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  1. Government Recordkeeping
  2. Rules
  3. Retention & Disposal Authorities
  4. General retention and disposal authorities
  5. Local government records (GA39)
  6. Part 2: The General retention and disposal authority (GA39)
  7. CORPORATE MANAGEMENT (GA39)
CORPORATE MANAGEMENT (GA39)

TOC

The function of applying broad systematic management planning for the organisation.

 AGREEMENTS

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

See CORPORATE MANAGEMENT - Contracting-Out for records relating to contracting out arrangements.

See CORPORATE MANAGEMENT - Tendering for records relating to tendering arrangements.

See INFORMATION MANAGEMENT - Intellectual property for records relating to the organisation's intellectual property rights or obligations.

No Description of records Disposal action
4.18.1 Records relating to the establishment, negotiation, maintenance and review of agreements supporting the organisation's activities that do not form part of contracting-out or tendering arrangements. Records include:

  • correspondence and negotiations including minutes or notes of meetings with main stakeholders or parties to the agreement
  • drafts containing significant changes/alterations or formally circulated for comment
  • final versions of agreements
  • reviews of agreements.

Note: In some cases agreements may specify retention periods for records relating to the agreement or the fulfilment of conditions of the agreement, e.g. a contract to undertake research may specify how long the agent carrying out the research is required to retain the data on which research findings are based. In these cases the expiry of the agreement should be interpreted to include the fulfilment of these retention periods or conditions.

 Retain minimum of 7 years after expiry or termination of agreement or minimum of 7 years after action completed, whichever is longer, then destroy
4.18.2 Records relating to the establishment, negotiation, maintenance and review of agreements regarding the transfer of responsibilities and ownership of assets such as property, information etc due to administrative change, privatisation or corporatisation. Records include:

  • correspondence and records of negotiations
  • drafts containing significant changes/alterations or formally circulated for comment
  • final, approved versions of agreements
  • reviews of agreements.
 Required as State archives

 AUDIT

The activities associated with officially checking operational records, systems or processes to ensure that they are in accordance with legislated requirements or agreed standards.

See CORPORATE MANAGEMENT - Compliance for records relating to managing compliance with quality management processes.

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

No Description of records Disposal action
4.1.1 Records relating to audits which measure organisational performance or compliance which set a precedent or lead to a major change in policies. Records include:

  • records of audit planning or liaison with auditing body
  • minutes or notes of meetings and interviews
  • correspondence
  • final approved versions of audit reports
  • records of remedial action.
 Required as State archives
4.1.2 Records relating to audits which measure organisational performance or compliance which do not set a precedent or lead to a major change in policies. Records include:

  • records of audit planning or liaison with auditing body
  • minutes or notes of meetings and interviews
  • correspondence
  • drafts
  • final, approved versions of reports
  • records of remedial action.
 Retain minimum of 6 years after action completed, then destroy

 AUTHORISATION

The process of seeking and granting permission to undertake a requested action. Includes authorisations from external organisations for the organisation and its staff to carry out regulatory and enforcement activities.

No Description of records Disposal action
4.19.1 Records of licences, authorisations and delegations of authority enabling the organisation and individual staff to carry out compliance and regulatory activities, e.g. licences from the Environmental Protection Authority, delegations from the Food Authority, authorities for rangers to destroy dogs, authorities to enter private property by force or without notice, search warrants, etc. Retain minimum of 7 years after licence, authority or delegation expires or is superseded or revoked, then destroy

 CIRCULARS

The activity of receiving notices from Federal and State Governments regarding policy and procedures.

See CORPORATE MANAGEMENT - Policy for records relating to circulars on organisational policy.

See GOVERNMENT RELATIONS - Submissions for records relating to the organisation's input into Federal and State Government policies.

No Description of records Disposal action
4.2.1 Records relating to advice or notifications regarding policies and procedures that apply to whole-of government or whole of local government sector e.g. Premier's Memoranda and Department of Local Government Circulars. Retain until administrative or reference use ceases, then destroy

 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 CORPORATE MANAGEMENT - Audit for records relating to formal internal or external audits against compliance requirements.

