This appendix provides an overview of NSW State Archives and Records' requirements and conventions for the layout and wording of retention and disposal authorities to guide organisations when drafting an authority. For more information about identifying and scoping functions, activities and disposal classes, and determining retention and disposal requirements, see Methodology for appraising records retention and disposal requirements.

NSW State Archives and Records' Authority Editor

NSW State Archives and Records has developed an application for drafting and transforming authorities in XML. Authority Editor is a full implementation of NSW State Archives and Records’ XML schema. It includes a form entry view with tree navigation for simple inputting of data, a 'review view' that provides a readable view for easily navigating and reviewing XML documents, and a transform engine that applies XSL stylesheets to authorities to generate HTML, MS Word or edited versions. The Authority Editor makes the drafting process easier as it automates sorting, numbering and styling of authorities, simplifies the addition of internal and external see references, and contains drop down menus of sample justifications that can be used.

Format and layout

If the Authority Editor is not being used, Appendix 1: Overview of documentation requirements and templates provides links to the templates organisations should use when drafting a retention and disposal authority. Appendix 4: Examples of retention and disposal authorities provides examples of the standard format and layout of an authority.

Content and structure

Table of contents

If the retention and disposal authority is covering a large number of functions and activities, NSW State Archives and Records recommends including a list or basic table of contents to provide an overview of the functions and activities covered and to guide users through the authority. The Authority Editor generates this list automatically.

Dates of coverage

In general the date range can be left open. However, in some circumstances, it may be appropriate to nominate dates to indicate limitations on the date range of records to which the authority can be applied. Surveying your organisation's records holdings and systems will assist in identifying the potential need for this (for example to address records of predecessor organisations or changes in business processes impacting on how records have been created and maintained). The supporting documentation submitted with the draft authority should provide a summary overview of your organisation’s records holdings and management systems. This will assist NSW State Archives and Records to consider and advise if the application of date range limitations is appropriate.

Structure

The standard format is for the authority to be structured around Function/ Activity terms presented alphabetically in the authority.

See Appendix 4: Examples of retention and disposal authorities for examples of standard conventions for the layout and structure of an authority.

Function/Activity terms are high-level descriptors and do not necessarily need to reflect the terminology of an organisation’s thesaurus, taxonomy or business classification scheme (BCS). Retention and disposal authorities are ligh-level policy documents that will have a one-to-many relationship with the BCS. We discourage maintaining a strict hierarchical one to one reproduction of your organisation’s thesaurus, taxonomy or classification scheme to structure the authority. This has led to lengthy documents with duplication of similar terms and records.

Function and Activity descriptions

Function/Activity descriptions should be clear and concise, providing a plain-English explanation of the scope of processes covered. As mentioned above they do not need to reproduce thesaurus, taxonomy or business classification scheme descriptions in their entirety. Where the analysis of recordkeeping requirements has identified similar or equivalent retention and disposal outcomes for related Functions and Activities, it may be beneficial to consider combining terms in the authority and modifying the descriptions accordingly.

See references

See references should give appropriate guidance to help users of the authority make the best decision about how to sentence a particular class of records. General protocol:

• See references to other functions should be placed at the end of the relevant function description.
• See references to other activities should be placed at the end of the relevant activity description.

See Appendix 4: Examples of retention and disposal authorities for examples of standard conventions for the inclusion of see references.

Disposal classes

Disposal class descriptions should provide a clear and concise description of the particular business or transactional processes covered by the class to indicate the extent or limits of the scope of its coverage. Disposal classes should be able to stand alone. Ideally they should not rely on referral to a function or activity scope note or on an examination of other classes for their interpretation.

Disposal class descriptions generally start with the phrase 'Records relating to...' or ‘Records documenting…’

The inclusion of some examples of records intended to be covered by the class is recommended to assist users in applying the authority. The listing of examples does not have to be exhaustive, it is indicative only. The disposal class description detail or examples should not be too focused on or limited in their application to specific record formats. 

Disposal class descriptions should carefully define any distinctions made, such as those between 'major' and 'minor', 'significant' and 'routine', etc.

Disposal class descriptions should avoid use of 'jargon' or specific references to legislation, for example, that could date or unintentionally limit the application of the authority

See Appendix 4: Examples of retention and disposal authorities for examples of disposal class descriptions.

