Local Government Records (GDA 10)
Foreword | 1. Overview | 2. Guidelines for use | List of Functions | Index
Foreword
The General Disposal Authority - Local Government Records is the official authority for the disposal of records of councils and county councils. It covers all the records of council business and administration.
This disposal authority is authorised and issued by the State Records Authority of New South Wales ('State Records'), in accordance with provisions for the protection of State records in the State Records Act 1998. The Act states that records are not to be disposed of without the consent of State Records unless the action of disposal is positively required by law, or takes place in accordance with a normal administrative practice (NAP) of which State Records does not disapprove. Advice on the State Records Act can be obtained from State Records.
This authority forms part of State Records' framework of rules and guidance on records management for New South Wales public offices, a framework which is designed to assist the proper creation, management, protection and ultimate disposal of the records generated in the course of everyday business.
1. Overview
1.1 Purpose | 1.2 Scope | 1.3 Authority | 1.4 Development of the General Disposal Authority | 1.5 Business classification scheme for local government | 1.6 Structure | 1.7 Definitions
1.1 Purpose
The purpose of this general disposal authority is to provide for the authorised disposal of all the records of council business and administration.
1.2 Scope
This general disposal authority applies to all New South Wales councils and county councils under the Local Government Act 1993.
This general disposal authority applies to records from 1920 onwards. Council records created prior to 1920 are required as State archives.
This disposal authority also permits the imaging of certain long-term temporary records and the destruction of originals (see section 2.7 below).
1.3 Authority
This authority has been approved by the State Records Authority of New South Wales ('State Records') and may be implemented without further reference to State Records. Nevertheless, persons using the authority should apply it with caution, bearing in mind that the authorisations for disposal are given in terms of the State Records Act only, and that it remains incumbent upon them not to dispose of records in contravention of their organisation's legal responsibilities or other interests or requirements.
The General Disposal Authority - Local Government Records supersedes the General Records Disposal Schedule for Local Government Records (1988) as the legal authority for disposing of council records. The old General Records Disposal Schedule MUST NOT be used for sentencing council records.
This general disposal authority will remain in force until it is superseded by a new authority or it is withdrawn from use by State Records.
1.4 Development of the General Disposal Authority
The development of the General Disposal Authority - Local Government Records was undertaken by a consultant, Ms Kerry Gordon of Provenance Consulting Services. The project used the appraisal methodology described in Australian Standard AS 4390 - 1996, Records Management, which is an approved code of best practice under section 13 of the State Records Act, 1998.
The general disposal authority was developed using functional analysis to identify local government functions and activities, and identify recordkeeping requirements.
The project involved site visits to selected representative councils and broad consultation with all councils and stakeholders, including local government bodies, peak industry and representative groups.
The project was supervised by a Steering Committee administered by the State Records Authority. The membership of the Steering Committee was designed to represent key stakeholders and included:
- Susan Wright (City of Sydney)
- Chris Fripp (Records Management Association of Australia - Local Government Chapter)
- Tracy Bradford (Australian Society of Archivists - Local Government Special Interest Group)
- Ian Aird (Holroyd Council)
- Mary Kirkwood (Lithgow Council)
- Warren Taylor (Local Government and Shires Associations)
- Tony Newton (State Records Authority), and
- Amanda Barber (State Records Authority).
1.5 Business classification scheme for local government
A business classification scheme was developed as part of the project and has been used as the basis of this disposal authority. It was designed to describe and arrange in groups all of the business activities performed by councils, including specific council business and general administrative activities. The business classification scheme was developed after consultation with a number of representative councils.
The classification scheme describes common business functions and activities undertaken by councils and records created or received by a council in the course of its business. The classification scheme is hierarchical, that is moving from the broad to the more specific.
1.6 Structure
This document is different in structure from the old General Records Disposal Schedule for Local Government Records, 1988. It has a hierarchical structure that is reflected in its arrangement according to functions and business activities, rather than by subject. The hierarchical model represents a business classification scheme which reflects the functions and activities of local government. The disposal authority is designed to apply to all records regardless of titling conventions used. Records which have not been titled using the business classification scheme may still be sentenced, but these will need to be interpreted with care to identify the correct function and keywords. There are 32 keywords used in this general disposal authority. The scope note for each keyword should be read first before proceeding to implement the general disposal authority.