See CORPORATE MANAGEMENT - Reporting for records relating to reporting on compliance to other government bodies, or compliance with reporting requirements.

See LEGAL SERVICES - Compliance for records relating to breaches of compliance requirements.

See PERSONNEL - Occupational Health & Safety for records relating to compliance with occupational health and safety standards or requirements.

No Description of records Disposal action
4.20.1 Records relating to initiatives at an organisation-wide or program-specific level to measure and improve operations in order to be compliant with mandatory or optional standards. Records include:

  • records of assessments of requirements with which the organisation needs to comply
  • background research into existing levels of compliance and breaches
  • records of development of initiatives to improve compliance.
 Retain minimum of 10 years after action completed, then destroy
4.20.2 Records relating to compliance with mandatory or optional standards or with statutory requirements, e.g. obtaining of approvals or licences to carry out activities associated with the staging of events and functions, reporting of suspected corrupt or inappropriate behaviour etc. Records include:

  • applications and supporting documentation
  • licences, permits
  • associated correspondence.

Note: Retention period is provided as a guide only. Any records providing evidence of organisational compliance with standards or requirements must be kept as long as the organisation has to account for its actions. Any records relating to the handling of allegations of sexual abuse of children by clients, visitors, service providers and members of the public received by the organisation should be retained for at least 45 years from date of the incident.

 Retain minimum of 7 years after action completed, then destroy
4.20.3 Records relating to the registration and renewal of business names by the organisation. Retain minimum of 7 years after registration ceases or is renewed, then destroy
4.20.4 Records relating to the assessment and certification of quality systems by an external organisation. Retain minimum of 3 years after certification lapses, then destroy
4.20.5 Records relating to the management of gifts and benefits made to the organisation such as from visiting dignitaries, e.g. gifts and benefits registers. Retain minimum of 7 years after action completed, then destroy

 CONFERENCES

The activities involved in arranging or attending conferences. Includes registrations, publicity and reports of participants, etc.

See COMMUNITY RELATIONS - Addresses for records relating to addresses presented by senior executives of the organisation at significant occasions or public events.

See FINANCIAL MANAGEMENT - Authorisation for records relating to approvals and authorisations for expenses associated with conferences.

See PERSONNEL - Training and development for records relating to conferences and training arranged or attended by staff for staff development, skills or professional development purposes.

No Description of records Disposal action
4.3.1 Final versions of published or unpublished proceedings, reports and addresses from conferences, seminars or forums arranged or hosted by the organisation. Required as State archives
4.3.2 Records relating to administrative arrangements for conferences, seminars or forums arranged by the organisation. Records include program development, invitations, registrations, venue, accommodation, transport, publicity and catering arrangements and bookings. Retain until administrative or reference use ceases, then destroy
4.3.3 Records relating to addresses presented by employees at external conferences, seminars or forums. Retain minimum of 2 years after action completed, then destroy
4.3.4 Records relating to employee attendance at conferences or seminars held by other organisations for the purpose of delivering an address or otherwise participating in proceedings. Records include registration forms, programs, invitations, proceedings and reports. Retain until administrative or reference use ceases, then destroy

 CONTRACTING-OUT

The activities involved in arranging, procuring and managing the performance of work or the provision of services by an external contractor, consultant or service provider.

See CORPORATE MANAGEMENT - Tendering for summary records of contracts and records relating to contracting arrangements for the supply of goods and services.

No Description of records Disposal action
4.4.1 Records relating to the hiring and use of consultants, contractors, vendors, suppliers, employees from external bureau services or the services of shared service providers. Records include:

  • determinations of the need for services
  • specifications and conditions of engagement
  • invitations and receipts of bids
  • letters of engagement
  • correspondence and negotiations, including minutes or notes of meetings with main stakeholders
  • final and significant draft versions of agreements
  • performance and evaluation reports
  • variations to agreements.

Note: Speciality contracts include contracts under seal and deeds to property.

