislation. Includes reviews and approval by the Minister responsible for the organisation. Retain minimum of 1 year after determination has expired or been revoked, or until the records have been transferred as State archives, then destroy

12.8.0 CONSERVATION

The activities involved in the preservation, protection, maintenance, restoration and enhancement of information resources.

See the organisation's functional retention and disposal authority for records relating to conservation when it supports a core function or is a functional responsibility of the organisation, e.g. a library, museum or archive.

See STRATEGIC MANAGEMENT - Planning for records relating to business continuity or counter disaster plans.

NoDescription of recordsDisposal action
12.8.1 Records relating to ongoing preservation measures for the protection of collections of information resources. Includes the monitoring of light, temperature and humidity and pest control in storage areas, packaging etc and project management records for conservation projects. Retain minimum of 5 years after action completed, then destroy
12.8.2 Records relating to specialised conservation treatments, e.g. major repairs, treatment of pest infestations etc undertaken on particular record items when the records are required as State archives. Includes conservation treatments provided by consultants.

Transfer to State Records when records are transferred or retain in organisation if records are managed under a distributed management agreement

12.8.3 Records relating to specialised conservation treatments, e.g. major repairs, treatment of pest infestations etc undertaken on particular record items when the records are not required as State archives. Includes conservation treatments provided by consultants. Retain until treated records are disposed of, then destroy
12.8.4 Records relating to routine conservation treatments of the organisation's office records, library and other information resources. Includes book binding and minor repairs. Retain until administrative or reference use ceases, then destroy

CONTRACTING-OUT

See CONTRACTING-OUT for records relating to the acquisition of services through a contracting-out or outsourcing process.

See TENDERING for records relating to receiving and assessing tenders.

12.9.0 CONTROL

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

See INFORMATION MANAGEMENT - Disposal for records relating to the implementation of disposal decisions.

See INFORMATION MANAGEMENT - Policy for records relating to the development and review of retention and disposal authorities produced for the organisation.

See TECHNOLOGY & TELECOMMUNICATIONS - Application development & management for records relating to the application, allocation and maintenance of metadata in electronic systems.

NoDescription of recordsDisposal action
12.9.1 Primary control records for records required as State archives,* which are required to facilitate access and give meaning and context to the records over time. Records include:
  • indexes
  • correspondence/file registers or registration systems
  • mandatory New South Wales Recordkeeping Metadata Standard (NRKMS) data elements. (See Recordkeeping in Brief 18: Introducing recordkeeping metadata).

* Note: This includes current records as well as records maintained as part of an organisation's own archives.
Note: Before transfer, State Records should be contacted to discuss what control records the organisation holds for records required as State archives so that an assessment can be made of their value in facilitating ongoing access/preservation to State archives.
Required as State archives
12.9.2 Primary control records for records which are required as State archives but which are not required to facilitate access and give meaning and context to the records over time. Records include:
  • indexes
  • correspondence/file registers or registration systems
  • metadata.

Note: Retention period is a minimum only. Records control systems for particular functions or activities may be required for longer periods depending on the risks associated with the conduct of particular activities and the potential for or likelihood of the organisation being required to provide evidence of the destruction of records. These should be determined in relation to the organisations' business needs.
Note: Before disposal, State Records should be contacted to discuss what control records the organisation holds so that an assessment can be made of their value in facilitating ongoing access.
Retain minimum of 20 years after records to which they relate are finally disposed of, then destroy
12.9.3 Primary control records for records not required as State archives. Records include:
  • indexes
  • correspondence/file registers or registration systems
  • metadata.

Note: Retention period is a minimum only. Records control systems for particular functions or activities may be required for longer periods depending on the risks associated with the conduct of particular activities and the potential for or likelihood of the organisation being required to provide evidence of the destruction of records. These should be determined in relation to the organisations' business needs.
Retain minimum of 20 years after records to which they relate are destroyed or finally disposed of, then destroy
12.9.4 Secondary control records. Records include:
  • file or container movement records (if secondary to the main registers and indexes)
  • reference sets of control records (e.g. within branches/regions of organisation where master control records are retained centrally)
  • resubmit, barcode and location lists
  • superseded sets of control records where information has been fully transferred to a new system
  • workflow tracking systems facilitating the tracking and monitoring of cases where the systems are not acting as records management systems, e.g. Ministerial tracking systems, minor case management tracking systems.