This document has a comprehensive index which enables easy access for all users of the disposal authority.
1.7 Definitions
- Disposal
- A range of processes associated with implementing appraisal decisions. These include retention, deletion or destruction of records in or from recordkeeping systems. They may also include the migration or transmission of records between recordkeeping systems, and the transfer of custody or ownership of records. (Australian Standard AS4390--1996, Records Management, Part 1, General, Clause 4.9).
- Disposal action
- The disposal action column of a disposal authority generally advises the minimum retention period after an identified 'trigger' for each record series or disposal class. Records may be identified as required as State archives or may be identified as being authorised for destruction at the end of the retention period. (See 2.2.4 for more information regarding disposal triggers.)
- Disposal authority
- A tool which provides for the authorised destruction or other disposal of State Records under the terms of the State Records Act.
- Disposal classes
- Classes of records performing or recording similar activities and therefore having the same retention period and disposal action. (Australian Standard AS4390--1996, Records Management, Part 1, General, Clause 4.11).
- Electronic records
- Records communicated and maintained by means of electronic equipment. (Australian Standard AS4390--1996, Records Management, Part 1, General, Clause 4.13).
- Image
- A reproduction of a document on a media such as film, microfilm or optical disk. (Judith Ellis (ed.) Keeping Archives, 2nd edition, Australian Society of Archivists Inc, Thorpe Publishing, Melbourne, 1993, p 472).
- Records
- Records are defined in s.3(1) of the State Records Act as, 'any document or other source of information compiled, recorded or stored in written form or on film, or by electronic process, or in any other manner or by any other means'.
- Retention periods
- A disposal authority generally specifies retention periods, that is, how long State records are to be retained in a council's premises or offsite storage, before being destroyed or transferred as State archives.
Retention periods set down in this authority are minimum periods only and a council may keep records for a longer period if necessary. However, a council must obtain specific authorisation from State Records to dispose of records earlier than the minimum retention period. Reasons for longer retention can include legal requirements, administrative need, and government directives. A council should not dispose of any records where the council is aware of possible legal action for which the records may be required as evidence.
- Series
- A group of records that document a particular function or activity, which are generally created in a like format and maintained in an identifiable sequence. The disposal classes listed in this authority may consist of one series, several series or part of a series.
- State archives
- State archive means a State record that the State Records Authority of New South Wales has control of under the State Records Act 1998.
- State records
- State records means any record made and kept, or received and kept, by any person in the course of the exercise of official functions in a public office, or for any purpose of a public office, or for the use of a public office. (State Records Act 1998).
2. Guidelines for use
2.1 Coverage of authority | 2.2 Layout | 2.3 Records predating 1920 | 2.4 Records to be retained as State archives | 2.5 Sentencing records | 2.6 Format of records | 2.7 Imaged records | 2.8 Destruction of records | 2.9 Storage of records | 2.10 Web sites and related records | 2.11 Access to State records | 2.12 Transfer and distributed management of State archives | 2.13 Updating the general disposal authority | 2.14 Assistance in using the general disposal authority
2.1 Coverage of authority
The General Disposal Authority - Local Government Records:
- requires council records created before 1920 to be retained as State archives
- requires records created from 1920 onwards to be sentenced according to the general disposal authority ( see section 3)
- covers records relating to council business and administration and to general administrative activities
- 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 State archives
- is applicable to records created and maintained in any format, including electronic formats, and
- covers private records held by councils (see below for more details).
2.1.1 Private records
Under the State Records Act, records generated or received by councils in the course of their business are State records. An unintended effect of the Act is that private records in council libraries, archives, local studies and museums are also State records. While it is intended to have the State Records Act amended to exclude private records held by councils it is necessary to deal with these records in the interim. Under s.12(3) of the Act, State Records may permit departures from the requirements of records management standards and codes of best practice approved under the Act. State Records has granted permission for councils to depart from any or all requirements in such standards and codes of best practice in respect of private records in its library, archives, local studies or museum collections.
In addition, these records are covered in the general disposal authority in disposal class 26.4.6 which allows for disposal of records without further reference to State Records (including transfer of ownership, or destruction). This means that Part 4 of the Act, concerned with transfer of control of State archives, will have no application to these records.
