Recordkeeping for Good Governance Toolkit GUIDELINE 7: Disposal Schedule for Common Administrative Functions Recordkeeping for Good Governance Toolkit Guideline 7: Disposal Schedule for Common Administrative Functions CONTENTS What is disposal? What is a disposal schedule? Why have a disposal schedule? Who is this Disposal Schedule for? Contents of the Disposal Schedule Criteria used to decide disposal actions How to use the Disposal Schedule Disposal Schedule for Common Administrative Functions Asset and Resources Management External Relations Financial Management Information Management Personnel and Establishment Strategic Management The original version of this guideline has been prepared by the Pacific Regional Branch of the International Council on Archives (PARBICA) for use by countries around the Pacific. This means that the guideline may refer to things that you are not familiar with or do not use in your country. For example, not all governments have an auditor-general who reviews the financial and other records of government departments. You may find that you need to change some of the advice in this guideline to suit your own government’s arrangements. To obtain an editable copy of this guideline, contact the national archives, public record office or other records authority in your country, or contact PARBICA at . WHAT IS DISPOSAL? Disposal (or disposition) of records does not necessarily mean destruction - it means what happens to a record at the end of its active life, which could be either destruction or the retention of the record as an archive (a record of permanent value). The usual records disposal actions are Archive or Destroy. WHAT IS A DISPOSAL SCHEDULE? A disposal schedule identifies classes or types of records and assigns retention periods and disposal actions to the classes. It takes into account any legal requirements that a government might have for the retention and maintenance of particular records. In other words, it is a timetable that tells you when a type of record is ready for disposal (retention period) and what should happen to it (disposal action). It provides a formal and continuing authority for implementing decisions on the value of the records specified in the schedule. Note that retention periods and disposal actions are only applied to records once they have become inactive – which means that they are no longer in active use: they may be used for reference, but no further information is being added to them. Guideline 8 Implementing the Disposal Schedule for Common Administrative Functions includes some guidance on deciding when a record is inactive. WHY HAVE A DISPOSAL SCHEDULE? Robust systems for the creation and management of records and the preservation of archives are key foundations of good business practice, as well as essential to supporting good governance and collective memory in all countries, states and territories in the Pacific region. These systems include tools for identifying which records should be kept as archives and which are of short term value. Most countries, states and territories in the Pacific region will have archives legislation that requires authorisation before disposal of records. This Disposal Schedule will assist in making sound decisions about the disposal of records that can then be authorised under specific legislation. Disposal decisions are important and the disposal of records is a process that should be taken seriously and managed appropriately. The International Standard on Records Management (ISO 15489) recommends that determining how long records should be kept ‘is most effectively undertaken in a systematic way’. A disposal schedule: • Provides a systematic way to determine and implement retention and disposal decisions quickly over a range of records, reducing the need for appraisal of each and every individual file or document • Ensures that inactive records are efficiently maintained, and legal requirements for records retention are complied with • Ensures consistency of decision-making about disposal actions • Prevents the premature destruction of records that need to be retained for a specified period to satisfy legal, financial and other requirements of public administration • Authorises the timely destruction of inactive records that are no longer required for business or community use, thus making it easier to retrieve remaining records • Ensures that the records of permanent value to the government and the community are preserved • Ensures that records essential for on-going business requirements are retained • Assists in effective use of financial and staff resources by ensuring that only necessary information is maintained and accessed by staff • Ensures efficient use of storage facilities so that money is not wasted on the storage of records that do not have to be retained. WHO IS THIS DISPOSAL SCHEDULE FOR? The Pacific Regional Branch of the International Council on Archives (PARBICA) has developed this Disposal Schedule to provide a starting point for Pacific Island governments and other organisations who wish to implement records disposal for their common administrative records. It was drafted in consultation with a working group which was made up of representatives from the following countries: • Australia; • Cook Islands; • Fiji; • Nauru; • New Zealand; • Palau; • Papua New Guinea; • Samoa; and • Vanuatu This Disposal Schedule maps to Guideline 4 Administrative Records Plan of the Recordkeeping for Goof Governance Toolkit. However, it is possible to use this Disposal Schedule for common administrative functions without having used the Records Plan. The Disposal Schedule can be applied to records in any filing system and even to records that have not been organised into a filing system. Guideline 8 Implementing the Disposal Schedule for Common Administrative Functions has more information about how to apply the Disposal Schedule. This Disposal Schedule should be considered a ‘model’ from which you can build your own Disposal Schedule for a Government or for individual Departments or Ministries. The Disposal Schedule covers all of the kinds of administrative records which most government Ministries and Departments are likely to create and use. Each country that uses the Disposal Schedule will need to make some changes to some parts of the text to make sure that it fits in with its own legal, administrative and cultural requirements. There is more information about how to adapt the Disposal Schedule, and also how to implement it in your own organisation, in Guideline 8 Implementing the Disposal Schedule for Common Administrative Functions and Guideline 9 Adapting the Disposal Schedule for Common Administrative Functions. CONTENTS OF THE DISPOSAL SCHEDULE This Disposal Schedule does not include information about the records of the “core business” of government departments. The core business of a government body is the work it is responsible for which no other part of the government does. For example, only the Ministry of Health manages hospitals, and only the Ministry of Education runs schools. Each Ministry or Department will need to produce its own Disposal Schedule or list that gives instructions on how to dispose of records about these specific types of work. There is more information about how to appraise core business for value in Guideline 10 Starting an Appraisal Programme. The Disposal Schedule is based upon Guideline 4 Administrative Records Plan of the Recordkeeping for Good Governance Toolkit. These are the records that every organisation creates in managing itself. The Disposal Schedule is divided into 6 sections, each comprising a function as determined in the Records Plan. The functions are: • Asset and Resources Management: The function of managing the physical resources the organisation needs to carry out its business, including vehicles, land, buildings, equipment, services, technology (including software) and supplies. • External Relations: The function of communicating with external groups, including the public, professional and industry groups and international sister organisations. • Financial Management: The function of managing the organisation’s financial resources. • Information Management: The function of creating, acquiring and managing the organisation’s information