(A) For specialty or non-standard contracts:
Retain minimum of 12 years after expiry or termination of agreement or after action completed, whichever is later, then destroy

(B) For standard contracts or agreements:
Retain minimum of 7 years after expiry or termination of agreement or after action completed, whichever is later, then destroy
4.4.2 Summary records created to facilitate the management of consultants, contractors, vendors, suppliers or employees from external bureau services used by the organisation, e.g. registers of preferred contractors, contact details. Retain until administrative or reference use ceases, then destroy

 COUNCIL MEETINGS

See GOVERNANCE - Meetings for records relating to meetings of Council.

 ESTABLISHMENT

The activities associated with establishing and changing the organisational structure through establishing and reviewing positions. Includes classification and grading of positions and the preparation of organisational charts.

See PERSONNEL - Establishment for records relating to varying, creating and abolishing individual positions.

No Description of records Disposal action
4.6.1 Records relating to the establishment of new organisational structures, or to the review of existing structures and programs which result in significant changes to core functional areas or the organisation as a whole, e.g. in the event of an amalgamation or change to or transfer of functional responsibilities. Records include:

  • background research
  • reports or proposals concerning changes
  • final versions of organisational charts resulting from the restructure.
 Required as State archives
4.6.2 Records relating to the review of existing structures and programs which do not result in significant changes to core functional areas or the organisation as a whole. Records include background research, proposals concerning changes and revised versions or updates of organisational charts. Retain minimum of 5 years after action completed, then destroy
4.6.3 Records relating to the development and review of plans for the structure/establishment of sections or business units. Records include:

  • background research
  • draft versions of plans formally circulated for comment
  • reports analysing issues and the outcomes of consultation with stakeholders
  • final plans and associated correspondence indicating who the plans apply to and responsibilities for their implementation.
 Retain minimum of 7 years after superseded, then destroy

 GUIDELINES

See CORPORATE MANAGEMENT - Procedures for records relating to guidelines.

 LEGISLATION

The process of making laws and regulations.

See GOVERNMENT RELATIONS - Submissions for records relating to routine or minor submissions on legislation or regulations.

See LAND USE AND PLANNING - Planning for records relating to statutory planning instruments.

No Description of records Disposal action
4.8.1 Records relating to the development, implementation and review of legislation, regulations and local laws impacting on local government. Records include:

  • submissions to and from the organisation
  • reports
  • draft regulations and local laws and amendments
  • records documenting the outcomes of consultation with relevant organisations and stakeholders.
 Required as State archives

 MEETINGS

The activities associated with the management of internal, external or inter-agency committees, task forces, working groups or parties etc and general, section or unit meetings of employees.

See GOVERNANCE - Meetings for records relating to meetings of Council and sub-committees.

See PARKS AND RESERVES - Trusts for records relating to meetings of trusts.

No Description of records Disposal action
4.9.1 Records relating to inter-agency or external committees where (1) the organisation provides the secretariat and (2) the committee was established for the purposes of strategic planning or policy development and considers issues impacting on the core functions or responsibilities of the organisation. Records include:

  • records of the establishment of the committee, its terms of reference, memoranda of understanding etc
  • records of nomination, appointment, resignation or termination of members
  • authorisations by the organisation to participate
  • agenda and minutes
  • advice and briefing papers
  • submissions and reports
  • recommendations and resolutions
  • correspondence arising from business discussed or resolutions passed.
 Required as State archives
4.9.2 Records relating to administrative arrangements for all meetings. Records include:

  • meeting notifications
  • catering arrangements
  • venue bookings
  • accommodation and transport arrangements
  • related correspondence
  • audio visual recordings.
 Retain until administrative or reference use ceases, then destroy
4.9.3 Records relating to inter-agency or external committees where (1) the organisation does not provide the secretariat or (2) where the Committee considers operational matters or matters relating to administrative or non-core functions of the organisation, including committees operating under delegated authority from the organisation. Records include:

  • records of the establishment of the committee, its terms of reference, memoranda of understanding etc
  • records of nomination, appointment, resignation or termination of members
  • authorisations by the organisation to participate
  • agenda and minutes
  • advice and briefing papers
  • submissions and reports
  • recommendations and resolutions
  • correspondence arising from business discussed or resolutions passed.
 Retain minimum of 5 years after action completed, then destroy
4.9.4 Records relating to internal committees established for strategic planning or policy development purposes which consider significant issues impacting on the core functions or responsibilities of the organisation. Records include:

  • records of the establishment of the committee, its terms of reference, memoranda of understanding etc
  • records of nomination, appointment, resignation or termination of members
  • agenda and minutes
  • advice and briefing papers
  • submissions and reports
  • recommendations and resolutions
  • correspondence arising from business discussed or resolutions passed.
 Required as State archives
4.9.5 Records relating to internal committees which consider operational matters and issues concerning the administrative or general operational support functions of the organisation. Excludes committees which form part of consultative arrangements with staff regarding working conditions or occupational health and safety issues. Records include:

  • records of the establishment of the committee, its terms of reference etc
  • records of nomination, appointment, resignation or termination of members
  • agenda and minutes
  • advice and briefing papers
  • submissions and reports
  • recommendations and resolutions
  • correspondence arising from business discussed or resolutions passed.
 Retain minimum of 5 years after action completed, then destroy
4.9.6 Records relating to routine general and section or unit meetings of employees and administrative arrangements for meetings. Records include agenda, minutes and related correspondence. Retain until administrative or reference use ceases, then destroy
4.9.7 Records relating to internal committees which form part of consultative arrangements with staff regarding working conditions, e.g. occupational health and safety committees, workplace relations committees. Records include:

  • records of the establishment of the committee, its terms of reference etc
  • records of nomination, appointment, resignation or termination of members
  • agenda and minutes
  • advice and briefing papers
  • submissions and reports
  • recommendations and resolutions
  • correspondence arising from business discussed or resolutions passed.
 Retain minimum of 10 years after action completed, then destroy
4.9.8 Records relating to meetings of advisory or consultative committees, councils etc, i.e. committees consisting of external stakeholder representation, which advise on or oversee the operations of, or delivery of services in, an organisation or which provide advice to the organisation on policy, priorities or strategy. Includes committees established by the organisation or committees required to be established by legislation. Records include:

  • records of the establishment of the committee, its terms of reference etc
  • agenda and minutes
  • advice and briefing papers
  • submissions and reports
  • recommendations and resolutions
  • correspondence arising from business discussed or resolutions passed
  • major publications, reports and discussion papers.
 Required as State archives
4.9.9 Records relating to informal, ad hoc meetings with the community which do not advise on or oversee operations or service delivery. Records include:

  • minutes and agenda
  • reports
  • correspondence.
 Retain minimum of 5 years after action completed, then destroy
4.9.10

Diaries/appointment books of the Chief Executive Officer and members of the Senior Executive recording detailed information regarding significant matters, e.g. decisions and actions agreed upon, that are not recorded elsewhere.

Remarks: Best practice is to record significant matters such as decisions and actions, and capture them as part of official recordkeeping systems. This class is only for when this is the only source of the information.

 Required as State archives
4.9.11 Diaries/appointment books of the Chief Executive Officer and members of the Senior Executive or other personnel recording basic information, e.g. dates and times of meetings, and diaries/appointment books kept by other personnel. Retain until administrative or reference use ceases, then destroy

 PERFORMANCE MANAGEMENT

See CORPORATE MANAGEMENT - Agreements Compliance and Planning for records relating to service level agreements, organisational performance management and continuous improvement plans.

See CORPORATE MANAGEMENT - Audit for records relating to assessments of corporate compliance or performance against standarda, benchmarks or performance measures.

See CORPORATE MANAGEMENT - Reporting for records relating to reporting on performance against benchmarks or indicators.

See PERSONNEL - Performance appraisal for records relating to performance management of employees.