See the organisation's functional retention and disposal authority for major case management or registration systems that are concerned with the management of core functions.
Retain until administrative or reference use ceases, then destroy
12.9.5 Control records relating to the organisation's library systems. Records include:
  • catalogues
  • authority files of subject headings
  • classification schemes
  • thesauri created by libraries for specialised use
  • loan and inter-library loan records.
Retain until administrative or reference use ceases, then destroy
12.9.6 Final versions and substantive revisions of business classification schemes (BCS), thesauri for record titling, authorised abbreviations and metadata rules and dictionaries. Required as State archives
12.9.7 Records relating to the research, development, implementation, maintenance and review of the organisation's business classification schemes (BCS), thesauri for record titling, authorised abbreviations and metadata rules and dictionaries. Retain until administrative or reference use ceases, then destroy
12.9.8 Records relating to the receipt and dispatch of the organisation's mail. Includes receipts and/or registers for registered and certified mail.
Note: With paper-based registers, retain minimum of 3 years after last entry in the register. With electronic registers, retain minimum of 3 years after last update or amendment to an entry, or after data has become obsolete, then destroy.
Retain minimum of 3 years after action completed, then destroy
12.9.9 Records relating to the recall and return of records from offsite storage or from State archives. Retain minimum of 2 years after return of record, then destroy

12.10.0 CUSTOMER SERVICE

The activities associated with establishing standards of customer service and administering specialised services provided to customers by the organisation.

See INFORMATION MANAGEMENT - Agreements for records relating to the establishment, negotiation, maintenance and review of service level agreements between information management providers and the rest of the organisation.

See INFORMATION MANAGEMENT - Enquiries for records relating to enquiries concerning the information management services or holdings of the organisation.

NoDescription of recordsDisposal action
12.10.1 Final, approved versions of charters, standards or guarantees relating to the provision of information management services to clients. Retain minimum of 2 years after superseded, then destroy
12.10.2 Records relating to the development and review of charters, standards or guarantees relating to the provision of information management services to clients. Records include:
  • background research
  • draft versions containing significant changes/alterations or formally circulated for comment
  • reports analysing issues and the outcomes of consultation with employees, unions, other stakeholders etc.
Retain until administrative or reference use ceases, then destroy
12.10.3 Records relating to the administration of specialised information services to support the provision of customer services, e.g. help/information desks, translation services, outreach services etc. Retain minimum of 2 years after action completed, then destroy
12.10.4 Records relating to advice on customer services regarding information management provided by the organisation. Retain minimum of 2 years after action completed, then destroy
12.10.5 Records relating to suggestions received from personnel and the public in relation to information management services. Retain until administrative or reference use ceases, then destroy
12.10.6 Contact details of clients, e.g. email lists, telephone lists. Retain until superseded, then destroy

DATA ADMINISTRATION

See INFORMATION MANAGEMENT - Control for records relating to the research, development, implementation, maintenance and review of system data standards such as metadata rules and dictionaries.

See TECHNOLOGY & TELECOMMUNICATIONS - Implementation for records relating to migration strategies and quality assurance checks for migration.

See General retention and disposal authority: imaged records for records that have been copied using imaging or microfilming technologies.

12.11.0 DISPOSAL

The process of disposing of records or information resources no longer required by the organisation. Includes destruction or transfer to State records, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into low-cost or archival storage.

Note: Control systems should be updated with disposal information.

See INFORMATION MANAGEMENT - Control for primary control records for records required as State archives.

See INFORMATION MANAGEMENT - Policy for records relating to the development and review of retention and disposal authorities produced for the organisation.

NoDescription of recordsDisposal action
12.11.1 Records relating to the implementation of records disposal decisions. Includes internal lists and approval for the destruction of records, advice from State Records regarding authorisation for the disposal of records and certificates of destruction. Excludes internal decisions to extend retention periods.
Note: Records may be required for long periods as evidence of accountable destruction. Records regarding core business functions and areas of risk may need to be retained for longer periods.
Retain minimum of 20 years after action completed, then destroy
12.11.2 Records relating to internal decisions to extend records retention periods.
Note: If these decisions are to be incorporated into revisions of retention and disposal authorities, retain in accordance with the relevant entry under INFORMATION MANAGEMENT - POLICY.
Retain until decision is superseded or until records are destroyed, whichever is shorter, then destroy
12.11.3 Records relating to the transfer of records as State archives. Records include:
  • transfer proposals
  • lists of series proposed for transfer
  • series information
  • consignment lists
  • records of notification from State Records of approval
  • proof of receipt of records by State Records
  • amended consignment lists from State Records
  • related correspondence.

Note: These records are not required as State archives. However, they should be retained by the organisation as a record of exactly what was transferred to archives and for the organisation's reference so they know what records they continue to be responsible for.

Retain in organisation or transfer to successor organisation as required

12.11.4 Records relating to the transfer of records to commercial storage. Records include:
  • consignment lists
  • proof of receipt of records by storage provider
  • related correspondence.

Retain while records remain in commercial storage, then destroy

12.11.5 Records relating to the temporary transfer of records to the custody of another organisation as a consequence of administrative arrangements. Records include listings or details of records transferred.

Retain as long as the custodial relationship exists and until the records are returned, then destroy

12.11.6 Records relating to the transfer of records to successor organisations as a consequence of changes in administrative arrangements or functions or privatisation. Retain minimum of 20 years after action completed, then destroy
12.11.7 Records relating to the recovery of records and their return to official custody, i.e. the recovery of estrays. (Estrays are records of the organisation that have passed into private ownership, generally without approval). Records include:
  • minutes or notes of meetings and correspondence with State Records and the organisations or individuals who have custody
  • records of decisions regarding management and recovery
  • reports of outcomes.
Retain minimum of 7 years after action completed, then destroy
12.11.8 Records relating to the culling of library or information resource collections. Retain minimum of 7 years after action completed, then destroy
12.11.9 Existing master collections of major publications produced by the organisation or its predecessor and retained, e.g. in the organisation's library, where they are unlikely to have been captured in recordkeeping systems.
Note: Organisational publications should be covered in the organisation's functional retention and disposal authority. This entry allows the discretionary intake of particular publications as State archives. Its application will be limited. Minor publications, e.g. newsletters or promotional materials, or final, authorised versions of publications captured into recordkeeping systems, such as reports or policies, can be sentenced using entries elsewhere in this authority and the organisation's own functional retention and disposal authority.
Required as State archives

12.12.0 DISTRIBUTION

The activities associated with disseminating information items through loans, deliveries or other customer services.

NoDescription of recordsDisposal action
12.12.1 Records relating to the distribution of information resources, e.g. correspondence, paper files, newscuttings, mail. Records include:
  • distribution lists
  • advice on changes of location.
Retain until administrative or reference use ceases, then destroy

12.13.0 DONATIONS

The activities associated with managing the donation of information resources to the organisation. Includes managing unsolicited donations.

See the organisation's functional retention and disposal authority for records relating to the donation of items to collecting institutions.

See COMMUNITY RELATIONS - Donations for records relating to donations of money, items, artefacts or property to the organisation, or refused offers of donations.

NoDescription of recordsDisposal action
12.13.1 Records relating to the donation of information resources, e.g. books, to the organisation. Includes liaison regarding conditions of donation. Retain minimum of 7 years after donation is received and finalised or minimum of 7 years after terms have been fulfilled, whichever is longer, then destroy

12.14.0 ENQUIRIES

The activities associated with the handling of requests for information about the information services of the organisation by the general public or another organisation.

See the organisation's functional retention and disposal authority for records relating to enquiries when the organisation provides an enquiry service as part of their core functions, e.g. State Library of NSW, State Records.

See COMMUNITY RELATIONS - Enquiries for records relating to requests for and the handling of enquiries regarding routine information about the organisation and its services, e.g. hours of opening.

See INFORMATION MANAGEMENT - Cases for records relating to requests for or decisions regarding access to or alteration of information under relevant legislation, e.g. Freedom of Information (FOI).

See INFORMATION MANAGEMENT - Customer service for records relating to advice on customer services regarding information management provided by the organisation.