resources and services including its files and library materials. • Personnel and Establishments: The function of managing the organisation’s staff, their entitlements and the structures within which they are employed. • Strategic Management: The function of setting long-term goals for the organisation and directing and managing the organisation’s overall activities, processes and resources so that it can achieve them. Within each section, the schedule lists alphabetically the activities that occur under the particular function (2nd column), describes them (3rd column) and provides some examples of records in the 4th column. Please note that the examples of records are only examples and not a complete list of all records under these activities. The Disposal Action (5th column) indicates whether the records’ final disposal is Archive or Destroy. The criteria used to decide disposal actions in the model Disposal Schedule are listed later in this document. The Retention Period column (6th column) defines the period of time the record should be kept after it is inactive and before its disposal. The model Disposal Schedule provides a recommended minimum retention period for records where the disposal action is DESTROY. This means that when you adapt the Disposal Schedule for your own country or organisation, the Disposal Schedule suggests the least amount of time you should keep the record for. You can decide to keep the record for longer. Guideline 8 Implementing the Disposal Schedule for Common Administrative Functions has advice on how to decide a retention period. There is no recommended minimum retention period for records where the disposal action is ARCHIVE as the National Archives or similar body in each country will have its own rules about the transfer of records to its custody. The function + activity + description + example + disposal action + retention period are what is called the disposal class. Each disposal class is given a reference number (1st column). The reference number provides a ‘shorthand’ way of referring to the disposal class. The reference number has been designed to look different from file reference numbers – it has an alphabetical prefix of DS (for Disposal Schedule), then a number for each function and for each disposal class. For example. DS1/2.1 is the reference number for the disposal class of Asset and Resource Management/Consultation and Advice which has a disposal action of ‘destroy’ and a retention period of ‘3 years after the record is inactive’. There is also a column that describes the disposal criteria (7th column). The disposal criteria are the criteria used to decide on the disposal action. There is a list of the disposal criteria used in the development of the model Disposal Schedule later in this document. The table on the next page lists the columns in the Disposal Schedule and describes their content. Column title Content Ref. No. The reference number for each individual entry (disposal class) in the schedule; e.g. DS1/2.1 Activity The activity that makes up a disposal class. Although activities generally map to the activities in the Record Plan, sometimes they have been divided up into more specific classes, such as ‘Banking – major loans’ and ‘Banking - minor loans’, because the disposal action is different for major and minor loans Description A description of the activity, taken from the Records Plan Examples Examples of the types of records that might be created by this activity. It is not a complete list and you can add to it. Disposal action/ decision What should happen to the record once it is non-current and its retention period is reached. The disposal action is either Archive or Destroy Retention period (once inactive) The total period of time for which the record is kept after it has become inactive and before the final disposal action is applied. For records whose disposal is Archive this means retention period before transfer to the custody of your archives, or transfer to ‘archives’ storage as opposed to non-current storage For records whose disposal is Destroy, this means retention period until destruction. Disposal criteria The disposal criterion or criteria used to determine the disposal action. CRITERIA USED TO DECIDE DISPOSAL ACTIONS The working group that developed the Disposal Schedule first developed disposal criteria to assist in deciding the disposal actions for the classes of records. The criteria are used to ‘measure’ the value of the records. For each class of records in the Disposal Schedule, the criteria were considered to decide the value of the class of records. Criteria for the permanent retention of records as archives (ARCHIVE) • Records that provide evidence of key events that are of significant national interest (supporting national identity) • history of country • history of community • records relating to historical national security issues • Records that provide evidence of key events that are significant to a particular government department • history of department • administrative history of department (e.g. recordkeeping systems) • Records that provide evidence of major decisions of government departments • Records that are of cultural/historical significance to the country/department • Records that provide evidence of precedent setting cases • Records that are required for long term accountability or legal requirements • Records that provide evidence of, and assist in understanding, the country’s relationship with the environment and its natural resources • Records of the proceedings of Commissions of Inquiry • Evidence of high level inter-governmental relations • Records that are indexes and registers to other records • Any records that relate to the governing of other countries in the Pacific • All records created before Grandparent date (date before which few records have survived) • All records created before independence/self-government was gained Criteria for the destruction of records (DESTROY) • Duplicates • within a government department • across government departments • Records that do not have historic significance because they are summarised in a better record elsewhere • within a government department • across government departments • Records that are no longer of evidential value because the accountability or legal requirement for retention has been met • Drafts that do not contain significant changes to the content of the record • Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria • Records received for information only (such as newsletters, circulars from other organisations, copies of journal articles, downloads from web-sites). HOW TO USE THE DISPOSAL SCHEDULE The Disposal Schedule is a model Disposal Schedule and it must be adapted for your own country’s legal, administrative and cultural requirements before it can be applied to inactive records. This Disposal Schedule can be used to determine retention periods and disposal actions for files that document the administrative or support functions that every government Ministry carries out. This schedule should not be used by Departments or Ministries in disposing of records which document their responsibilities in providing services to the whole of government (their records of their core business). For example, a Ministry of Finance can use this schedule to dispose of the Ministry’s own internal financial records, but cannot apply the same rules to records about its monitoring of all government financial dealings. Guideline 10 Starting an Appraisal Programme provide advice about the steps for disposal of core records. There are two parts to using this model Disposal Schedule. The first part is adapting the Disposal Schedule for use in your jurisdiction. It can be adapted for use across a whole jurisdiction by the National Archives or relevant body, or for use within individual Departments or Ministries. The second part is applying the completed adapted Disposal Schedule to inactive records. This process is called implementing the Schedule, or sentencing. It consists of deciding the retention periods and disposal actions for specific records according to what classes in the schedule the records belong to and then implementing the disposal actions as required (archive or destroy). PARBICA has developed guidelines on adapting and implementing