Case records

Where records relate to the management of a particular case, program or project (for example) it is important to assess whether:

• the records should be treated as a single class with the same retention and disposal requirements or
• the records should be described as separate classes in the authority with specific retention requirements depending on the particular process or aspect of the case/program/project management they document and support.

Treating the records as separate classes depending on the specific aspect of the process or activity they document may be appropriate if your organisation wants to move away from case based file management systems, and if different retention periods can apply to the records depending on what aspect of the case/program/project management process they document. This can have benefits in terms of storage or system migration costs savings and also has the potential benefit of ensuring that records are only kept for as long as needed and then promptly destroyed.

Databases

Don't forget to include records contained in databases and business systems when developing your disposal coverage. The authority does not just apply to records in hard copy format. The retention and disposal decisions will apply to records of the functions, activities and business processes covered by the authority irrespective of the format in which they are maintained. Increasingly, records and information of key organisational business is created and maintained in digital or electronic format and systems, and it is crucial to ongoing organisational accountability that these systems and the records held in them are appropriately managed. Determining how long these records need to be maintained to meet your organisation’s business needs and requirements is essential for their ongoing management. Knowing retention requirements will mean appropriate plans can be put in place for the ongoing maintenance or migration of the database or business system.

When you know what systems exist and the business they perform, you can start to look at how long this information needs to be kept. You can then ensure the systems are appropriately covered in the retention and disposal authority. IT staff can then develop plans for system maintenance or migration to ensure that the information within the database will be accessible and useable for the entire retention period.

Records that do not need to be included in the disposal authority

Organisations generally will not need to provide disposal coverage for records already covered by general retention and disposal authorities. For example, records of COMMITTEES, GOVERNING BODIES (such as Boards, Trusts, etc), CONTRACTING-OUT or TENDERING processes are covered in the General retention and disposal authority: administrative records.

The destruction of certain duplicates, drafts, working papers, back up tapes, systems logs and transaction reports, etc., is permitted by the normal administrative practice provisions of the State Records Act, therefore specific coverage for these types of records does not need to be included in the organisation’s function authority.

The General Retention and Disposal Authority - original or source records that have been copied also permits the destruction of certain original records after copying (for example to a digital image or microfilm format), provided the conditions listed in the authority have been met. Specific coverage for these types of records does not need to be included in the organisation’s function authority unless permission is being sought with respect to an excluded category of records.

Disposal actions

Disposal actions specify what should happen to a record. A disposal action is either:

• an authorisation to destroy records after a specified retention period expires (e.g. 'Retain minimum of 10 years after action completed, then destroy'), or
• the identification of records as State archives ('Required as State archives').

Standard conventions for expressing disposal actions

Disposal action	Wording convention
Records to be retained as State archives	Required as State archives
Records which can be destroyed after expiry of a specific time period, action or event	Retain minimum of X months/years after Y, then destroy Note: X = number of months/years, Y = the event from which the number of years is counted (such as from when client reaches a certain age; after expiry, lapse or suspension of a permit or licence; completion of the business transaction/process etc.) The Australasian Digital Recordkeeping Initiative (ADRI) has produced a Glossary of Disposal Triggers that can assist when drafting authorities.

Justifications

Justifications explain how or why the retention periods and disposal actions have been determined.

Justifications do not have to be extensive but they must be clear, considered and specific. Justifications need to provide definitive, measurable statements that give a clear rationale or basis for the identified minimum retention period or the recommendation to retain the records as State archives.

To assist NSW State Archives and Records in reviewing retention decisions, provide as much detail as possible about the source or basis of the decision, including references to sections of legislation, standards, rules, guidelines and other documentary or external sources.

If adequate justifications are not provided in draft retention and disposal authorities or the associated supporting documentation, organisations may be asked to resubmit their documentation with revised justifications for each disposal recommendation before State Records undertakes any assessment.

Expression and wording

Acronyms and jargon

Although acronyms and jargon may be commonly used and understood in your organisation, you should avoid using these in retention and disposal authorities. Retention and disposal authorities are documents that generally remain current for a number of years, and terminology such as acronyms and jargon and even classification or taxonomy terms can date and become meaningless within a short time frame.

• Acronyms should be avoided, or, if used, spelled out in full.
• More widely understood terms should be used in the place of jargon.