2.2 Layout
This section describes and explains the physical layout of the general disposal authority.
2.2.1 Reference number
This column records the entry or reference number. Each number reflects the hierarchical structure of the disposal authority. The first part of each number gives the function number, the second part gives the activity number, and the last part gives the disposal class number.
For example:
| 4.10.1 | Function | CORPORATE MANAGEMENT |
| Activity | Performance Management | |
| Disposal Class | Records relating to the implementation of performance management in the council. |
- CORPORATE MANAGEMENT (4.0.0) is the fourth function listed in the general disposal authority, so all entries under CORPORATE MANAGEMENT begin with the number '4'.
- Performance Management (4.10.0) is the tenth activity listed under CORPORATE MANAGEMENT, so all entries under Performance Management have a '10' as the second part of the entry number.
- Records relating to the implementation of performance management in the council (4.10.1) is the first disposal class listed under Performance Management, so it has a '1' as the third part of the entry number.
This reference number provides each function, activity and disposal class with a unique numeric identifier.
2.2.2 Function/activity/description
This column provides details of the 32 functions into which the general disposal authority is divided, as well as the many activities into which each function is divided. This column also contains the description for each disposal class and gives cross-references were relevant.
- Functions
- The functions are represented in bold and full upper case characters. A definition/scope of the function is included at the beginning of the entry for each function. The scope note describes the function and its boundaries. Each scope note should be read carefully before applying the disposal authority.
Generally, there are also cross-references to other related or useful functions and activities. In particular, there are cross-references under a number of functions to CORPORATE MANAGEMENT for the activities of Audit, Conferences, Contracting, Meetings, Policy, Reporting, Standards and Tendering. This enables common disposal classes to be applied to common activities which occur under a number of different functions.
- Activities
- The entries under each function are broken down into activities. Activities are listed in mixed case and bold type. Definitions have been provided for some of the activities listed in the general disposal authority. There are also occasional cross-references to other activities and functions. The user should check these related activities and disposal classes to ensure that records are accurately sentenced.
- Disposal classes
- The entries under each activity are broken down into disposal classes. Each disposal class consists of a brief description of the records performing or recording similar activities, and records covered by that disposal class have the same retention period and disposal decision.
2.2.3 Disposal action
This column identifies the minimum retention periods for the records and the disposal decision (for example, Retain for 6 years after audit, then destroy). The minimum retention periods specified must be adhered to. This means that a council must not destroy or otherwise dispose of records before the minimum retention period has elapsed. If a council desires to reduce the minimum retention period it must seek specific authorisation from State Records.
A council must ensure that all requirements for retaining records are met before disposing of records. There may be occasions where longer retention (than the minimum period) is appropriate. Reasons for longer retention can include legal requirements, administrative need and government directives. A council must not dispose of any records where it is aware of possible legal action where the records may be required as evidence. A council may keep records longer than the minimum retention period if necessary without further reference to State Records.
This column also identifies those records which are required as State archives. For example, Required as State archives. Retain for 5 years. For records identified as State archives, the retention periods given in the disposal action column are intended to be advisory only and are given as a general indication of how long a record might remain active or in use in a council.
Regardless of whether a record has been authorised for destruction or is required as a State archive, a council must not permanently transfer possession or ownership of a State record to any person or organisation without the explicit authorisation of State Records.
Disposal Trigger
Each disposal action includes a disposal trigger. The trigger is the point from which the disposal action should be implemented. For the majority of disposal classes in this general disposal authority there are two main 'default' disposal triggers which apply - these are after action completed or after last action. For example, a disposal action stating Retain for 5 years, then destroy informs the user that:
- the records are authorised for destruction
- the records' disposal trigger is after action completed or after last action, and
- the records should be retained for at least 5 years after the trigger point.
Where these 'default' disposal triggers are inappropriate, specific disposal triggers are identified in the Disposal Action Column. For example, a disposal action stating Retain for 7 years after expiry of contract, then destroy informs the user that:
- the records are authorised for destruction
- the records' disposal trigger is the date upon which the contract expires, and
- the record should be retained for at least 7 years after the trigger point.
