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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. INFORMATION MANAGEMENT (GA39)
INFORMATION MANAGEMENT (GA39)

TOC

The function of managing the organisation's information resources. Includes management of records, archives and other information resources and statutory requests for access to information.

See CORPORATE MANAGEMENT for records relating to agreements, audits, conferences, contracting, customer services, meetings, policy and procedures.

See INFORMATION TECHNOLOGY for records relating to the management of information technology and telecommunications resources.

See LAND USE AND PLANNING - Geographical/Land Information Systems (GIS/LIS) for records relating to the management of land and environmental information systems.

ACCESS

The activities associated with maintaining individual case files relating to requests for or decisions regarding public access to records under relevant legislation, e.g. the Government Information (Public Access) Act (GIPA), Freedom of Information (FOI) Act, Section 12 of the Local Government Act, privacy or records legislation or legislation specific to the organisation.

See COMMUNITY SERVICES - Library and Public Information Access for records relating to local and family history enquiries.

See CORPORATE MANAGEMENT - Tendering for contract registers required under the Government Information (Public Access) Act (GIPA).

No Description of records Disposal action
16.1.1

Summary records or registration systems created to facilitate the management of access requests and their outcomes, e.g. Freedom of Information (FOI) registers, disclosure logs, logs of searches, lists and guides to information required under the Government Information (Public Access) Act (GIPA). Does not include contract registers.

Note: Records made available via websites under the GIPA Act that are not summary records should be managed in accordance with the organisation's recordkeeping strategy for websites.

 Retain minimum of 5 years after action completed, then destroy
16.1.2 Records relating to requests for or decisions regarding access to or alteration of information under relevant legislation, e.g. Freedom of Information (FOI), formal applications under the Government Information (Public Access) Act (GIPA), privacy or records legislation, or legislation specific to the organisation, where the decision to grant or refuse access or alteration:

  • sets a precedent, or
  • leads to a major change in policies.

Records include:

  • applications
  • records of decisions or directions
  • related correspondence
  • records of alterations or notations to records claimed to be incomplete, incorrect, irrelevant, out of date or misleading
  • records relating to internal or external reviews or appeals of decisions.
 Required as State archives
16.1.3 Records relating to recurring or protracted requests for or decisions regarding access to or alteration of information under relevant legislation, e.g. Freedom of Information (FOI), formal applications under the Government Information (Public Access) Act (GIPA), privacy or records legislation or legislation specific to the organisation, where the decision to grant or refuse access or alteration does not:

  • set a precedent, or
  • lead to a major change in policies.

Records include:

  • applications
  • records of decisions or directions
  • related correspondence
  • records of alterations or notations to records claimed to be incomplete, incorrect, irrelevant, out of date or misleading
  • records relating to internal or external reviews or appeals of decisions.
 Retain minimum of 10 years after action completed, then destroy
16.1.4 Records relating to requests for or decisions regarding access to or alteration of information under relevant legislation, e.g. Freedom of Information (FOI) Act, the Government Information (Public Access) Act (GIPA), privacy or records legislation or legislation specific to the organisation, where the request is not recurring or protracted and the decision to grant or refuse access or alteration does not:

  • set a precedent, or
  • lead to a major change in policies.

Records include:

  • applications
  • records of decisions or directions
  • related correspondence
  • records of alterations or notations to records claimed to be incomplete, incorrect, irrelevant, out of date or misleading
  • records relating to internal or external reviews or appeals of decisions.
 Retain minimum of 5 years after action completed, then destroy
16.1.5 Records relating to Freedom of Information (FOI) reporting, including Statements of Affairs, Summary of Affairs and periodical reports, and reporting under the Government Information (Public Access) Act (GIPA). Retain until administrative or reference use ceases, then destroy
16.1.6 Records relating to requests for access to or alteration of information under relevant legislation, e.g. Freedom of Information (FOI), the Government Information (Public Access) Act (GIPA), privacy or records legislation or legislation specific to the organisation, where:

  • the request was withdrawn
  • the request lapsed because of non payment of application fees
  • the request was not relevant to the organisation
  • the applicant was referred to another organisation, or
  • information was not supplied because it was already readily available to the public.
 Retain minimum of 2 years after action completed, then destroy
16.1.7 Records relating to the handling of requests for discretionary access to the organisation's records. Includes informal access under the Government Information (Public Access) Act (GIPA) and access that does not involve the application of legislation such as Freedom of Information (FOI), privacy or records legislation or legislation specific to the organisation e.g. requests for water and sewerage plans, access provided to family members or researchers given outside these Acts. Includes approvals and refusals. Retain minimum of 5 years after action completed, then destroy
16.1.8 Records relating to requests for the suppression of information in public registers maintained by the organisation, in accordance with privacy legislation. Includes approvals and refusals. Retain minimum of 5 years after action completed, 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 INFORMATION MANAGEMENT - Access for records relating to specific cases regarding access to or alteration of information.

No Description of records Disposal action
16.11.1 Records relating to the organisation's compliance with mandatory or optional standards or with statutory requirements regarding information management and the management of published materials, which do not involve individual cases, e.g. records documenting compliance with the Library Act 1939, international standards such as AS ISO 15489 Records Management, State Records Act 1998 and standards released under the Act or privacy or information protection and security requirements. Records include:

  • records of monitoring inspections
  • advice provided on compliance issues
  • records of lodgements of the organisation's publications under copyright legislation
  • records of allocation of ISBN/ISSN numbers, and URL addresses
  • records of use of official symbols
  • records of Internet domain names.

Note: Retention period is provided as a guideline only. Any records providing evidence of organisational compliance with statutory or administrative requirements must be kept as long as the organisation has to account for its actions.

 Retain minimum of 6 years after action completed, then destroy
16.11.2 Records relating to breaches or suspected breaches of privacy. Records include:

  • complaints
  • records of investigations
  • correspondence with stakeholders
  • records of conciliation
  • reports and recommendations
  • records of remedial action.
 Retain minimum of 10 years after action completed, then destroy
16.11.3 Records relating to breaches or suspected breaches of statutory requirements for the management of records or information resources other than privacy, e.g. breaches of the State Records Act, FOI or GIPA reporting obligations etc. Records include:

  • complaints
  • reports of breaches/suspected breaches
  • records of investigations
  • correspondence with stakeholders
  • records of conciliation
  • reports and recommendations
  • records of remedial action.
 Retain minimum of 5 years after action completed, then destroy
16.11.4 Records relating to breaches or failures to meet compliance requirements regarding the management of published materials. Retain minimum of 2 years after action completed, then destroy

EVALUATION

The process of determining the suitability of potential or existing programs, services or systems in relation to meeting the needs of the given situation. Includes ongoing monitoring.

No Description of records Disposal action
16.13.1 Records relating to the evaluation of potential or existing information management programs, operational services and systems. Retain minimum of 5 years after action completed, then destroy

INTELLECTUAL PROPERTY

The activities involved in providing a framework for managing the organisation's intellectual property.

See COMMUNITY SERVICES - Library and Public Information Access for records relating to the management of copying services in the organisation's public libraries.

No Description of records Disposal action
16.2.1 Records relating to the establishment, registration and documentation of the organisation's intellectual property, including patents, trademarks, designs such as logos, and all forms of copyright. Includes intellectual property registers. Retain minimum of 5 years after intellectual property rights lapse, then destroy
16.2.2 Records relating to managing applications:

  • received by the organisation for permission to reproduce published or unpublished material in which the organisation retains copyright, or
  • made by the organisation to reproduce material in which another party holds the copyright, where permission has been granted.
 Retain minimum of 7 years after action completed or minimum of 7 years after permission expires, whichever is longer, then destroy
16.2.3 Records relating to managing applications made by the organisation to reproduce material in which another party holds the copyright, where permission has not been granted. Retain until administrative or reference use ceases, then destroy
16.2.4 Records relating to the management of copying services in the organisation. Includes the administration of payments made to collecting societies and sampling undertaken to support the payment process. Retain minimum of 7 years after action completed, then destroy
16.2.5 Records relating to the establishment, negotiation, maintenance and review of agreements regarding ownership rights or use of intellectual property, e.g. agreements to invest copyright in another author, person or organisation. Retain minimum of 70 years after date of agreement or after expiry date specified in agreement, then destroy
16.2.6 Copyright declaration forms signed by users of the organisation's information services. Retain minimum of 4 years after action completed, then destroy

LIAISON

See COMMUNITY RELATIONS - Liaison for records relating to liaison with professional associations on routine matters.