NoDescription of recordsDisposal action
12.14.1 Records relating to the handling of enquiries from the public or government organisations relating to the information management services or holdings of the organisation. Retain minimum of 2 years after action completed, then destroy

12.15.0 EVALUATION

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

See INFORMATION MANAGEMENT - Audit for records relating to formal internal and external audits of information management services, programs and systems.

See INFORMATION MANAGEMENT - Control for records relating to the analysis of functions and records to produce business classification schemes (BCS) etc.

See INFORMATION MANAGEMENT - Implementation for records relating to the implementation and initial monitoring of information management systems and projects within the organisation.

See INFORMATION MANAGEMENT - Reviewing for records relating to the review of information management programs and services.

See STRATEGIC MANAGEMENT - Evaluation for records relating to the evaluation of potential and existing programs, services and systems that cross functions or relate to the strategic management of the organisation.

NoDescription of recordsDisposal action
12.15.1 Records relating to the evaluation of potential or existing information management programs, services and systems, e.g. records and library materials, operational services for clients of libraries, archives and records management units, information systems etc. Retain minimum of 5 years after action completed, then destroy

12.16.0 IMPLEMENTATION

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

See INFORMATION MANAGEMENT - Evaluation for records relating to evaluation prior to implementation and ongoing monitoring.

See INFORMATION MANAGEMENT - Planning for records relating to the development and review of information management plans.

See INFORMATION MANAGEMENT - Policy for records relating to the development and review of information management policies.

See INFORMATION MANAGEMENT - Procedures for records relating to the development and review of information management procedures.

See STAFF DEVELOPMENT - Training for records relating to training provided to employees as part of the implementation of information projects or new systems.

See STRATEGIC MANAGEMENT - Implementation for records relating to the implementation of business continuity plans or counter disaster plans.

See STRATEGIC MANAGEMENT - Planning for records relating to the development and review of business continuity or counter disaster plans.

See STRATEGIC MANAGEMENT - Reporting for records relating to reporting on the effects of disasters.

See TECHNOLOGY & TELECOMMUNICATIONS - Implementation for records relating to the technical aspects of managing systems implementation.

NoDescription of recordsDisposal action
12.16.1 Records relating to the implementation and initial monitoring of information management systems and projects within the organisation, including recordkeeping, knowledge management and library management systems and projects. Includes pilots and post implementation reviews. Retain minimum of 7 years after action completed, then destroy

INSPECTIONS

See INFORMATION MANAGEMENT - Audit for records relating to formal internal and external audits of information management services, programs and systems.

See INFORMATION MANAGEMENT - Compliance for records relating to complying with standards, and inspections by monitoring organisations such as State Records.

See INFORMATION MANAGEMENT - Conservation for records relating to inspections undertaken as part of conservation measures.

See OCCUPATIONAL HEALTH & SAFETY - Inspections for records relating to inspections and investigations undertaken for occupational health and safety reasons.

12.17.0 INTELLECTUAL PROPERTY

The activities involved in managing the organisation's intellectual property rights or obligations.

See FINANCIAL MANAGEMENT - Accounting for records relating to the payment of money.

See PUBLICATION - Intellectual property for records relating to managing applications for permission to reproduce published or unpublished materials.

See STRATEGIC MANAGEMENT - Agreements for records relating to intellectual property agreements.

See STRATEGIC MANAGEMENT - Intellectual property for records relating to the establishment, registration and documentation of the organisation's intellectual property, including intellectual property registers.

NoDescription of recordsDisposal action
12.17.1 Records relating to the management of copying services in the organisation. Includes the administration of payments made to collecting societies and sampling undertaken to support the payment process. Retain minimum of 7 years after action completed, then destroy
12.17.2 Copyright declaration forms signed by users of the organisation's information services.
Remarks: Subject to Copyright Act 1968, section 203 and Copyright Regulation 1969, Regulation 25A. The latter requires that declarations for reproduction of whole or part of a work be retained for 4 years after making of the copy.
Retain minimum of 4 years after action completed, then destroy

12.18.0 INVENTORY

The activities associated with listing and preparing lists of items and assets relating to information management in the possession of the organisation.

See FINANCIAL MANAGEMENT - Asset register for records relating to the management of assets.

NoDescription of recordsDisposal action
12.18.1 Routine inventories of library materials or records censuses undertaken to monitor location control. Retain until administrative or reference use ceases (e.g. once control systems are updated), then destroy

12.19.0 MARKETING

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

See COMMUNITY RELATIONS - Media relations for records relating to media releases issued by the organisation.

NoDescription of recordsDisposal action
12.19.1 Records relating to the promotion of the services of library, records management and information management units, e.g. notices to clients regarding collection additions or new services available. Retain until administrative or reference use ceases, then destroy

MEETINGS

See the relevant function/activity for records relating to meetings held as part of the management or conduct of those activities or processes, e.g. use INFORMATION MANAGEMENT – AUDIT for records relating to meetings held in order to discuss information audits, e.g. use INFORMATION MANAGEMENT – CONSERVATION for records relating to meetings held in order to discuss the progress of conservation projects, e.g. use INFORMATION MANAGEMENT – PLANNING for records relating to meetings held in order to discuss information management planning.

See COMMITTEES for records relating to the formation, meetings and decisions of committees, task forces, working groups or parties etc.

See GOVERNMENT RELATIONS - Meetings for records relating to meetings between Chief Executives and Ministers, Ministerial employees or senior executives of other government organisations when those meetings are not related to specific functions and activities.

See STRATEGIC MANAGEMENT - Meetings for records relating to general, section or unit meetings of employees.

12.20.0 PLANNING

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

See INFORMATION MANAGEMENT - Policy for records relating to Privacy Codes of Practice and information management policies.

See STRATEGIC MANAGEMENT - Planning for records relating to strategic, corporate and business planning and the development and review of business continuity or counter disaster plans.

NoDescription of recordsDisposal action
12.20.1 Final, approved versions of plans for information management projects, systems and activities within an organisation, e.g. Privacy Management Plans, operational plans, records and information management plans, vital records plans etc, and associated correspondence indicating who the plans apply to and responsibilities for their implementation. Retain minimum of 5 years after plan is superseded, then destroy
12.20.2 Records relating to the development and review of the organisation's information management plans, e.g. Privacy Management Plans, operational plans, records and information management plans, vital records plans etc. Records include:
  • background research
  • draft versions of plans containing significant changes/alterations or formally circulated for comment
  • notes of meetings or reports analysing issues and the outcomes of consultation with employees, unions, stakeholders etc.
Retain minimum of 3 years after action completed, then destroy

12.21.0 POLICY

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

See GOVERNMENT RELATIONS - Policy for records relating to advice or notifications regarding policies that apply to the whole-of-government, e.g. Premier's Memoranda and Circulars, Treasurer's Directions.

See GOVERNMENT RELATIONS - Submissions for records relating to submissions by the organisation on the development or review of government-wide policies developed by central coordinating agencies.

See INFORMATION MANAGEMENT - Compliance for records relating to the organisation's compliance with information management policies.

See STRATEGIC MANAGEMENT - Implementation for records relating to the implementation of government-wide policies by the organisation.

See STRATEGIC MANAGEMENT - Policy for records relating to the organisation's policies on cross-functional or organisation-wide matters.

NoDescription of recordsDisposal action
12.21.1 Final, approved versions of information management policies, e.g. information management security policies, library and recordkeeping/records management policies, email policies, policies for the management of digital records, Privacy Codes of Practice, Health Privacy Codes of Practice etc, and associated correspondence indicating who the policies apply to and responsibilities for their implementation. Retain minimum of 5 years after policy is superseded, then destroy
12.21.2 Records relating to the development and review of the organisation's information management policies e.g. information management security policies, library and recordkeeping/records management policies, email policies, policies for the management of digital records, Privacy Codes of Practice, Health Privacy Codes of Practice etc. Records include:
  • policy proposals
  • background research
  • records of consultations
  • draft versions of policies containing significant changes/alterations or formally circulated for comment
  • reports analysing issues and the outcomes of consultation with employees, unions, stakeholders etc.
Retain minimum of 3 years after action completed, then destroy
12.21.3 Retention and disposal authorities issued by State Records and authorised for the organisation to use.
Note: While State Records retains copies of all approved retention and disposal authorities it is recommended organisations also retain copies of any authorities applying to the records created and maintained by them for as long as the authority is in force and for appropriate periods for future reference to account for authorised disposal of records.
Retain until superseded and until ceases to be of administrative or reference use, then destroy
12.21.4 Records relating to the development and review of retention and disposal authorities produced for the organisation. Records include:
  • background research
  • correspondence with State Records
  • records of consultations
  • draft versions containing significant changes/alterations or formally circulated for comment
  • reports analysing issues and the outcomes of consultation with employees, business units, stakeholders etc.
Retain minimum of 10 years after action completed, then destroy

PRIVACY

See INFORMATION MANAGEMENT - Agreements for records relating to the establishment, negotiation, maintenance and review of records confidentiality agreements.