Whereas a disposal action stating Required as State archives. Retain 20 years informs the user that:
- the records are required as State archives and therefore should not be destroyed
- the records' disposal trigger is after action completed or after last action (when business is finalised or when a matter has been dealt with), and
- the records should be retained for 20 years after the trigger point before transferring control (and possibly custody) of the records to State Records.
After action completed or date of last action
The disposal triggers of after action completed or after last action are the default disposal triggers for most of the disposal classes within the disposal authority. This approach enables a certain flexibility in application and allows for the varying practices within councils.
Records covered by multiple disposal classes
Some records may fall under more than one disposal class. This may occur with records in any format, although it is most likely to occur with paper files. Individual papers should not be 'culled' from files. The entire file should be disposed of at the same time. When sentencing such records:
- the longest retention period should be applied to the record if the disposal classes require different retention periods, and
- if any part of a record is required as a State archive then the entire record should be retained as a State archive.
2.2.4 Examples of records
A column has been provided for listing examples of the types of records that may fall within the disposal class. The examples have been provided to assist councils when sentencing records. The examples given are largely indicative of the types of records that are covered by each disposal class and are not intended to be an exhaustive list of all records covered by each class.
2.3 Records predating 1920
Council records predating 1920 are required as State archives. Where a record, otherwise authorised for destruction under this general disposal authority, commences before 1920 it should be treated as required as State archives (for example, a file starting in 1913 and ending shortly after 1920).
2.4 Records to be retained as State archives
The records which are to be retained as State archives are identified with the disposal action Required as State archives. These records have been identified as having permanent value and they provide:
- a resource for the study of the history, development and unique character of local communities and regions
- a record of the decisions, policies, actions and impact of councils, and
- a resource for the study of the history and development of local government itself.
Records which are identified as State archives need to be maintained and preserved for the benefit and use of future generations. The best way of ensuring that these records survive into the future is to provide good storage conditions from the time that the records are created.
2.4.1 Records of significance to the local community
In a number of instances this disposal authority requires records which provide information about significant events or matters in relation to the council and to the local community to be retained as State archives. For example, disposal class 1.4.1 requires as State archives "Summary records and final reports of innovative projects or major projects of significance to the council or to the community".
Records of significance to a council would include those that document events or matters that had a large impact on the organization, or reflected major planning and resource commitment by the council. Records of significance to the community may be those that show a major impact of a decision, policy, program, service or activity of council on the local community, as well as the reactions of those communities. Records of significance to the community may also be those that show clearly the unique nature or special aspects of the local community, including records that document critical points of change or development.
2.4.2 Development and building applications
Certain development and building applications have been identified as State archives under disposal classes 7.2.1 (Approvals - heritage registered), 7.2.2 (Approvals - Successful applications/approvals - precedent cases) and 7.2.7 (Unsuccessful applications - precedent cases). In particular, records relating to historically significant and heritage registered buildings are specifically identified as State archives. However, disposal class 7.2.2 provides for the further retention as State archives of records relating to and reflecting the more typical buildings of an area, including houses and commercial or industrial premises. In addition, buildings that reflect community values and have community significance (not specifically heritage value) may also be retained as State archives. These could include buildings that are meeting places or the focus of community life, such as churches, public houses, community halls, and clubs.
2.5 Sentencing records
Sentencing is the activity of applying disposal decisions to records; it involves the process of identifying and classifying records according to a disposal authority and applying the disposal actions specified in it. Essentially, it is about identifying the appropriate disposal classes within the disposal authority and applying them to the right records, thus ensuring that records are retained for as long as required, the correct disposal decision is applied and the right disposal action occurs.
A comprehensive index has been provided to assist in the use of this general disposal authority. In addition, examples of the types of records covered by a disposal class have been provided in many instances. However, care should always be exercised in sentencing records and the function and activity terms should be carefully read to ensure the correct disposal class is being applied.
This general disposal authority can be used on records that are currently inactive. The disposal authority can also be used to sentence records from creation, which means allocating a disposal action at the point of creating a record. This is best managed through the use of appropriate records management software and the introduction of a records disposal program (including procedures which outline those who are responsible for sentencing records, reviewing retention requirements and signing-off on authorised disposal actions).