OPERATIONS

See CORPORATE MANAGEMENT - Procedures for records relating to user manuals and guides.

See INFORMATION TECHNOLOGY - Security for records relating to updates to system security and access.

PLANNING

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

No Description of records Disposal action
16.14.1 Records relating to the development and review of the organisation's information management plans, e.g. Privacy Management Plans, operational plans, records and information management plans, vital records plans etc. Records include:

  • background research
  • notes of meetings or reports analysing issues and the outcomes of consultation
  • final and significant draft versions of plans
  • associated correspondence indicating who the plans apply to and responsibilities for their implementation.
 Retain minimum of 5 years after superseded, then destroy

PRINTING

See INFORMATION MANAGEMENT - Publications for records relating to the printing of publications.

PRIVACY

See CORPORATE MANAGEMENT - Agreements for records relating to privacy agreements.

See CORPORATE MANAGEMENT - Policy for records relating to privacy codes of practice.

See INFORMATION MANAGEMENT - Access for records relating to privacy case files.

See INFORMATION MANAGEMENT - Compliance for records relating to compliance with privacy regulations.

See INFORMATION MANAGEMENT - Planning for records relating to privacy management plans.

PUBLICATIONS

The activities associated with having works, irrespective of format, issued for sale or general distribution, internally or to the public. Includes drafting, manual or electronic production (design, layout, typesetting, printing, etc.), marketing and supply of internal and external publications and promotional materials. Publications include multi-media publications, CD ROM and online information services.

Notes:

  • Reference to ‘websites' in this activity includes intranet and extranet resources as well as public websites on the World Wide Web.
  • Organisations whose websites are outsourced to another organisation still have responsibility for retaining records of the web resources and may need to build this into contracts.

See General retention and disposal authority: administrative records PUBLICATION - Authorisation for records relating to authorisations given by individuals to the organisation granting permission to take and use images of individuals in publications, on websites and intranets.

See COMMUNITY RELATIONS - Corporate Image for records relating to logos and the development and approval designs for letterhead, stationery, publications etc.

See COMMUNITY RELATIONS - Marketing for records relating to promotional or general explanatory publications.

See CORPORATE MANAGEMENT - Reporting for statutory and other published reports relating to the organisation's core functions, such as annual reports.

See the General Retention and Disposal Authority Administrative records - INFORMATION MANAGERMENT - Acquistion for records relating to the acquisition of information management resources.

No Description of records Disposal action
16.7.1 Final version of publications (including publications produced in electronic format on websites) relating to core functions that contain detailed information or report on specific activities or responsibilities of the organisation. Required as State archives
16.7.2 Record copies, i.e. copies saved into a recordkeeping system, of pages from websites relating to core business, and records of substantial changes made.

Retain in accordance with disposal actions given under the relevant functions in this authority
16.7.3 Publications (including publications produced in electronic format on websites) that do not contain detailed information on specific activities or responsibilities of the organisation. Includes the production of internally directed publications for staff information purposes, e.g. employee newsletters. Records include drafts and final approved versions. Retain until administrative or reference use ceases, then destroy
16.7.4 Records relating to the preparation of materials and drafts for publication, including technical specifications. Records include:

  • records of graphic design
  • records of indexing, printing, binding
  • records of preparation of source files
  • records of loading to the website
  • records of quality assurance and testing of HTML files
  • records of production of electronic media (e.g. CD-ROMs, disks)
  • records of updating and maintaining information and websites.
 Retain until administrative or reference use ceases, then destroy
16.7.5 Superseded by 16.7.6.  
16.7.6 Records that demonstrate the structure and organisation of public and internal websites (e.g. intranets) and records of substantial changes made, e.g. site maps. Retain until superseded then destroy
16.7.7 Records of business transacted on websites. Records include completed and submitted online forms such as requests for services, feedback forms, customer surveys and emails or database entries resulting from data entry by the customer.

Retain in accordance with disposal actions given under the relevant functions in this authority
16.7.8

Final, approved versions of forms or templates, e.g. forms or templates for business transacted either manually or on websites.