See INFORMATION MANAGEMENT - Audit for records relating to formal privacy audits in relation to the management of information.

See INFORMATION MANAGEMENT - Cases for records relating to applications for internal review conducted under privacy legislation, and requests for the suppression of information in public registers maintained by the organisation.

See INFORMATION MANAGEMENT - Compliance for records relating to the organisation’s compliance with privacy principles, and to breaches or suspected breaches of privacy in relation to the management of information.

See INFORMATION MANAGEMENT - Planning for records relating to the development and review of Privacy Management Plans.

See INFORMATION MANAGEMENT - Policy for records relating to the development and review of Privacy Codes of Practice.

See INFORMATION MANAGEMENT - Security for records relating to protecting the security of private or confidential information.

See STRATEGIC MANAGEMENT - Implementation for records relating to the implementation of government-wide policies by the organisation.

See TECHNOLOGY & TELECOMMUNICATIONS - Application development & management for records relating to the consideration of privacy when developing and managing applications and systems.

See TECHNOLOGY & TELECOMMUNICATIONS - Compliance for records relating to the organisation’s compliance with privacy principles regarding technology and telecommunications.

See TECHNOLOGY & TELECOMMUNICATIONS - Implementation for records relating to the consideration/assessment of privacy requirements during the implementation of technology and telecommunications strategies, projects, equipment and systems.

12.22.0 PROCEDURES

Standard methods of operating laid down by an organisation according to formulated policies.

See STAFF DEVELOPMENT - Training for records relating to training in procedures.

See STRATEGIC MANAGEMENT - Procedures for records relating to quality assurance procedures.

NoDescription of recordsDisposal action
12.22.1 Final, approved versions of manuals, handbooks, directives etc detailing information management procedures, e.g. library procedures, records management procedures, security arrangements for information resources, mail handling protocols etc, and associated correspondence indicating who the procedures apply to and responsibilities for their implementation. Retain minimum of 5 years after procedures are superseded, then destroy
12.22.2 Records relating to the development and review of the organisation's information management procedures, e.g. library procedures, records management procedures, security arrangements for information resources, mail handling protocols etc. Records include:
  • background research
  • draft versions of procedures containing significant changes/alterations or formally circulated for comment
  • reports analysing issues and the outcomes of consultation with employees, unions, other stakeholders etc.
Retain minimum of 3 years after action completed, then destroy

12.23.0 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 providing formal statements or findings of the results of the examination or investigation.

See STRATEGIC MANAGEMENT - Implementation for records relating to the implementation of business continuity plans or counter disaster plans.

See STRATEGIC MANAGEMENT - Planning for records relating to the development and review of business continuity or counter disaster plans.

See STRATEGIC MANAGEMENT - Reporting for records relating to reporting on the effects of disasters.

NoDescription of recordsDisposal action
12.23.1 Records relating to the development and review of reports regarding information management programs, services and systems. Records include:
  • background research
  • records relating to the outcomes of consultation with employees, unions, other stakeholders etc
  • draft versions of reports containing significant changes/alterations or formally circulated for comment
  • final, approved versions of reports.
Retain minimum of 7 years after action completed, then destroy
12.23.2 Records relating to internal periodic reports on general administrative matters used to monitor recurring activities to support information management programs, services and systems. Records include:
  • background research
  • draft versions of reports containing significant changes/alterations or formally circulated for comment
  • final, approved versions of reports.
Retain minimum of 3 years after action completed, then destroy
12.23.3 Records relating to Freedom of Information (FOI) reporting, including Statements of Affairs, Summary of Affairs and periodical reports. Retain until administrative or reference use ceases, then destroy

RESEARCH

See the organisation’s functional retention and disposal authority for records relating to research if research is a core function of the organisation.