 PLANNING

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

No Description of records Disposal action
4.11.1 Final versions of strategic, corporate or business plans applying to the organisation as a whole, and associated correspondence indicating who the plans apply to and responsibilities for their implementation. Required as State archives
4.11.2 Records relating to the development and review of strategic, corporate or business plans applying to the organisation as a whole. Records include background research, significant drafts, notes of meetings or reports analysing issues and the outcomes of consultation. Retain minimum of 7 years after superseded, then destroy
4.11.3 Records relating to the development of plans for providing ongoing administrative or operational support, e.g. program plans relating to divisions, business units and projects within the organisation, business continuity or counter disaster plans, procurement plans, fraud control strategies, quality management plans, risk management plans, ethnic affairs priority statements, equal employment opportunity management plans, total asset management plans etc, and associated correspondence indicating who the plans apply to and responsibilities for their implementation. Excludes strategic, corporate or business plans. Includes final versions, background research, etc. Retain minimum of 7 years after superseded, then destroy

 POLICY

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

See PERSONNEL - Employment conditions for records relating to personnel policies.

See PERSONNEL - Occupational Health & Safety for records relating to occupational health and safety policies.

No Description of records Disposal action
4.12.1 Records relating to the development and review of strategic, major business and high level operational policies. Records include:

  • policy proposals
  • background research
  • notes of meetings or reports analysing issues and the outcomes of consultation
  • correspondence indicating who the policies apply to and responsibilities for their implementation
  • final and significant draft versions, including circulars
  • policy and delegated authority registers.
 Required as State archives
4.12.2 Records relating to the development and review of policies on industrial relations issues and operational policies for functional areas. Records include:

  • policy proposals
  • background research
  • notes of meetings or reports analysing issues and the outcomes of consultation
  • correspondence indicating who the policies apply to and responsibilities for their implementation
  • final and significant draft versions.
 Retain minimum of 10 years after superseded, then destroy
4.12.3 Records relating to the development and review of the organisation's policies on strategic cross-functional or organisation-wide matters, e.g. equal employment opportunity policies, code of conduct, and associated correspondence indicating who the policies apply to and responsibilities for their implementation. Includes final versions. Retain minimum of 7 years after superseded, then destroy
4.12.4 Records relating to the development and review of administrative and operational policies relating to common administrative functions e.g. community relations and services, information management, property management, publications, staff training etc., and associated correspondence indicating who the policies apply to and responsibilities for their implementation. Includes final versions. Retain minimum of 5 years after superseded, then destroy

 PROCEDURES

The process of applying standard methods of operation to activities undertaken by the organisation according to formulated policy.

See PERSONNEL - Occupational Health & Safety for records relating to occupational health and safety procedures.

No Description of records Disposal action
4.13.1 Records relating to the development, review and implementation of manuals, handbooks, directives, guidelines etc detailing the organisation's procedures relating to industrial relations and functional areas. Records include final approved versions, background research, drafts, reports etc. Retain minimum of 10 years after superseded, then destroy
4.13.2 Records relating to the development, review and implementation of manuals, handbooks, directives, guidelines etc detailing the organisation's procedures for strategic cross-functional or organisation-wide areas e.g. financial management, government relations, governance and reporting. Records include final versions, background research, drafts, reports etc. Retain minimum of 7 years after superseded, then destroy
4.13.3 Records relating to the development, review and implementation of manuals, handbooks, directives, guidelines etc detailing the organisation's procedures for common administrative functions e.g. community relations and services, information management, personnel, property management, publications, staff training etc. Records include final approved versions, background research, drafts, reports etc. Retain minimum of 5 years after superseded, then destroy

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

See RISK MANAGEMENT - Reporting for records relating to reporting on incidents.

No Description of records Disposal action
4.14.1 Final, approved versions of published and unpublished reports relating to core functions and performance in meeting corporate goals, objectives and performance indicators, e.g. annual reports or substantial ad hoc reports. Includes statutory reports, annual reports of bodies exercising delegated functions, internal reports and reports to the government. Required as State archives
4.14.2 Final, approved versions of internal periodic and ad hoc reports that do not relate to the performance of the organisation in meeting corporate goals, objectives and performance indicators. Includes periodic reports that span multiple functions, e.g. routine monthly reports on the activities of a business unit. Retain minimum of 7 years after action completed, then destroy
4.14.3 Records relating to the development and review of reports. Records include background research and draft versions of reports containing significant changes/alterations or formally circulated for comment. Retain minimum of 6 years after action completed, then destroy
4.14.4 Records relating to periodic reports required to be submitted to external government organisations regarding programs and services, e.g. statistics, reports relating to budget estimates etc. and reports of minor significance that are not related to core functions. Records include background research, final and significant draft versions of reports. Retain minimum of 3 years after action completed, then destroy
4.14.5 Responses to non-mandatory surveys requested by other government organisations. Retain until administrative or reference use ceases, then destroy

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

See CORPORATE MANAGEMENT - Policy for records relating to the review of policy.

