Submitting a retention and disposal authority
There are two main stages in the process of obtaining approval for a retention and disposal authority:
- submitting an initial draft for review and comment by NSW State Archives and Records, and
- formally submitting a final agreed draft for approval by NSW State Archives and Records and its Board.
The same steps apply whether the draft authority is prepared in-house or by a consultant.
Stage 1: Submitting an initial draft for review
Step 1 The organisation's responsible officer...
- checks that the draft retention and disposal authority meets all organisational and statutory requirements
- checks that the draft authority and supporting documentation has been prepared in accordance with NSW State Archives and Records' procedures, and
- submits the draft authority and supporting documentation to NSW State Archives and Records.
Submit your initial draft and supporting documentation by email to the Manager of Recordkeeping Standards and Advice at govrec@records.nsw.gov.au. The draft authority should be submitted in the required template and should follow NSW State Archives and Records' conventions for content, layout and wording.
Step 2 NSW State Archives and Records staff...
- review the draft authority and supporting documentation
- request, if necessary, further information to clarify the scope of the authority or the decisions in it, and
- provide comments and feedback to the organisation on the draft authority.
Step 3 The organisation's responsible officer...
- responds to the comments by either revising the draft retention and disposal authority, clarifying and justifying the decisions in it or providing further information as required.
Note: Depending on the stage of development of the draft authority and the quality of the supporting information provided, Steps 2 and 3 may be repeated. Once an agreed upon draft has been finalised, you can proceed to Stage 2.
Stage 2: Submitting the final draft for approval
Step 1 The chief executive of the organisation...
- formally submits the final draft of the retention and disposal authority to the Manager of Recordkeeping Standards and Advice for approval at govrec@records.nsw.gov.au . The template for the standard covering letter is provided in Appendix 1. Submission by email to govrec@records.nsw.gov.au is encouraged.
Step 2 NSW State Archives and Records' staff...
- prepare the retention and disposal authority for submission to NSW State Archives and Records' Board and Executive Director, and
- submit the draft authority to the Board and Executive Director for approval.
Step 3 NSW State Archives and Records' Board...
- reviews and approves the retention and disposal authority, or
- reviews the authority and requests further clarification or changes to the authority. Note: If NSW State Archives and Records' Board does not approve the authority, you may need to go back to Step 3 of Stage 1 and either revise the draft authority, clarify the decisions in it or provide additional information as requested.
Once the authority has been approved by the Board...
approves the retention and disposal authority, and the Manager of Recordkeeping Standards and Advice notifies the organisation and forwards a copy of the approved authority.
Note: Once the Executive Director approves a retention and disposal authority it may be implemented without further reference to NSW State Archives and Records. See Implementing a retention and disposal authority and Destruction of records for advice on implementing disposal decisions.
Factors impacting on timing
The process of submitting a retention and disposal authority for approval usually takes a few months. While NSW State Archives and Records endeavours to provide comments on draft authorities within 8 weeks of receiving the draft, this depends on:
- the stage of development of the authority when it is first submitted for review
- the quality of the documentation submitted, and
- how many draft authorities from other organisations have also been submitted for review (authorities are usually reviewed in order of receipt).
The timing of the process also depends on:
- how many changes are required to finalise the draft retention and disposal authority, and
- when a final draft authority is submitted. NSW State Archives and Records' Board meets approximately every two months (February, April, June, August, October, December). The deadline for submission of the agreed upon final draft authority is 4 weeks prior to the meeting date.
Appraisal by NSW State Archives and Records
A major focus of the review of the draft retention and disposal authority by NSW State Archives and Records is to ensure the identification and application, where appropriate, of consistent retention periods and disposal actions for similar records across the public sector and to appraise which of the organisation's records are required as State archives. This appraisal will take into consideration recommendations by the organisation, previous appraisal decisions, benchmarking with other jurisdictions and our stated appraisal policy objectives. Remember that NSW State Archives and Records is appraising the value of the functions, activities and records of the organisation in the context of the whole of the NSW public sector.
NSW State Archives and Records may consult with stakeholders with expertise in the areas covered by the authority as part of their appraisal.
Approved retention and disposal authorities
The final approved version of the retention and disposal authority is maintained by NSW State Archives and Records.
Details and copies of approved retention and disposal authorities are available on the website.