the Disposal Schedule for your own jurisdiction or organisation. These guidelines can be found on the PARBICA website. DISPOSAL SCHEDULE FOR COMMON ADMINISTRATIVE FUNCTIONS Asset and Resources Management The function of managing the physical resources the organisation needs to carry out its business, including vehicles, land, buildings, equipment, services, technology (including software) and supplies. Note: The function described in this class is a corporate administrative function. It does not apply to the core function of managing national assets Ref. no. Activity Description of activity Examples of records Disposal action Recommended minimum retention period (once records are inactive) Appraisal reason/disposal criteria DS1/1.1 Acquisition The activity of adding materials to the organisation’s physical resources Tender documents; leasing, hiring and purchase contracts; letters and emails regarding donation of assets or other equipment and stores Destroy* 7 years after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met *NOTE: *This disposal action does not apply to the master audit report held by the relevant core functional agency (e.g. Audit Department), which is a core record of that agency DS1/2.1 Consultation and Advice The activity of communicating with others inside the organisation and externally about how its assets and other physical resources are managed Agenda and minutes of meetings; emails, circulars and instructions to staff on how to use office equipment Destroy 3 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS1/3.1 Disposal - administration (except land) The activity of discarding assets and physical resources the organisation no longer needs Copies of sales advertisements; emails and letters offering to buy assets Destroy 1 year after the disposal activity is completed Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS1/3.2 Disposal - copies of legal documents (except land) The activity of discarding assets and physical resources the organisation no longer needs Vehicle registration transfer documentation, deeds of sale Destroy 7 years after the disposal activity is completed Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS1/3.3 Disposal - land The activity of discarding land assets and resources the organisation no longer needs Copies of sales advertisements; emails and letters offering to buy assets; deeds of sale Destroy* 10 years after the disposal activity is completed Records that are no longer of evidential value because the accountability or legal requirement for retention has been met *NOTE: *This document assumes that the actual legal instruments of land title and transfer are held by the department/ministry responsible for recording and maintaining land information and transfer DS1/4.1 Evaluation and Reporting - major assets (land and buildings) The activity of assessing the organisation’s assets and resources and the way they are managed, and reporting the results to others Internal and external reports on assets and resources; condition reports on buildings and equipment; asset valuations Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability or legal requirements DS1/4.2 Evaluation and Reporting - assets other than land and buildings The activity of assessing the organisation’s assets and resources and the way they are managed, and reporting the results to others Internal and external reports on assets and resources; condition reports on equipment; asset valuations Destroy 3 years after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS1/5.1 Maintenance The activity of caring for, servicing, and repairing assets and resources to ensure they remain in working order Maintenance contracts; renovation plans Destroy 1 year after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS1/6.1 Operation - other than land use The activity of allocating, distributing and using assets and physical resources Vehicle log books; office occupancy plans; utilities supply contracts; software license agreements Destroy 1 year after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS1/6.2 Operation - land use The activity of allocating, distributing and using assets and physical resources Information about land use, allocation of land Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of major decisions of government departments; Records that are required for long-term accountability or legal requirements DS1/7.1 Planning The activity of developing strategies and systems to mange the organisation’s assets and resources Records documenting the outcome of risk assessments; final drafts of plans; building plans; disaster plans Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS1/8.1 Policy The activity of developing and deciding on the organisation’s asset and resources priorities and directions Drafts of policies and working papers; policy proposals; research papers and reports; final policy statements Destroy 7 years after the record becomes inactive* Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria *NOTE: *Policy documents that have been received as circulated instructions from other agencies may be destroyed as soon as they are superseded, but the agency which created and circulated the policy should treat these records as core records DS1/9.1 Procedures The activity of setting down methods of carrying out the organisation’s assets and resources processes and activities Drafts and final copies of manuals, handbooks and guidelines Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS1/10.1 Registration The activity of recording the assets and equipment the organisation owns and keeping track of their location and condition Asset registers; vehicle registration certificates; inspection reports Destroy 7 years after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met External Relations The function of communicating with external groups, including the public, donors, professional and industry groups and international sister organisations. NOTE: The function described in this class is a corporate administrative function. It does NOT include communications with unions on industrial relations matters or communication with other parts of Government and it does NOT apply to the core functions of a Foreign Affairs Department or Ministry Ref no. Activity Description of activity Examples of records Disposal action Recommended minimum retention period (once records are inactive) Appraisal reason/disposal criteria DS2/1.1 Ceremonies, Events and Visits - major* The activity of arranging formal or informal events of a ceremonial nature Drafts of speeches; emails, letters and other correspondence with catering and other suppliers; emails, minutes and other correspondence with VIPs and their staff Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of key events that are significant to a particular government department *DEFINITION: *Events of a significant nature. See Guideline 8 Implementing the Disposal Schedule for further information about defining ‘significant’ DS2/1.2 Ceremonies, Events and Visits - minor* The activity of arranging formal or informal events of a ceremonial nature Drafts of speeches; emails, letters and other correspondence with catering and other suppliers; emails, minutes and other correspondence with VIPs and their staff Destroy 3 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria *DEFINITION: *Events that do not fall into the 'major' category DS2/2.1 Conferences, Seminars and Workshops - administration* The activity of arranging formal or informal events of a business nature that are designed to educate or allow discussion Emails, letters and other correspondence with catering and other suppliers; itineraries and other travel arrangements for speakers Destroy 1 year after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met *NOTE *This function is about conferences, seminars and workshops arranged by the organisation. It does not cover conferences etc arranged by someone else which the organisation’s staff attend DS2/2.2 Conferences, Seminars and Workshops - content The activity of arranging formal or informal events of a business nature that are designed to educate or allow discussion Drafts of speeches; conference resolutions and declarations; agenda and minutes of meetings Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of