See the relevant function/activity for records relating to background research undertaken when developing particular products or documentation, e.g. use INFORMATION MANAGEMENT – EVALUATION for records relating to research undertaken as part of the evaluation of information programs, services and systems, e.g. use INFORMATION MANAGEMENT – PLANNING, INFORMATION MANAGEMENT – POLICY or INFORMATION MANAGEMENT – PROCEDURES for records relating to background research for the development and review of plans, policies and procedures.

12.24.0 REVIEWING

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

See INFORMATION MANAGEMENT - Audit for records relating to formal internal and external audits of information management services, programs and systems.

See INFORMATION MANAGEMENT - Evaluation for records relating to the evaluation of information management programs, services and systems.

See INFORMATION MANAGEMENT - Planning for records relating to the review of plans.

See INFORMATION MANAGEMENT - Policy for records relating to the review of policies.

See INFORMATION MANAGEMENT - Procedures for records relating to the review of procedures.

See STRATEGIC MANAGEMENT - Reviewing for records relating to the review of strategic programs and services.

NoDescription of recordsDisposal action
12.24.1 Records relating to the review of information management programs and services, e.g. reviews of storage areas for records and library materials, operational services for clients of libraries, archives and records management units, information systems etc. Records include:
  • documents establishing the review
  • background research
  • draft versions of review reports containing significant changes/alterations or formally circulated for comment
  • final versions of approved reports
  • project or action plans.
Retain minimum of 5 years after action completed, then destroy

RISK MANAGEMENT

See STRATEGIC MANAGEMENT - Implementation for records relating to the implementation of business continuity or counter disaster plans.

See STRATEGIC MANAGEMENT - Planning for records relating to the development and review of business continuity plans or counter disaster plans.

See STRATEGIC MANAGEMENT - Reporting for records relating to reports on the implementation of business continuity or counter disaster plans.

See STRATEGIC MANAGEMENT - Risk management for records relating to the identification and assessment of information risks as part of broader strategic risk management processes.

12.25.0 SECURITY

The activities associated with measures taken to protect information resources from accidental or intentional damage or from unauthorised access.

See TECHNOLOGY & TELECOMMUNICATIONS - Security for records relating to security protection against unauthorised access to electronic information systems.

See PERSONNEL - Misconduct for records relating to disciplinary action taken against personnel for security breaches.

NoDescription of recordsDisposal action
12.25.1 Records relating to major security breaches affecting information resources, e.g. where records and information have been unlawfully accessed or removed from official custody. Retain minimum of 15 years after action completed, then destroy
12.25.2 Records relating to minor security breaches affecting information resources, e.g. where records have not been appropriately secured. Retain minimum of 5 years after action completed, then destroy
12.25.3 Records relating to security arrangements for records storage, e.g. safes, vaults, security equipment and off site storage for vital records. Retain minimum of 5 years after action completed, then destroy
12.25.4 Records relating to physical and intellectual security arrangements for access to records, e.g. decisions regarding general security classifications for accessing records, delegations of authority etc. Retain minimum of 5 years after superseded, then destroy

STANDARDS

See the organisation’s functional retention and disposal authority where the organisation has a standards setting role.

See GOVERNMENT RELATIONS - Submissions for records relating to submissions by the organisation on the development or review of government-wide information management policies or standards developed by central coordinating agencies.

See INFORMATION MANAGEMENT - Compliance for records relating to the organisation’s compliance with standards, including standards under the State Records Act 1998 and State Records Regulation 2010.

See STRATEGIC MANAGEMENT - Implementation for records relating to the implementation of government-wide policies, key direction statements and initiatives.

See STRATEGIC MANAGEMENT - Standards for records relating to the development and implementation of standard or benchmarks that provide a framework for the conduct of the organisation’s operations or assessment of its performance.

SUGGESTIONS

See COMMUNITY RELATIONS - Public reaction for records relating to letters of complaint or appreciation received from the public.

See INFORMATION MANAGEMENT - Customer service for records relating to suggestions received from personnel and the public in relation to information management services.

TENDERING

See CONTRACTING-OUT for records relating to the acquisition of services through a contracting-out or outsourcing process.

See TENDERING for records relating to receiving and assessing tenders.