2.6 Format of records
This general disposal authority is applicable to any record which performs the function described, irrespective of format. Records may include:
- cards
- registers
- files
- microfilm and microfiche
- maps and plans
- electronic records, including various electronic media, and
- photographs, film and video.
2.6.1 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 a database (a main database, or a special archives database); on magnetic media; on optical disks or compact disks; or on separate hardcopy (paper, COM).
Under s.14 of the Act, electronic records must be accessible for the length of the specified retention period. This means that some electronic records may need to be migrated over time and across systems to ensure continued accessibility. Routine treatment (such as wiping, updating involving overwriting, alterations or rerecording) does constitute disposal under s.21 of the Act.
2.7 Imaged records
General Retention and Disposal Authority - Imaged records applies to State records that have been copied into a digital or microform format. The table below illustrates in general terms the classes of records that are permitted for destruction after copying:
| Permission to destroy originals after copying, provided the conditions listed in General Retention and Disposal Authority - Imaged Records are met, is given for: | Permission is not given under this Authority for the destruction after copying of: |
|---|---|
|
|
In addition, under General Retention and Disposal Authority - Imaged Records, where original records are destroyed, Councils must retain the image copies for the records' full retention periods, as required in the relevant retention and disposal authority.
Care should be taken in implementing an imaging program as many records retained by Councils, such as building and development applications and certain design and construction records may be required to be retained and accessible for very long periods, or may relate to buildings that subsequently become heritage listed or of significance to the local community. The measures recommended in General Retention and Disposal Authority - Imaged Records for ensuring that image copies are authentic, complete and accessible for as long as they are needed should be followed when implementing imaging systems.
Conditions for the destruction of original records that have been imaged
To be able to legally destroy records that have been imaged, a Council must ensure that the conditions for destruction described in this Authority are met. These conditions are that:
- all requirements for retaining originals have been assessed and fulfilled
- copies are made which are authentic, complete and accessible
- copies are kept for the authorised retention period, and
- originals are kept for quality control purposes for an appropriate length of time after copying.
Exclusions from the authorisation to destroy originals
General Retention and Disposal Authority - Imaged Records may not be used to dispose of the following classes of records:
- records that are subject to current or pending legal proceedings or an application for access under the Freedom of Information Act 1989, the Health Records and Information Privacy Act 2002 or the Privacy and Personal Information Protection Act 1998
- records that are subject to a Government policy or directive not to be destroyed
- original artworks, and
- original proclamations, charters, testimonials and intergovernmental agreements or treaties.
For more information on imaging and disposal of imaged records
See:
- State Records Authority of New South Wales, General Retention and Disposal Authority - Imaged records, 2006
- State Records Authority of New South Wales, Recordkeeping in Brief - Digital imaging and recordkeeping (RIB 11), 2006
2.8 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 council to ensure that its records are destroyed in a confidential and appropriate manner. Relevant details of destructions should be recorded in the council's recordkeeping systems. For more information regarding the appropriate destruction of records see State Records publication Guideline No.3: Destruction of Records A Practical Guide (Revised edition 2000).
2.9 Storage of records
Providing appropriate storage for council records is very important. Not only is it important to protect records because they are an important council asset but also because they are a potentially important community resource. State Records has produced a Standard on the Physical Storage of State Records (2000) and Solutions for Storage: Guidelines on the Physical Storage of State Records (2000). These publications provide information and guidance on the storage of records.
2.10 Web sites and related records
Increasingly, Web sites are an important tool for publishing council information and interacting with ratepayers, business partners and other parties. The management of a Web site and content requires us to look at familiar records in new ways. Ultimately, the disposal of Web site related records depends on the nature of the business function and activity that the records document.
Records made of the drafting and production of Web pages and on-line publications should be disposed of according to the same rules for disposal of records documenting the drafting and production of hard copy publications.
Major on-line council publications, where made available on the Web site, should be treated in the same way as major hardcopy publications. Some information on your Web page may establish the basis for client or partner transactions or decision-making and may therefore need to be retained to protect your council against legal risks. Examples of this kind of information could include guarantees of service and policy statements.
Web sites can also be the interface for electronic transactions. Whether a transaction occurs through an on-line form or email or some other means, the resulting record of the transaction should be disposed of in accordance with the rules applying to the business function and activity which it documents.
