Appendix 1: Overview of documentation requirements and templates
Documentation is an integral part of disposal authorisation. Preparing a retention and disposal authority involves research and analysis which should be documented whether the work is undertaken in-house or by a consultant. NSW State Archives and Records requires organisations to submit specific documentation in order to authorise disposal.
When submitting an initial draft, NSW State Archives and Records requires organisations to provide:
- the draft retention and disposal authority (use the templates provided), and
- supporting documentation.
When submitting a final draft for approval, NSW State Archives and Records requires organisations to provide:
- the final draft retention and disposal authority (use the templates provided), and
- a cover letter (use the Word template provided).
Submissions of the documents by email to govrec@records.nsw.gov.au are encouraged.
Both the initial and final drafts should conform to NSW State Archives and Records' conventions outlined in Appendix 3: Drafting the authority.
Content and presentation of supporting documentation
NSW State Archives and Records requires organisations to provide supporting documentation with the draft retention and disposal authority submission. This information assists NSW State Archives and Records to understand the role, responsibilities and operating environment of the organisationto and to review and understand the basis of the records appraisal decisions outlined in the draft authority.
When you submit the initial draft of the retention and disposal authority to NSW State Archives and Records for review you are required to provide us with the following information:
About the organisation
- A brief description of the history of the organisation and its functional responsibilities, including information about when it was originally established and, if relevant, any predecessor or successor organisations
- Details of legislation administered by the organisation relevant to the functions and activities covered by the authority
About relationships with other organisations and stakeholders
- A brief description of any formal reporting/compliance relationships between the organisation and other organisations relating to core functions
- A brief description of any role the organisation has in overseeing the performance/operations of other organisations or individuals (including e.g. where functions or activities are contracted out)
- A brief description of any significant joint ventures, agreements or consultative arrangements the organisation has with other organisations relating to core functions
- A brief description of any overlap of core functions or interrelationships with other organisations
- A brief description of any significant relationships with other organisations not already described
- A list of all identified external stakeholders
About governing bodies and committees
- A brief description of any governing body, significant committees, councils or advisory bodies that perform, oversee or advise on key aspects of the organisation’s business
About the records held by the organisation
- A brief description of recordkeeping systems that exist in the organisation including paper-based filing systems, electronic document management systems, database applications, and collections of photographs, maps and plans and audio visual material
- A brief description of the oldest records held by the organisation and whether these were created by the organisation in its current incarnation or a predecessor organisation
- A statement of when the majority (80%) of the records to be covered by the authority date from
- A brief description of any legacy records covered by the authority that relate to functions and activities no longer carried out by the organisation or legacy records of administrative processes no longer undertaken or carried out as part of the conduct of current functions and activities
- Details of any previous disposal authorisation issued to your organisation (either functional retention and disposal authorities or disposal recommendations)
Note: You do not need to consider or provide information about records that your organisation has already transferred to NSW State Archives and Records as State archives.
About the retention periods and disposal actions
- A brief statement of the justification or basis for each retention period and disposal action identified in the authority (if these are not included in the functional retention and disposal authority itself - see the templates below for presenting this information)
About any external stakeholder consultation undertaken
- A brief description of the organisations/persons consulted in the course of developing the authority, the feedback provided as a result of this consultation, and how the organisation responded to this feedback
Note: If no external consultation was undertaken, provide an explanation as to why no consultation was performed.
Templates
NSW State Archives and Records has developed an application for drafting and transforming authorities in XML. The Authority Editor is a program that supports the development of draft authorities that are compliant with NSW State Archives and Records requirements. Organisations are encouraged to draft and submit authorities using the Authority Editor. More information is available from the XML schema for retention and disposal authorities page on our website.
NSW State Archives and Records has moved to more streamlined retention and disposal authorities where appropriate. While the standard 3 level (function/activity/disposal class) disposal authorities are acceptable, we also encourage simpler 2 level (functions/disposal classes) disposal authorities. See the following approved retention and disposal authorities for examples of this approach:
- Births, deaths and marriages
- Advocacy for children and young people
- Offender management
- Police investigations
Draft authorities can also be submitted using the following templates: