Principles

Principle 1: Analytical | Principle 2: Comprehensive | Principle 3: Authorised | Principle 4: Accountable | Principle 5: Implemented

Principle 1: Analytical

Decisions for retaining and disposing of records should be based on an analysis of business needs, organisational accountability and community expectations.

Explanatory Note

A public office should make decisions on the creation, capture, retention and disposal of records based on an analysis of the administrative, legal, social, and recordkeeping contexts within which the organisation operates.

The analysis should identify the:

• legislative and regulatory obligations of the organisation
• business needs for records
• stakeholder interests
• other requirements for accountability (for example probity requirements)
• core business functions, activities and transactions of the organisation
• relationships between business processes and records, and
• the potential future use and value of the records for information and cultural heritage purposes.

Regulatory and accountability provisions relating to issues of privacy, security, secrecy or confidentiality may impact on records sensitivity and should be identified and documented as part of the analysis. However, decisions to dispose of records should not be solely based on these considerations. Records sensitivity issues can be addressed through appropriate security management and restricted access conditions for the records.

If the public office chooses not to meet an identified recordkeeping requirement, the analysis should also include an identification and assessment of the risks resulting from this decision. The inability to produce records of the public office's business activities can have an adverse effect on the organisation's ability to defend itself against public scrutiny or legal action.

Using a defined process for analysing the business context and undertaking appraisal, such as the Designing and Implementing Recordkeeping Systems (or DIRKS) methodology, will enable public offices to make decisions about records that are well-informed and considered. Documenting this analytical and decision-making process, and the resulting retention and disposal authorities will enable public offices to justify their decisions and actions regarding the retention and disposal of State records.

The analysis will assist public offices to determine:

• recordkeeping requirements for the organisation
• records that need to be captured and retained
• records which support or are dependent upon the business activities or records of other public offices
• the risks of not having records as evidence of the public office's business activities in the future, and
• appropriate retention periods and disposal actions for records.

Consultation with stakeholders and identification of interests will also assist the public office in determining potential long term or ongoing requirements for records to be retained.

Appraisal decisions and retention and disposal authorities should be routinely reviewed to ensure that the original recordkeeping requirements on which appraisal decisions and retention and disposal authorities are based are still applicable. Public offices should monitor triggers for the review of retention and disposal authorities and undertake a review when necessary.

Triggers to review retention and disposal authorities include:

• the age of the retention and disposal authority, for example if a disposal authority is more than 5 years old then it should be checked to ensure that retention periods and disposal actions are still relevant
• changes in recordkeeping requirements for the organisation, for example legislation. Recordkeeping requirements do change over time and it is important that appraisal decisions reflect changes to requirements
• changes in business processes and the way business is conducted, for example automating business processes can often result in changed processes with records being captured at different points in the process
• changes in administrative arrangements. The restructure of government administration means functions and activities are transferred between different organisations. Disposal authorities may need to be updated to encompass such administrative changes.

The review should consider the following:

• Are the records currently being created, captured and maintained sufficient to meet business needs and accountability requirements?
• Are existing recordkeeping systems adequately capturing records required to support business activities and accountability requirements?
• Do retention periods and disposal actions in existing retention and disposal authorities adequately cover records created, captured and maintained by the public office?
• Have the administrative, legal, social, and recordkeeping contexts changed?

Compliance Requirements

1. Decisions on the creation, capture, and disposal of records are based on an analysis of the administrative, legal, social, and recordkeeping contexts within which records are created and maintained
2. Decisions are documented and justified
3. Recordkeeping requirements, appraisal decisions, and retention and disposal authorities for the public office are regularly reviewed.

Principle 2: Comprehensive

Decisions made regarding the retention and disposal of records should include all records of the organisation in all formats.

Explanatory Note

All records supporting the business functions and activities of the public office should be covered by appropriate disposal authorisation, regardless of the format of the records or the systems in which they are maintained. The public office should ensure that their functional retention and disposal authority includes all records created by the organisation which are not covered by general administrative retention and disposal authorities or the Normal Administrative Practice provisions of the State Records Act.

Classes of records supporting or resulting from the various business functions, activities and transactions of the organisation should be identified in retention and disposal authorities with appropriate retention periods and disposal actions. Disposal classes should be format independent. Entries within functional retention and disposal authorities should be applicable to existing records and to those yet to be created of identified business functions and activities regardless of the systems in which they are maintained.

Functional retention and disposal authorities should include:

• records relating to current functions undertaken by the public office
• records from merged services within a public office
• records relating to functions and activities formerly carried out by the public office where these records are still in existence
• records of predecessor organisations, or
• records which have been transferred to the organisation as part of administrative change within Government ('legacy records').

The public office also needs to be aware of changing contexts and requirements over time and ensure that these are incorporated into reviews of functional retention and disposal authorities.

Compliance Requirements

1. Retention periods and disposal actions for records in any format and of all business functions and activities of a public office are documented in approved retention and disposal authorities
2. Legacy records or records of non-current business functions and activities of a public office are documented in approved retention and disposal authorities.

Principle 3: Authorised

Decisions and actions to keep, destroy or transfer records should be authorised.

Explanatory Note

All disposal activities should be in accordance with section 21 of the State Records Act. Public offices should use approved records retention and disposal authorities and approved Normal Aministrative Practices.

Authorisation of decisions and actions occurs at a number of different points on the appraisal and disposal process.

Public offices are able to dispose of certain State records using the Normal Administrative Practice provisions of the State Records Act 1998. Public offices should develop internal policies and procedures, based on Schedule 2 of the State Records Regulation 2010, to define and authorise what is meant by normal administrative practice for their organisation and to identify and document the types of records that are disposed of under this provision of the Act.

Public offices should ensure that all decisions for the retention and disposal of records are approved and authorised by the appropriate business units within the public office and that the retention and disposal authority is authorised by an appropriately senior officer (such as the Chief Executive) prior to its submission to State Records for approval.

All disposal actions within the public office should be approved and authorised by an employee with appropriate delegated authority. All authorisations to dispose of records should be documented and included in the records of the public office.

The sentencing and disposal of all State records should be undertaken according to policies and procedures of the public office. Responsibility for sentencing and disposal of State records should be assigned to an employee who has the appropriate delegated authority within the public office.

Prior to the authorisation of disposal actions, public offices should ensure that sentencing decisions are confirmed as current and accurate.

Compliance Requirements

1. Decisions to keep, destroy or transfer records are authorised
2. Disposal activities are approved, supervised and authorised in accordance with established procedures and by those with the appropriate delegated authority
3. The sentencing of records is monitored before disposal actions are carried out.

Principle 4: Accountable

Actions to keep, destroy or transfer records should be accountable.

Explanatory Note

The disposal of records is an accountable process. Public offices should conduct disposal in accordance with statutory requirements, Government policy and organisational policy and procedures. Public offices should monitor the disposal of records to ensure that it is an accurate and quality process. This should also include the monitoring of practices to ensure that Normal Administrative Practice is implemented appropriately.

Public offices should be able to justify and account for their retention and disposal of records. If required, public offices should be able to make available all information regarding an appraisal decision and evidence that the decision and the subsequent disposal of records was permitted and authorised under legislation, including the State Records Act.

Documentation of disposal, excluding those records identified and documented by organisational policy and procedure addressing acceptable Normal Administrative Practices, should list the:

• records disposed of
• type of disposal action that occurred, eg destruction, transfer to archives, transfer to successor organisation
  identity of the person authorising the disposal action
• date and time that this disposal action was implemented, and identity of person implementing this disposal action, and
• the retention and disposal authority authorising the action.

All decisions to retain and dispose of records should be approved, authorised and overseen by employees with appropriate delegations. It is possible that different employees may authorise disposal action and/or implement disposal actions. Sentencing and disposal of records should be carried out or supervised by staff with appropriate skills and knowledge of the organisation and its business and structure.

Any decisions to retain records for longer periods than those stated in retention and disposal authorities should also be recorded along with the reasons for extending the retention.

An accountable process also recognises and takes into account changes which may have impacted on a public office's recordkeeping requirements and override original appraisal and sentencing decisions. These can include:

• ongoing business needs
• ongoing legal proceedings
• changes to legislative or regulatory requirements
• records subject to ICAC inquiries, or
• government moratoriums on the disposal of certain records.

Administrative changes affecting a public office's functions or business activities may also trigger a re-appraisal of the organisation's recordkeeping requirements.

For these reasons, public offices should ensure that disposal decisions in retention and disposal authorities (including where these have been recorded in business systems and recordkeeping systems) are reviewed by an appropriate person before decisions are acted upon.

Compliance Requirements

1. Disposal of all records is documented including the nature and time of the disposal action, the identity of the person authorising the action and the disposal authority authorising the action
2. Sentencing and records disposal activities are carried out by personnel who have appropriate skills and knowledge for these tasks.

Principle 5: Implemented

Decisions to keep, destroy or transfer records should be routinely implemented.

Explanatory Note

Public offices should have clear policy, procedure and business rules for the appraisal and disposal of records. This includes assigning responsibility for the sentencing and disposal of records, the establishment of authorisation processes, and procedures for undertaking disposal. Appraisal and disposal activities should occur as part of the public office's Records Management Program.

Once a public office has an approved retention and disposal authority, it should be implemented. This includes incorporating recordkeeping requirements such as retention and disposal decisions into business and recordkeeping systems. It also includes ensuring that when business or recordkeeping systems are upgraded, the records and their contextual information that are still required to be retained are transferred to the new platforms and records no longer required to be retained are not transferred or migrated unnecessarily.

The public office should ensure that where possible and practicable, records are sentenced at or soon after their creation. This means that records created in business and recordkeeping systems are appropriately identified, managed and retained for as long as they are required.

Implementing retention and disposal authorities ensures that records are retained for the correct period of time and no longer (or shorter) than necessary. It also ensures that records are disposed of in a timely, routine and efficient manner. Undertaking sentencing and regular disposal of records ensures that the organisation is not exposed to unnecessary costs for retaining paper and digital records it no longer requires.

Records identified in retention and disposal authorities as State archives and no longer in use for official purposes in the public office should be transferred to State Records' control. If the records are more than 25 years old and are still in use for official purposes, then a 'still in use determination' should be made.

Transferring records identified as State archives and no longer in use for official purposes to State Records' control should be a routine and systematic part of a public office's records management program.

Compliance Requirements

1. Policy, procedures and business rules direct how appraisal and disposal activities are undertaken in the public office
2. Records sentencing and disposal actions are undertaken as a routine and regular part of the public office's Records Management Program
3. Records identified as State archives are transferred to State Records' control when no longer in use for official purposes in the public office.