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

No Description of records Disposal action
4.15.1 Records relating to the review of programs and services. Records include:

  • documents establishing the review
  • project or action plans
  • background research
  • final and significant draft versions of reports.
 Retain minimum of 5 years after action completed, then destroy

 STANDARDS

The process of implementing benchmarks for services and processes to enhance the quality and efficiency of the organisation.

See CORPORATE MANAGEMENT - Policy for records relating to codes of conduct for employees.

See CUSTOMER SERVICE - Standards for records relating to customer service standards.

See DEVELOPMENT AND BUILDING CONTROLS - Standards for standards relating to development and building controls.

See GOVERNANCE - Policy for records relating to codes of conduct for Councillors.

See LAND USE AND PLANNING - Planning for records relating to the development of planning instruments, controls, codes and schemes.

No Description of records Disposal action
4.16.1 Records relating to the development and implementation of standards or benchmarks that provide a framework for the conduct of operations or performance assessment. Records include background research, drafts, final versions and reports analysing issues and the outcomes of consultation. Retain minimum of 5 years after action completed, then destroy

 TENDERING

The activities involved in receiving and assessing tenders, of making offers for and finalising contract arrangements for the supply, sale or purchase of goods and services.

See COMMUNITY RELATIONS - Enquiries for records relating to routine enquiries about tenders.

See CORPORATE MANAGEMENT - Agreements for records relating to agreements that are not part of a contracting out or tendering arrangement.

No Description of records Disposal action
4.17.1 Records relating to the development, issue, evaluation and review of tenders. Records include:

  • records of planning for the tender
  • minutes or notes of meetings
  • statements of requirements
  • requests for proposals
  • expressions of interest
  • requests for tender
  • draft contracts
  • records of arrangements for carrying out the evaluation process
  • evaluation reports
  • recommendations
  • final reports
  • public notices
  • records of post offer negotiations
  • records of due diligence checks.
 Retain minimum of 7 years after tender process completed, then destroy
4.17.2 Records relating to contracts resulting from tenders and supporting records. Records include:

  • correspondence and records of negotiations including minutes or notes of meetings
  • draft versions of contracts or agreements containing significant changes/alterations or formally circulated for comment
  • final, approved and signed versions of contracts or agreements
  • records of variation or review of contracts or agreements.

Note: Specialty contracts include contracts under seal and deeds to property.

Note: In some cases the agreement may specify retention periods for records relating to the agreement or the fulfilment of conditions of the agreement. In these cases the ‘expiry of the agreement' should be interpreted to include the fulfilment of these retention periods or conditions.

Note: Limitation periods for contractual agreements or arrangements may be longer in other States. These may need to be taken into account when assessing retention requirements for intrastate agreements or arrangements.

 (A) For specialty contracts:
Retain minimum of 12 years after expiry or termination of agreement or after action completed, whichever is later, then destroy
(B) For standard contracts or agreements:
Retain minimum of 7 years after expiry or termination of agreement or after action completed, whichever is later, then destroy
4.17.3 Records relating to unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued. Records include submissions, notifications of outcome and reports on debriefing sessions. Retain minimum of 2 years after action completed, then destroy
4.17.4

Summary records created to facilitate the management of contracts or tenders, e.g. contract registers, tender registers.

Note: With paper-based registers, retain minimum of 7 years after last entry in the register. With electronic registers, retain minimum of 7 years after last update or amendment to an entry, or after data has become obsolete, then destroy.

 Retain minimum of 7 years after action completed, then destroy