These procedures cover:

• requirements for preparation, review or amendment of a retention and disposal authority
• the methodology for identifying retention requirements for records
• the process of submitting a retention and disposal authority to NSW State Archives and Records for approval, and
• use of a retention and disposal authority issued to a predecessor or another organisation.

Organisations whose functional records are already covered by general retention and disposal authorities (e.g. local government, public health services and organisations and universities) will not generally need to refer to these procedures as comprehensive retention and disposal coverage is already in place for your organisation's records.

Introduction

The legal basis for disposal authorisation

Part 3 of the State Records Act 1998 prohibits the disposal of State records except where it is authorised. Under the Act, NSW State Archives and Records can give permission for disposal.

The usual means by which NSW State Archives and Records permits disposal is through the approval of retention and disposal authorities. Another means is in accordance with the normal administrative practice provisions of the Act which allow for the disposal of certain types of facilitative and duplicate records. Please see Schedule 2 of the State Records Regulation 2015 for more information on what constitutes normal administrative practice in a public office.

What is a retention and disposal authority?

Implementing a retention and disposal authority has many potential benefits for your organisation, such as:

• ensuring that records are kept for as long as they are needed
• saving storage costs and office or online space
• streamlining retrieval processes (by ensuring records no longer required for business or other purposes are removed from systems)
• identifying records with long-term value and therefore long-term retention and preservation requirements
• identifying records eligible for destruction or requiring migration when systems are upgraded, and
• prioritising records that require recovery in the event of a disaster.

The full list of current retention and disposal authorities approved for use by NSW State Archives and Records is available from the website.

General retention and disposal authorities apply to records or processes common to all organisations (such as personnel, finance and property management) or to specific sectors (such as local government, higher and further education institutions or public health services). Functional retention and disposal authorities apply to core functional records that document business unique to an organisation, or they may be approved for use by organisations performing the same or similar function and activities (social housing services).

If your organisation does not have authorisation for the disposal of its core functional records (i.e. those that document business unique to the organisation) you need to develop a retention and disposal authority, or seek permission to use an existing appropriate disposal authority, to ensure that your records can be disposed of in accordance with the provisions of the State Records Act. Once this authorisation is in place you can use it in conjunction with the general authorities to implement a comprehensive records disposal program within your organisation.