key events that are significant to a particular government department DS2/3.1 Complaints and Feedback The activity of receiving and responding to criticisms and suggestions on the organisation’s services and performance from members of the public or other external bodies Feedback forms; emails, letters and other correspondence providing feedback to the organisation or responding to that feedback; survey designs and forms Destroy 3 years after the record becomes inactive Records that do not have historic significance because they are summarised in a better record elsewhere DS2/3.2 Complaints and Feedback - summary records The activity of receiving and responding to criticisms and suggestions on the organisation’s services and performance from members of the public or other external bodies Complaints registers; survey results Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are of cultural/historical significance to the department DS2/4.1 Evaluation and Reporting The activity of assessing the organisation’s external relations and the way they are managed, and reporting the results to others Internal and external reports on external relations; reports from staff who have represented the organisation on external or international committees and organisations Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are of cultural/historical significance to the department DS2/5.1 Exhibitions not developed by the organisation The activity of mounting displays that inform or educate the viewer Emails and letters concerning planning for the event, day-to-day management of the event Destroy 1 year after the record becomes inactive Records that do not have historic significance because they are summarised in a better record elsewhere (in the originating organisation DS2/5.2 Exhibitions - administration The activity of mounting displays that inform or educate the viewer Draft design materials, drafts of text panels and labels; emails and letters concerning planning for the event, day-to-day management of the event Destroy 1 year after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS2/5.3 Exhibitions - content and agreements The activity of mounting displays that inform or educate the viewer Briefs for designers; final designs, approvals of designs and text; agreements for loans of artworks Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of key events that are significant to a particular government department DS2/6.1 Marketing - administration The activity of administering the promotion of the organisation’s activities and products Research reports; order forms for advertising placements Destroy 3 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS2/6.2 Marketing - promotional photographs The activity of promoting the organisation’s activities and products Photographs of the organisation’s activities Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are of cultural/historical significance to the country or department DS2/7.1 Media Relations - administration The activity of establishing and maintaining relationships with the media Drafts of press releases; invitations to media events such as photo opportunities; press clippings Destroy 1 year after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS2/7.2 Media Relations - final public documents The activity of establishing and maintaining relationships with the media Final press releases; awareness campaigns Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are of cultural/historical significance to the country or department DS2/8.1 Networking, Liaison and Membership* The activity of managing the organisation’s membership of professional or industry bodies and making general contact with individuals or other bodies that share an interest with the organisation Emails, letters and other correspondence with professional bodies or other similar organisations; membership agreements; contact lists; agenda and minutes of meetings; reports and resolutions of committees Destroy 3 years after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met *NOTE: *This activity does not relate to records where the networking, liaison and membership is a result of the CORE function of an organisation, such as a National Archives' membership of PARBICA DS2/9.1 Planning The activity of developing strategies and systems to mange the organisation’s external relations Working papers and drafts of plans; agenda, papers and minutes of consultative planning meetings Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS2/10.1 Policy The activity of developing and deciding on the organisation’s external relations. priorities and directions. Drafts of policies and working papers; policy proposals; research papers and reports; final policy statements. Archive* Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of major decisions of government departments *NOTE: *Policy documents that have been received as circulated instructions from other agencies may be destroyed as soon as they are superseded, but the agency which created and circulated the policy should treat these records as core records DS2/11.1 Procedures The activity of setting down methods of carrying out the organisation’s external relations. processes and activities. Drafts and final copies of manuals, handbooks and guidelines. Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS2/12.1 Project Support and Cooperation – management and administration of all projects The activity of working with non-government organisations to help them to carry out projects that relate to the organisation’s work Facilitative records such as meeting arrangements, day-to-day project management records, drafts of contracts and agreements Destroy 3 years after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS2/12.2 Project Support and Cooperation - major projects* The activity of working with non-government organisations to help them to carry out projects that relate to the organisation’s work Contracts, agreements and memoranda of understanding; project briefs; project reviews and reports; agenda and minutes of meetings Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are of cultural/historical significance to the country or department *DEFINITION: *Projects of a significant nature. See Guideline 8 Implementing the Disposal Schedule for further information about how to define significant DS2/12.3 Project Support and Cooperation - minor projects* The activity of working with non-government organisations to help them to carry out projects that relate to the organisation’s work Contracts, agreements and memoranda of understanding; project briefs; project reviews and reports; agenda and minutes of meetings Destroy 3 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria *DEFINITION: *Projects that do not fall into the major category DS2/13.1 Publishing and Printing - administration and drafts The activity of producing materials that inform people about the organisation and its functions Briefs for designers; specifications for printers; drafts of certificates, newsletters and other in-house designs Destroy 1 year after final publication is produced Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS2/13.2 Publishing and Printing - summary records The activity of producing materials that inform people about the organisation and its functions Lists or registers of publications Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are of cultural/historical significance to the country or department DS2/13.3 Publishing and Printing –publications not lodged under legal deposit The activity of producing materials that inform people about the organisation and its functions Publications not lodged at the National Library or similar under legal deposit schemes Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are of cultural/historical significance to the country or department DS2/13.4 Publishing and Printing –publications lodged under legal deposit The activity of producing materials that inform people about the organisation and its functions Publications lodged at the National Library or similar under legal deposit schemes Destroy When superseded or no longer required for information provision Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria Financial Management The function of managing the organisation’s financial resources