You need to start your project with a good understanding of what the project will entail. This section outlines NSW best practice in preparing a retention and disposal authority for approval.

Summary of requirements

To obtain the approval of NSW State Archives and Records a retention and disposal authority must:

• be based on an analysis of the administrative, legal, social and recordkeeping contexts within which records are created and maintained in the organisation
• be structured around the functions/activities of the organisation rather than, for example, the current administrative structure of the organisation
• identify classes of records in relation to functions/activities and the business or operational processes that generate them rather than the way in which the records are filed or stored or the formats in which they are created
• include appropriate justifications for the proposed retention periods and disposal actions.

In general they should be streamlined and concise and follow the conventions outlined in Appendix 3: Drafting the authority. Exceptions to this approach may be appropriate, for example, if:

• your organisation holds older records relating to functions or activities which are no longer carried out
• your organisation inherited records from another organisation which are not actively used
• your organisation has only a small quantity of records requiring disposal authorisation, or
• your organisation is small and only undertakes a limited number of activities.

If a different layout, format or approach is proposed contact us to discuss and obtain confirmation that what is proposed is acceptable before you commence drafting the authority. 

Why analysis of the administrative, legal, social and recordkeeping contexts?

This will assist organisations to identify recordkeeping requirements arising from regulatory compliance, business need and stakeholder or community expectations. An understanding of these is essential to determine appropriate retention periods and disposal actions for records supporting various business activities.

Why functions?

Whilst organisations may be restructured quite frequently, the functions carried out tend to remain relatively stable. An authority broadly structured around business functions is more likely to continue to be applicable despite internal restructures, or broader administrative change. 

See Strategies for Documenting Government Business for further guidance on undertaking analysis to identify functions. See also the Methodology for appraising records retention and disposal requirements section in these procedures.

Remember: You only need to develop disposal coverage for records relating to the unique, core functions of your organisation not otherwise covered by a general retention and disposal authority. Authorisation for the disposal of common and general administrative records is already provided by the general retention and disposal authorities issued by NSW State Archives and Records.