Finally, records documenting the process of establishing and maintaining the Web site should be treated in the same way as records documenting the development and maintenance of other information systems.
2.11 Access to State records
Each council is responsible for making access directions to all records over 30 years of age, regardless of their disposal status. Access directions open or close records to public access. The council is responsible for assessing classes or series of records to determine an access direction. Access directions are used to determine when records will be made available for public access, be it immediately, after 30 years or after an appropriate period determined by the council. The State Records Act supports the making of access directions through the Attorney General's Guidelines on Making Access Directions issued under s.53(2). For further information regarding access directions see the State Records' publication Procedure No.3: Procedures for making access directions (1999).
Access to State records that are closed to public access or those that are less than 30 years of age can also be facilitated under arrangements approved by the Premier for special access.
2.12 Transfer and distributed management of State archives
Under Part 4 of the Act, there are two main ways in which State archives can be managed over time:
- State Records can take custody of the records, or
- a public office may enter into an agreement with State Records for 'another person' (generally another agency) to have custody of the records.
When records are more than 25 years old, State Records is entitled to control them (s.28(1)). State Records' entitlement to control is not affected by any duty of confidence, secrecy or non-disclosure, whether under an Act or administrative arrangement. However, a council can determine that a record or group of records are still in use for official purposes after 25 years. Such records should be covered by a still in use determination (see 2.12.3 below).
2.12.1 Transfer of custody to State Records
State Records has developed procedures, Procedure No.2: Procedures for transferring custody of records as State archives (1999), to provide guidance for public offices about the transfer of the custody of records as State archives to State Records under Part 4 (Authority entitled to control of State records not currently in use) of the State Records Act 1998. The procedures cover how to transfer records and issues in respect of the management of the transfer process.
2.12.2 Distributed management
Under the distributed management model, State records still become State archives when 'control' passes to State Records. Unlike 'standard' transfer arrangements, however, this does not involve the records coming into the custody of State Records. Instead, the records are kept in the custody of another person. In most cases, this is either the responsible public office (i.e. the council), or a repository (such as a regional repository) which stores and manages State archives on State Records' behalf.
Before this option can be exercised, a distributed management agreement under s.30(1) and s.36 of the State Records Act 1998 must be negotiated with State Records. Further guidance on distributed management can be obtained from State Records' publication Distributed management of State archives (1999).
2.12.3 Still in use determinations
While many records are inactive by the time they are 25 years old, there are instances where records are still active beyond this time and a public office may need to maintain control for a longer period. S.28 of the Act enables a public office to defer the taking of control by State Records by issuing a 'still in use determination' for records more than 25 years old. This remains in force for five years, and can be renewed indefinitely according to State Records' procedures. State Records can request a public office to review a determination, which it must do within three months of the request. For further information regarding still in use determinations see State Records' publication Procedure No.1: Procedures for making still in use determinations (1999).
2.13 Updating the general disposal authority
General disposal authorities are reviewed and updated from time to time. If you have any suggested amendments or alterations or if there are records which have not been adequately covered by the general disposal authority please contact State Records at:
State Records NSW
PO Box 516 Kingswood NSW 2747
Telephone: (02) 8247 8627
Facsimile: (02) 8247 8626
Email:govrec@records.nsw.gov.au
2.14 Assistance in using the general disposal authority
Councils requiring any assistance in the interpretation or implementation of this general disposal authority are encouraged to contact State Records.
List of Functions
7.0.0 DEVELOPMENT AND BUILDING CONTROLS
10.0.0 ENERGY SUPPLY AND TELECOMMUNICATIONS
11.0.0 ENVIRONMENTAL MANAGEMENT
23.0.0 PLANT, EQUIPMENT AND STORES
26.0.0 RECREATION AND CULTURAL SERVICES
Index
There is an Index (PDF, 491kb), linking subjects and topics to disposal classes.
© State of New South Wales through the State Records Authority of New South Wales, 2000.
First published September 2000 / Revised 2006 (sections 2.7 and footnotes to entries 3.7.5 and 3.7.6 only)
This work may be freely reproduced for personal, educational or government purposes. Permission must be received from State Records Authority for or all other uses. See our copyright notice for contact details.
ISBN 0-7313-5357-9