Note: The function described in this class is a corporate administrative function, and does not apply to the core functions of an Audit Office, Department, or Ministry, a Treasury Department or Ministry, or a Finance Department or Ministry Ref no. Activity Description of activity Examples of records (note that this is not a complete list) Disposal action Recommended minimum retention period (once records are inactive) Appraisal reason/disposal criteria DS3/1.1 Accounting The activity of collecting, recording and assessing information about the financial transactions and position of the organisation Journals, ledgers, receipt and revenue records, sales and purchase orders, invoices, claims, vouchers, cheques and cheque butts, cash books, creditor and debtor registers and lists; credit card statements and acquittals; petty cash books and receipts; profit and loss statements and balance sheets Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met Records that do not have historic significance because they are summarised in a better record elsewhere DS3/2.1 Audit – internal - records of process The activity of officially checking the organisation’s activities to ensure it is meeting relevant standards. Minutes of entry interviews; terms of reference documents; internal performance audit plans; performance audit reports; agenda, papers and minutes of Internal Audit Committee meetings. Destroy 7 years after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met. DS3/2.2 Audit – internal – final reports The activity of officially checking the organisation’s activities to ensure it is meeting relevant standards. Final internal audit reports Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability or legal requirements; records that provide evidence of major decisions of government departments DS3/2.3 Audit - external The activity of officially checking the organisation’s activities to ensure it is meeting relevant standards. Letters of engagement, letters and emails about the audit process and timetable, drafts of report, final report; responses to report Destroy* 7 years after the report is tabled and any resulting investigations are completed Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria *NOTE: *This disposal action does not apply to the master audit report held by the relevant core functional agency (e.g. Audit Department) DS3/3.1 Authorisations and Delegations The activity of deciding and documenting which offers within the organisation are permitted to authorise financial transaction Instruments of delegation, formal financial instructions to staff, lists and registers of authorised officers Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS3/4.1 Banking management The activity of managing the organisation’s bank accounts, including trust and investment accounts Bank statements, deposit books, bank reconciliations, investment and dividend statements Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS3/4.2 Banking - major loans* The activity of managing the organisation’s major loan accounts and of repaying loans Loan agreements, investment and dividend statements for the loan accounts Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability; Records that provide evidence of the major decisions of government departments *DEFINITION: * Loans over a certain amount, to be determined when the Disposal Schedule is adapted. See Guideline 9 Adapting the Disposal Schedule for further information DS3/4.3 Banking - minor loans* The activity of managing the organisation’s minor loan accounts and of repaying loans Loan agreements, investment and dividend statements for the loan accounts Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met *DEFINITION: *Loans that do not fit into the major category DS3/5.1 Budgeting - drafts and process documentation The activity of planning for the use of the organisation’s expected funds and costs and allocating them within the organisations Draft of budget allocations, New Spending Proposals and New Policy Proposals, appropriations; financial transfers /virements/ intersubhead transfers Destroy End of financial year Records that do not have historic significance because they are summarised in a better record elsewhere DS3/5.2 Budgeting - finals The activity of planning for the use of the organisation’s expected funds and costs and allocating them within the organisations Final budget proposals Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS3/6.1 Consultation and Advice – circulated material The activity of speaking with others inside the organisation and externally about how its financial resources are managed Copies of Treasury instructions and circulars, internal instructions to staff on financial procedures, reports analysing relevant accounting requirements Destroy 3 years after the record becomes inactive Records received for information only DS3/6.2 Consultation and Advice – non-circulated material The activity of speaking with others inside the organisation and externally about how its financial resources are managed Records of internal discussions and advice to particular groups not in the form of circulated instructions Destroy 7 years after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS3/7.1 Donor Funds Management - administration The activity of managing, monitoring and accounting for the use of funds provided by aid donors and other external bodies Acquittals and other accounting records, transaction ledgers, financial reports and reconciliations, Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS3/7.2 Donor Funds Management - registers and criteria The activity of managing, monitoring and accounting for the use of funds provided by aid donors and other external bodies Donor and project registers, aid disbursement criteria Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability; Records that provide evidence of the major decisions of government departments DS3/8.1 Evaluation and Reporting The activity of assessing the organisation’s financial resources and the way they are managed, and reporting the results to others Internal monthly and quarterly reports on income and spending Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS3/8.2 Evaluation and Reporting The activity of assessing the organisation’s financial resources and the way they are managed, and reporting the results to others Reports on reviews of financial arrangements and procedures Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability; Records that provide evidence of the major decisions of government departments DS3/9.1 Financial Statements The activity of formally reporting on the organisation’s financial position to the government Formal financial statements submitted to Treasury; Briefs prepared for PAC hearings Destroy* Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that do not have historic significance because they are summarised in a better record elsewhere *NOTE: *This disposal action does not apply to the master copies held by Treasury DS3/10.1 Grants - administration The activity of providing money to external organisations to allow them to carry out specified activities and projects Invoices and receipts submitted by grant recipients Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS3/10.2 Grants - major agreements The activity of providing money to external organisations to allow them to carry out specified activities and projects Copies of agreements that set out terms and conditions for major grants; invoices and receipts submitted by grant recipients Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability; Records that provide evidence of the major decisions of government departments *DEFINITION: * Grants over a certain amount, to be determined when the Disposal Schedule is adapted. See Guideline 9 Adapting the Disposal Schedule for further information DS3/10.3 Grants - minor agreements The activity of providing money to external organisations to allow them to carry out specified activities and projects Copies of agreements that set out terms and conditions for minor grants; invoices and receipts submitted by grant recipients Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met *DEFINITION: *Grants that do not fit into the major category DS3/11.1 Insurance The activity of taking out a premium to cover the loss of or damage to an asset or individual for which the organisation is responsible Insurance policy and renewal documents, records of investigation of claims Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS3/12.1 Investigations The activity of looking into possible corruption, fraud or mismanagement of government money or property Emails, letters and other correspondence claiming that corruption or fraud has occurred; instructions or advice to investigating authorities including police and auditors; evidence collected as part of an investigation; reports of investigations Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of a key event that is significant to a particular government department DS3/13.1 Payroll Administration The activity of making regular or casual payments of salary, wages and allowances to staff members Authorisations from staff to make deductions from salaries; spreadsheets and calculations of allowances payable, receipts and statements from provident funds or other payees Destroy Refer to the country’s legislation about financial records. If there is no legislation that states a retention period, then 7 - 10 years after the record becomes inactive is recommended Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS3/14.1 Planning The activity of developing strategies and systems to mange the organisation’s financial resources. Working papers and drafts of plans; agenda, papers and minutes of consultative planning meetings. Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS3/15.1 Policy The activity of developing and deciding on the organisation’s financial management priorities and directions. Drafts of policies and working papers; policy proposals; research papers and reports; final policy statements. Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS3/16.1 Procedures The activity of setting down methods of carrying out the organisation’s financial management processes and activities. Drafts and final copies of manuals, handbooks and guidelines. Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS3/17.1 Tendering The activity of receiving and assessing offers to supply goods and services to the organisation. Requests for tender or quotation; specifications; agenda and minutes of tender boards and committees; lists of approved vendors. Destroy 7 years after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met Information Management The function of creating, acquiring and managing the organisation’s information resources and services including its files and library materials. Ref no. Activity Description of activity Examples of records (note that this is not a complete list) Disposal action Recommended minimum retention period (once records are inactive) Appraisal reason/disposal criteria DS4/1.1 Access – non-FOI requests and cases The activity of providing access to the organisation’s information resources to staff or members of the public Registers of library members; photocopy request forms Destroy 1 year after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS4/1.2 Access – FOI requests and cases The activity of providing access to the organisation’s information resources to staff or members of the public Letters and emails about FOI cases, records of the fulfilment of FOI requests Destroy* 2- 3 years after request is completed or case is closed** Records that are no longer of evidential value because the accountability or legal requirement for retention has been met *NOTE: *This disposal action does not apply to Ombudsmen investigations or case files, which are the core records of the Ombudsmen’s office **This retention period does not apply if the records are required by the Ombudsmen for investigation. Records should be kept until any investigation is completed DS4/2.1 Acquisition The activity of adding materials to the organisation’s information resources Letters and emails offering and accepting donations; publishers’ order forms; inter-library loan forms Destroy* 2 years after the record becomes inactive *NOTE: *This disposal action does not apply to the donation records of collecting organisations such as archives or libraries, which are core records for these organisations DS4/3.1 Control – file registration records The activity of keeping track of the organisation’s information resources File registers, records plans. Archive Refer to legislation or National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of key events of significance to a particular government department (evidence of the recordkeeping systems) DS4/3.2 Control – other control documentation The activity of keeping track of the organisation’s information resources File movement cards; library catalogues, library request forms, new file request forms Destroy 2 year s after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS4/4.1 Consultation and advice The activity of speaking with others inside the organisation and externally about how its information resources are managed Agenda and minutes of meetings; emails and instructions to staff on how to use library and records systems Destroy 3 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS4/5.1 Disposal – records The activity of discarding information the organisation no longer needs Lists of destroyed records; lists of records sent to the Archives Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of key events of significance to a particular government department (evidence of the recordkeeping systems) DS4/5.2 Disposal - library The activity of discarding information the organisation no longer needs Lists of library books discarded; records of the sale or disposal of library books and journals Destroy 3 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS4/6.1 Evaluation and reporting The activity of assessing the organisation’s information resources and the way they are managed, and reporting the results to others Internal and external reports on library use and registry performance; progress and final reports on implementation of new library and records management systems Destroy 3 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS4/7.1 Intellectual property - management The activity of protecting the organisation’s own intellectual property Patent and copyright applications; requests for the use of the organisation’s intellectual property; copyright registers Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability or legal reasons DS4/7.2 Intellectual property – use of others’ IP The activity of using the intellectual property of others copyright declaration forms; requests for permission to use; licensing agreements Destroy When use of 3rd party intellectual property ceases Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS4/8.1 Planning The activity of developing strategies and systems to mange the organisation’s information resources Records documenting the outcome of risk assessments; final drafts of plans Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS4/9.1 Policy The activity of developing and deciding on the organisation’s information management priorities and directions Drafts of policies and working papers; policy proposals; research papers and reports; final policy statements Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS4/10.1 Procedures The activity of setting down methods of carrying out the organisation’s information management processes and activities Drafts and final copies of procedure manuals, handbooks and guidelines Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS4/11.1 Publishing and printing The activity of producing internal communications and other materials that inform staff about the information resources of the organisation Final drafts of manuals and other publications; letters and emails giving instructions to designers and printers Destroy 1 year after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS4/12.1 Storage and conservation The activity of storing and caring for the organisation’s information resources Pest control plans; registers of key holders; records of conservation treatment of individual records Destroy 1 year after the record is superseded or become inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria Personnel and Establishment The function of managing the organisation’s staff, their entitlements and the structures within which they are