Note: In some circumstances longer retention may be required, e.g. where the content of the forms may be significant for accountability and evidential purposes such as where the form documents applicable terms, conditions, disclaimers, etc., not otherwise documented.

Retain until superseded then destroy
16.7.9 Records relating to the development and review of forms, e.g. forms for business transacted either manually or on websites. Retain until administrative or reference use ceases, then destroy
16.7.10 Translations of the organisation's publications into other languages. Retain until superseded, updated or ceases to be of administrative or reference use, then destroy

RECORDS MANAGEMENT

The activities associated with creating, capturing, registering, classifying, indexing, storing, retrieving and disposing of records, and developing strategies to manage records.

See INFORMATION MANAGEMENT - Access for records relating to public access to records.

No Description of records Disposal action
16.8.1 Records relating to the transfer of records as State archives. Records include transfer proposals, consignment lists and related correspondence.

Retain in organisation or transfer to successor organisation as required
16.8.2 Records relating to the transfer of records to successor organisations as a consequence of changes in administrative arrangements or functions or privatisation. Retain minimum of 20 years after action completed, then destroy
16.8.3 Primary control records for records required as State archives,* which are required to facilitate access and give meaning and context to the records over time. Includes control records for major case management or registration systems concerned with the management of core functions. Records include:

  • indexes
  • correspondence/file registers or registration systems
  • metadata
  • final versions of thesauri developed by the organisation.

*Note: This includes current records as well as records maintained as part of an organisation's own archives.

 Required as State archives
16.8.4 Secondary control records. Records include:

  • file or container movement records (if secondary to the main registers and indexes)
  • reference sets of control records (e.g. within branches/regions of organisation where master control records are retained centrally)
  • resubmit, barcode and location lists
  • superseded sets of control records where information has been fully transferred to a new system
  • workflow tracking systems facilitating the tracking and monitoring of cases where the systems are not acting as records management systems.
 Retain until administrative or reference use ceases, then destroy
16.8.5 Records relating to the implementation of records disposal decisions. Includes internal lists and approval for the destruction of records, certificates of destruction etc. Retain minimum of 20 years after action completed, then destroy
16.8.6 Records relating to the temporary transfer of records to the custody of another organisation as a consequence of administrative arrangements. Records include listings or details of records transferred.

Retain as long as the custodial relationship exists and until the records are returned, then destroy
16.8.7 Records relating to the transfer of records to commercial storage. Records include consignment lists, proof of receipt of records by storage provider and related correspondence.

Retain while records remain in commercial storage, then destroy
16.8.8 Records relating to the research, development, implementation, maintenance and review of business classification schemes (BCS), thesauri for record titling, authorised abbreviations and metadata rules and dictionaries. Retain until administrative or reference use ceases, then destroy
16.8.9 Records relating to the receipt, dispatch and distribution of the organisation's mail. Includes receipts and/or registers for registered and certified mail. Retain minimum of 3 years after action completed, then destroy
16.8.10 Primary control records for records not required as State archives. Includes control records for major case management or registration systems concerned with the management of core functions. Records include:

  • indexes
  • correspondence/file registers or registration systems
  • metadata.

Note: Retention period is a minimum only. Records control systems for particular functions or activities may be required for longer periods depending on the risks associated with the conduct of particular activities and the potential for or likelihood of the organisation being required to provide evidence of the destruction of records. These should be determined in relation to the organisations’ business needs.

 Retain minimum of 20 years after records to which they relate are finally disposed of, then destroy
16.8.11 Records relating to the recall and return of records from offsite storage or from State archives. Retain minimum of 2 years after return of record, then destroy
16.8.12 Routine records censuses undertaken to monitor location control. Retain until administrative or reference use ceases, 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 to provide formal statements or findings of the results of the examination or investigation.

No Description of records Disposal action
16.9.1 Records relating to the development and review of reports regarding information management programs, services and systems. Records include background research, records relating to the outcomes of consultation, final and significant draft versions of reports. Retain minimum of 7 years after action completed, then destroy
16.9.2 Records relating to internal periodic reports on general administrative matters used to monitor recurring activities to support information management programs, services and systems. Records include background research, final and significant draft versions of reports. Retain minimum of 3 years after action completed, then destroy

STANDARDS

See INFORMATION MANAGEMENT - Compliance for records relating to compliance with information management standards.