employed. Ref no. Activity Description of activity Examples of records (note that this is not a complete list) Disposal action Recommended minimum retention period (once records are inactive) Appraisal reason/disposal criteria DS5/1.1 Authorisations and delegations The activity of deciding and documenting which officers within the organisation are permitted to authorise staffing changes and decisions Instruments of delegation; formal personnel instructions to staff; lists and registers of authorised officers Destroy 7 years after the record is superseded Records that are no longer of evidential value because the accountability or legal requirement for retention has been met. DS5/2.1 Consultation and advice - internal The activity of communicating with others inside the organisation about how its staff are managed Internal instructions to staff on personnel procedures; reports analysing relevant personnel requirements Destroy 7 years after the record is superseded Records that are no longer of evidential value because the accountability or legal requirement for retention has been met. DS5/2.2 Consultation and advice - external The activity of communicating with others externally about how the organisation’s staff are managed Copies of Public Service Commission instructions and circulars; records of advice received from external sources Destroy Once the record has been superseded Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS5/3.1 Grievances The activity of hearing, judging and resolving complaints made by and disputes between individual employees Letters, emails and other correspondence about complaints; documents appointing review panels; investigation reports Destroy 7 years after the case is resolved Records that are no longer of evidential value because the accountability or legal requirement for retention has been met. DS5/4.1 Industrial relations The activity of formally dealing with employees and their representatives as a group Agenda, papers and minutes of meetings with unions or other staff representative groups; internal emails, minutes and memos discussing the organisation’s response to industrial disputes Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS5/5.1 Job design The activity of evaluating tasks and deciding on the appropriate position description, classification, banding and salary for a position in the organisation Position descriptions and selection criteria; reports on job classifications. Destroy 3 years after the record is superseded tor otherwise becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS5/6.1 Occupational health and safety – fatalities and court cases The activity of ensuring that the organisation complies with requirements to provide a safe and healthy workplace Accident and incident reports (fatalities); reports of accident investigations (fatalities); briefings to Counsel, case records Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of key events that are significant to the department DS5/6.2 Occupational health and safety – records not about fatalities and court cases The activity of ensuring that the organisation complies with requirements to provide a safe and healthy workplace Accident and incident reports (non-fatality); reports of accident investigations (non-fatality); agenda, papers and minutes of OH&S committee meetings; inspection reports Destroy 10 years after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met DS5/7.1 Planning The activity of developing strategies and systems to mange the organisation’s personnel and establishment Working papers and drafts of plans; agenda, papers and minutes of consultative planning meetings. Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS5/8.1 Policy The activity of developing and deciding on the organisation’s personnel and establishment priorities and directions Drafts of policies and working papers; policy proposals; research papers and reports; final policy statements. Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS5/9.1 Procedures The activity of setting down methods of carrying out the organisation’s personnel and establishment processes and activities. Drafts and final copies of manuals, handbooks and guidelines. Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS5/10.1 Recruitment and selection The activity of choosing the most appropriate person to hold a post within the organisational structure Recruitment request forms and approvals; copies of interview questions; selection reports; letters to unsuccessful candidates CVs of unsuccessful candidates.* Destroy 6 months after the position is filled Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria NOTE * Information provided by and about the successful candidate should be filed on the Staff Case Management or Personal/Personnel file for the successful candidate DS5/11.1 Restructuring – internally created records The activity of deciding the number and level of and reporting lines for staff required for the organisation to meet its goals. Organisation charts; directives from PSC or the Minister on organisation structures; structure review reports. Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of key events that are of significance to a particular government department (history of department); records that provide evidence of major decisions of government departments DS5/12.1 Staff development and training – administration The activity of arranging training or other opportunities for staff Contracts and other agreements with training providers; letters and emails about catering, equipment and venue arrangements; course evaluations; participant lists Destroy 1 year after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS5/12.2 Staff development and training - needs analysis The activity of analysing the organisation’s skills needs. Training needs analysis reports. Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of key events that are of significance to a particular government department (history of department) DS5/12.3 Staff development and training - training material developed in-house The activity of developing training or other opportunities for staff Training course plans, scripts and manuals/handouts Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of key events that are of significance to a particular government department (history of department) DS5/12.4 Staff development and training - training material developed by external providers The activity of developing training or other opportunities for staff Training course plans, scripts and manuals/handouts Destroy 1 year after the record is superseded Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria NOTE that this sheet is arranged differently from the others because the records are described differently STAFF CASE MANAGEMENT: The activity of administering the rights, responsibilities and entitlements of individual employees throughout their careers. Examples of records : ‘Personal files’ or ‘ personnel files’ or ‘staff files’ that may contain the following: Letters of appointment; probation reports; medical reports; performance agreements and review reports, records of disciplinary action. Ref no. Record Examples of records contents Disposal action Recommended minimum retention period (once inactive) Appraisal reason/disposal criteria DS5/13.1 Payroll and leave records for all staff (if kept separately from other staff management information)* Leave requests and other leave records, copies of pay slips Destroy 7 years after employment ceases Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria *NOTE: *If payroll and leave information is not filed separately, you DO NOT have to weed or cull it from the files. See Guideline 8 Implementing the Disposal Schedule for further information DS5/13.2 Case files for Chief Executives and 2nd tier managers and other employees of national significance ‘Personal files’ or ‘personnel files’ or ‘staff files’ that may contain the following: Letters of appointment; probation reports; medical reports; performance agreements and review reports, records of disciplinary action Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are of cultural/historical significance to the department or country (historical and genealogical research) DS5/13.3 Case files for all other staff ‘Personal files’ or ‘personnel files’ or ‘staff files’ that may contain the following: Letters of appointment; probation reports; medical reports; leave records; performance agreements and review reports, records of disciplinary action Destroy* 7 years after employment ceases Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria *NOTE: *You can choose to keep all staff case files if you wish. See Guideline 9 Adapting the Disposal Schedule for further information DS5/13.4 Summary records of staff case files Staff cards, summary sheets from staff files Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are of cultural/historical significance to the department or country (historical and genealogical research) Strategic Management The function of setting long-term goals for the organisation and directing and managing the organisation’s overall activities, processes and resources so that it can achieve them Ref no. Activity Description of activity Examples of records (note that this is not a complete list) Disposal action Recommended minimum retention period (once records are inactive) Appraisal reason/disposal criteria DS6/1.1 Audit – internal - records of process The activity of officially checking the organisation’s activities to ensure it is meeting relevant standards. Minutes of entry interviews; terms of reference documents; internal performance audit plans; performance audit reports; agenda, papers and minutes of Internal Audit Committee meetings. Destroy 5 years after the record becomes inactive Records that are no longer of evidential value because the accountability or legal requirement for retention has been met. DS6/1.2 Audit – internal – final reports The activity of officially checking the organisation’s activities to ensure it is meeting relevant standards. Final internal audit reports Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability or legal requirements; records that provide evidence of major decisions of government departments DS6/1.3 Audit - external The activity of officially checking the organisation’s activities to ensure it is meeting relevant standards. Letters of engagement, letters and emails about the audit process and timetable, drafts of report, final report; responses to report Destroy* 5 years after report is tabled and any resulting investigations are complete Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria *NOTE: *The master copy will be held by the Audit Office or similar organisation DS6/2.1 Consultation and advice – general instructions The activity of speaking with others inside the organisation and externally about how its strategic directions are managed. Copies of Prime Minister’s and Cabinet instructions and circulars to all Departments, reports analysing relevant governance and compliance requirements circulated to all departments Destroy Once superseded and no longer required for business purposes Records received for information only DS6/2.2 Consultation and advice - specific instructions The activity of speaking with others inside the organisation and externally about how its strategic directions are managed. Specific instructions from Cabinet or the Prime Minister to the Department; reports analysing relevant governance and compliance requirements . Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of major decisions of government departments DS6/2.3 Consultation and advice – legal opinions The activity of speaking with others inside the organisation and externally about how its strategic directions are managed. Legal opinions received from Crown Law or private legal firms Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability reasons. DS6/3.1 Evaluation and reporting The activity of assessing the organisation’s strategic directions and the way they are managed, and reporting the results to others. Statements of Intent to the Minister, quality assurance reports; non-financial reports to the Minister or other high-level government bodies. Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability reasons; Records that provide evidence of major decisions of government departments DS6/4.1 Internal committees - administration The activity of establishing and managing internal bodies that direct the overall management of the organisation. Letters and emails arranging committee meeting timetables, venues catering, and travel arrangements Destroy 6 months after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS6/4.2 Internal committees – meeting, discussion and decision papers The activity of establishing and managing internal bodies that direct the overall management of the organisation. Agenda, paper and minutes of senior management meetings; emails, minutes and memos between senior managers that discuss the overall management of the organisation. Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability reasons; Records that provide evidence of major decisions of government departments DS6/5.1 Legislation The activity of advising on and assisting with the development of laws and regulations. Briefs, letters, emails, minutes and other correspondence with the Minister’s office regarding legislation; drafting instructions prepared for the Attorney General; agenda, papers and minutes of consultation meetings and forums. Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability reasons DS6/6.1 Parliamentary liaison The activity of communicating with Ministers, Cabinet, and the Parliament Briefing papers and reports; letters, emails, minutes and other correspondence with the Minister or his or her staff; drafts of speeches. Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability reasons; Records that provide evidence of key events that are significant to a particular government department. DS6/7.1 Planning The activity of developing strategies and systems to mange the organisation’s overall directions and activities. Working papers and drafts of plans; agenda, papers and minutes of consultative planning meetings. Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability reasons; Records that provide evidence of major decisions of government departments DS6/8.1 Policy The activity of developing and deciding on the organisation’s strategic management priorities and directions. Drafts of policies and working papers; policy proposals; research papers and reports; final policy statements. Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that are required for long-term accountability reasons; Records that provide evidence of major decisions of government departments DS6/9.1 Procedures The activity of setting down methods of carrying out the organisation’s strategic management processes and activities Drafts and final copies of procedures manuals, handbooks and guidelines. Destroy 7 years after the record is superseded Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria DS6/10.1 Relationship management – strategic significance* The activity of communicating with other government bodies, including overseas governments, and NGOs, where the relationship has strategic significance Briefings, agenda, papers and minutes of advisory board meetings; emails, minutes, letters and other correspondence about negotiating agreements with other government bodies; Memoranda of Understanding and other agreements signed with other government bodies. Archive Refer to legislation or to National Archives rules/regulations for how long records should be kept before transfer to Archives Records that provide evidence of key events that are of significant national interest to the country or department *DEFINITION: The relationship and the records created by it are significant to the department or country. See Guideline 8 Implementing the Disposal Schedule for further information DS6/11.1 Relationship management – routine relationships* The activity of communicating with other government bodies, including overseas governments, and NGOs, where there relationship is routine only Emails, letters and other correspondence about relationships with other government bodies Destroy 7 years after the record becomes inactive Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria *DEFINITION: The relationship and/or the records created by it are routine and not of particular significance to the country or department. See Guideline 8 Implementing the Disposal Schedule for further information