General Retention and Disposal Schedule for Administrative Records

Transcription

1 General Retention and Disposal Schedule for Administrative Records Responsible public authority: All Public Authorities Queensland Disposal Authority Number (QDAN) 249 Version 7 Date of approval 26 March 2014 Approved by State Archivist Ms Janet Prowse QSA File Reference QSA 10/214 Scope of the General Retention and Disposal Schedule for Administrative Records The General Retention and Disposal Schedule for Administrative Records (GRDS) covers both administrative public records and records that are common to all public authorities across the Queensland Government. To this extent the schedule may overlap with public records created in the course of a public authority s core or unique business functions. However, the GRDS is not intended to cover the core business records of a public authority responsible for an administrative function e.g. QFleet, Queensland Treasury. For compliance with Information Standard 31: Retention and Disposal of Public Records, core business records should be covered separately by a public authority s core business or sector retention and disposal schedule. The General Retention and Disposal Schedule for Administrative Records should be used in conjunction with a public authority s core business or sector schedule. Where a disposal action prescribed under this schedule is inconsistent with a disposal action approved in a public authority s core business or sector schedule, the core business or sector schedule takes precedence. This is provided that the schedule is current and up-to-date. Schedules should be reviewed every 5 years. Where a disposal requirement under this schedule does not meet the specific regulatory requirements which apply to a public authority, such requirements must be incorporated into the public authority s core business or sector schedule. References to repealed legislation within this schedule may be taken to be a reference to current legislation if the context permits. Record Formats This schedule applies to records created in all formats, unless otherwise specified in the class description. This includes, but is not limited to records in business systems, maps, plans, photographs, motion picture and records created using web 2.0 media. Queensland State Archives Department of Science, Information Technology, Innovation and the Arts

2 Authority Authorisation for the disposal of public records is given under s.26 of the Public Records Act 2002 (the Act). No further authorisation is required from the State Archivist for records disposed of under this schedule. However, the disposal of all public records must be endorsed by the public authority s Chief Executive Officer, or authorised delegate, in accordance with Information Standard 31: Retention and Disposal of Public Records, and recorded in the public authority s disposal log. Public records that are not covered by an approved retention and disposal schedule cannot be disposed of by a public authority. Disposal of public records not covered by an approved retention and disposal schedule is a contravention of s.13 of the Act. Revocation of previously issued disposal authorities Any previously issued disposal authority which covers administrative records described in this retention and disposal schedule is revoked. Public authorities should take measures to withdraw revoked disposal authorities from circulation. This includes, but is not limited to: QDAN249 v6 Public records sentenced under previous versions of the General Retention and Disposal Schedule for Administrative Records should be re-sentenced prior to disposal. For further advice on the currency of approved retention and disposal schedules, please contact Agency Services at Queensland State Archives on (07) Retention of records All of the retention periods in this schedule are the minimum period for which the sentenced records must be maintained. Public records cannot be disposed of prior to the expiration of the appropriate retention period. However, there is no requirement for public records to be destroyed at the expiration of a minimum retention period. Public records must be retained for longer if: (i) the public record is or may be needed in evidence in a judicial proceeding, including any reasonably possible judicial proceeding (ii) the public records may be obtained by a party to litigation under the relevant Rules of Court, whether or not the State is a party to that litigation (iii) the public record must be retained pursuant to the Evidence Act 1977 (iv) there is a current disposal freeze in relation to the public record, or (v) there is any other law or policy requiring that the public record be retained. This list is not exhaustive. Public records which deal with the financial, legal or proprietorial rights of the State of Queensland or a State related Body or Agency regarding another legal entity and any public record which relates to the financial, legal or proprietorial rights of a party other than the State are potentially within the category Page 2 of 134

3 of public records to which particular care should be given prior to disposal. Records which are subject to a Right to Information application are to be retained for the period specified in section 8 - INFORMATION MANAGEMENT in addition to their required retention period according to an approved retention and disposal schedule. The two periods run concurrently, and may result in a longer required retention period overall. This is in order to cover all appeal and review processes. Even though the records subject to an application may be ready for disposal according to an approved retention and disposal schedule at the time of the Right to Information application, the additional Right to Information retention requirements must still be applied. The disposal of public records should be documented in accordance with the requirements of Information Standard 31: Retention and Disposal of Public Records. For further advice on the retention and disposal of public records under an approved retention and disposal schedule, please refer to the Queensland State Archives website or contact Agency Services at Queensland State Archives on (07) Records created before 1950 Records described in the General Retention and Disposal Schedule for Administrative Records that were created before 1950 should be referred to Queensland State Archives for further appraisal before any disposal action is taken by the public authority. For further advice please refer to the Public Records Brief: Pre-1950s public records which is available from the Queensland State Archives website. General or routine correspondence There is no single entry in the General Retention and Disposal Schedule for Administrative Records which applies to general or routine correspondence. However, within the schedule, the term routine correspondence has been used in some sections to describe records of minor importance. Schedule layout The General Retention and Disposal Schedule for Administrative Records is aligned with Keyword AAA, a functional classification scheme developed by the State Records Authority of New South Wales and endorsed by Queensland State Archives for use by public authorities. Changes have been made to align it with the Queensland public sector. The record classes in this schedule may not have a one-to-one relationship with the Business Classification Scheme in place within each public authority. Therefore, public authorities may need to map the record classes contained in this schedule, along with record classes in their core business schedule, to their Business Classification Scheme. For further information on how to apply this schedule please refer to the Guideline for the Implementation of Retention and Disposal Schedules, available from the Queensland State Archives website. Page 3 of 134

4 Transfer of public records to Queensland State Archives Records covered by a class with the disposal action of Retain permanently should be transferred to Queensland State Archives with the approval of the State Archivist. Records covered by a class with the disposal action of 'Retain permanently by the public authority' are not eligible for transfer to Queensland State Archives unless re-appraised and assigned a disposal action of 'Retain permanently'. Public authorities are required to submit a transfer proposal containing details of the records under consideration for transfer. Queensland State Archives will assess the transfer proposal before formal approval to transfer is issued. Please refer to the Guideline on Transferring Public Records to Queensland State Archives available from the Queensland State Archives website. The State Archivist reserves the right to revise any previous decisions made with regard to the appraisal and transfer of records. Contact Agency Services at Queensland State Archives on (07) for further details. Revision history QDAN Date of approval Extent of revision 0 now version 1 November 1997 Initial Schedule 1 now version 2 February 1999 Minor review 2 now version 3 February 2004 Major review (alignment with Keyword AAA) 2.1 now version 4 September 2004 Minor revision to reflect current Directives relating to personnel records. 5 1 October 2010 Major review (Financial Management function and other minor amendments). Schedule re-ordered into alphabetical order by function. 6 5 August 2011 Minor revision to preamble and other record classes March 2014 Major review (Human Resource functions and other amendments) Page 4 of 134

5 Contents 1. COMMUNITY RELATIONS COMPENSATION EQUIPMENT AND STORES FINANCIAL MANAGEMENT FLEET MANAGEMENT GOVERNMENT RELATIONS INDUSTRIAL RELATIONS INFORMATION MANAGEMENT LEGAL SERVICES PROPERTY MANAGEMENT PUBLICATION STRATEGIC MANAGEMENT TECHNOLOGY AND TELECOMMUNICATIONS WORK HEALTH AND SAFETY WORKFORCE MANAGEMENT EPHEMERAL DOCUMENTS Index Page 5 of 134

6 1. COMMUNITY RELATIONS The function of establishing rapport with the community and raising and maintaining the public authority s broad public profile. Includes marketing, advertising, media liaison, exhibitions, celebrations, ceremonies, speeches, official representation at functions and participation in community activities. Also includes relationships with professional bodies and industry, the management of customer services, handling reactions to those services, customer consultation and feedback CELEBRATIONS The activities associated with arranging and managing festivities to honour a particular event. Honours, awards and prizes Records relating to an award, prize or reward sponsored by the public authority, including sponsorships administered by the public authority. Invitations to sponsor, judge or nominate for awards or prizes, as well as public authority instructions, guidelines and other reference material relating to honours. CEREMONIES The activities associated with arranging and managing a formal act performed for a special occasion. Records relating to celebrations and ceremonies of significant historical interest to the State, including official openings of major buildings. Permanent Retain for 7 years after last Retain until administrative use ceases. Retain permanently Records relating to administrative arrangements for celebrations and ceremonies, including catering, invitations, venue and entertainment organised or paid by the public authority. Invitations to, arrangements for attendance at, and general information relating to functions organised by another public authority or organisation. Retain for 2 years after last Retain until administrative use ceases. CONFERENCES The activities involved in arranging, or attending conferences held either by the public authority or by other public authorities. Includes registrations, publicity and reports of participants etc. Public authority conferences - arrangements Records relating to arrangements for conferences organised by the public authority. Retain for 2 years after last Page 6 of 134

7 1.3.2 Public authority conferences - historically significant Master sets of transcripts of proceedings and reports of major conferences organised by the public authority. Permanent Retain permanently Public authority conferences - other Master sets of transcripts of proceedings and reports of conferences organised by the public authority not covered under reference number Retain for 2 years after last External conferences - arrangements Records of proceedings of conferences and arrangements to attend conferences that are not organised by the public authority. Retain for 2 years after last External conferences - presentations Records relating to speeches, presentations etc. made by public authority representatives at external conferences. Retain for 5 years after last 1.4 DONATIONS The activities associated with managing money, items, artefacts or property donated to the public authority or by the public authority and or its employees to charities etc. Includes managing unsolicited donations Gifts and bequests - significant Records of gifts, donations or bequests made to or by the public authority which are of: Permanent Retain permanently. long-term value significant public interest, or State significance See reference number for records relating to financial transactions involving gifts and benefits. See reference number for pecuniary interest and declarations of interest Gifts and bequests - other Records relating to gifts, donations or bequests made to or by the public authority which are not covered under reference number See reference number for records relating to financial transactions involving gifts and benefits. Retain for 7 years after last action or until terms of the donation or gift have been fulfilled. Page 7 of 134

8 ENQUIRIES The activities associated with handling requests for information about the public authority and its services by the general public, employees or another public authority. Enquiries - legal significance Correspondence records relating to provision of detailed information or advice to clients which may have legal significance. Enquiries - other Correspondence records relating to provision of other information to clients, including the provision of information about routine and general matters; hours of operation, change of address, etc. Retain for 7 years after last Retain for 2 years after last EXHIBITIONS The activities associated with using public authority s material in mounted displays for the purpose of informing or educating the viewer, or promoting the activities, services, projects or programs of the public authority. Film, video or photographic record of displays and exhibitions of major significance to the State, including associated paper-based material. Records relating to arrangements for the organisation of, or participation in, exhibitions, displays, fairs, etc., including publicity. Invitations and publicity material relating to displays and exhibitions organised by other public authorities or organisations. Permanent Retain master copy and one reference copy permanently. Retain for 2 years after last Retain until administrative use ceases. LIAISON The activities associated with maintaining regular general contact between the public authority and professional associations, professionals in related fields, other private sector organisations and community groups. Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects that are not joint ventures. Records relating to arrangements for memberships in business, professional, social or sporting clubs and associations. Retain for 5 years after last Invitations to join, brochures and similar promotional material. Retain until administrative use ceases. Contact with lobbyists Records documenting contact between the public authority and registered lobbyists as Retain for 10 years after last Page 8 of 134

9 1.8 defined under s.42 of the Integrity Act entries in a contact register (including name of lobbyist, date of contact, issue discussed, actions or outcomes, contact person in public authority) meeting reports records of telephone, or written contact. MARKETING - ADVERTISING The process of analysing, creating and selling products and services. Includes market research, sales forecasting, advertising, media releases, promotion, pricing and product evaluation Information/marketing plans and strategies developed to promote the public authority s image or activities. Retain for 5 years after last Arrangements for the design, production, storage and distribution of promotional material, including brochures, flyers and posters. Retain for 2 years after last Records relating to the publicising of certain events or services organised by the public authority. Retain for 2 years after last Records of advertisements not forming part of other classes of records (e.g. copies of advertisements not on a relevant recruitment, tender and contract or program promotion file). Retain for 2 years after last Promotional films or videos of the public authority not regarded as of major significance to the State. See function 11 - PUBLICATION for legal deposit requirements relating to public authority publications. Retain for 5 years after last 1.9 MEDIA RELATIONS The activities associated with establishing a relationship between the media and the public authority. Includes cultivating media contacts, coordinating access to the media, authorising and issuing press releases and briefings, and organising media interviews Media releases. Permanent/ Sentence record series containing media releases according to the appropriate disposal class in this Retention and Disposal Page 9 of 134

10 Schedule or public authority s core business schedule. Duplicate and reference copies of media releases. Retain until administrative use ceases. PUBLIC REACTION The process of handling public reaction to a public authority s policies or services. Includes anonymous letters, letters of complaint and letters of congratulations or appreciation received from the public. Complaint/compliment or suggestion registers. Retain for 7 years after last Records relating to client complaints and suggestions which have a major impact on the policy and procedures of the public authority. Other records relating to complaints and suggestions not covered under reference number See function 16 - EPHEMERAL DOCUMENTS for letters of appreciation or sympathy. Permanent Retain permanently. Retain for 2 years after last REPORTING The activities 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. Includes agendas, briefings, discussion papers, proposals, reports, reviews and returns. See section 11.4 for records relating to the production and publication of Annual Reports. See section 4.6 for audit records and reports. Public authority surveys Surveys conducted by the public authority of client satisfaction and needs, including arrangements for the collection, collation and distribution of relevant information. External surveys Records relating to the provision of information in surveys conducted by other external organisations. Retain for 5 years after last Retain for 2 years after last Page 10 of 134

11 2. COMPENSATION The function of providing compensation to employees injured while proceeding to or from work, and visitors injured during working hours on the public authority s premises. Includes the rehabilitation of injured workers and compensation for damage to property where such damage is claimed as the public authority s responsibility. Also includes insurance and claims for professional indemnity and public liability. This section includes the requirements of the: Workers Compensation and Rehabilitation Act See reference numbers and for records of accidents and incidents. See reference numbers and for employee service history. See reference number for rehabilitation records. 2.1 CLAIMS The process of administering and managing claims, including payments, in accordance with an insurance policy as compensation for injury, death, or denial of rights of a person or damage or destruction of property. Includes disputed claims Workers compensation claims Records submitted to the public authority responsible for implementing the statutory worker s compensation scheme (e.g. WorkCover Queensland) as part of a claim for worker s compensation. Retain for 7 years after settlement of claim. reports correspondence claim forms claims register. See reference number for worker s compensation claims processed as a self insurer Self insurance scheme claims Records relating to worker s compensation claims processed by a public authority that is licensed as a self-insurer. Retain for 50 years after settlement of claim. Page 11 of 134

12 2.1.3 accident reports agreements appeal records including appeals to the Queensland Civil and Administrative Tribunal (QCAT) appointment of a case manager or rehabilitation provider assessment reports claims claim reviews correspondence and notes on meetings or conversations with claimants determinations legal advice medical reports and certificates progress reports return to work plans witness statements. See reference number for worker s compensation claims processed by the public authority responsible for implementing the statutory worker s compensation scheme. Compensation claims - adults Records relating to compensation claims submitted by a claimant who was an adult at the time of the incident and is not an employee of the public authority, including members of the public, work experience students and volunteers. Claims may include, but are not limited to: personal injury property damage motor vehicle damage other insurance claims. Records may include but are not limited to: accident/incident reports Retain for 7 years after settlement of claim. Page 12 of 134

13 agreements assessment reports claim records correspondence with insurers medical certificates/reports notifications payment details witness statements. See for visitor compensation claims - minors Compensation claims - minors Records relating to compensation claims submitted on behalf of a claimant who was a minor at the time of the incident and is not an employee of the public authority, including members of the public, work experience students and volunteers. Claims may include, but are not limited to: Retain until the claimant reaches the age of 25 years or 7 years after settlement of claim, whichever is later. personal injury property damage motor vehicle damage other insurance claims. Records may include but are not limited to: accident/incident reports agreements assessment reports claim records correspondence with insurers medical certificates/reports notifications payment details witness statements. Page 13 of 134

14 2.2 INSURANCE The process of taking out policies to cover loss or damage to property or premises, and to cover visitors/members of the public and employees against injury or death resulting from incidents on the public authority's premises or whilst engaged in employment. Includes public liability and professional indemnity insurance Insurance policies Records relating to the management of insurance policies including negotiation and renewals. Retain for 7 years after expiry or cancellation of policy. correspondence with Queensland Government insurers correspondence with insurance providers (brokers) insurance policies renewal documentation insurance policy register. See reference number for records of insurance premium payments. See section 2.1 for insurance claims. Page 14 of 134

15 3. EQUIPMENT AND STORES The function associated with the acquisition, supply, maintenance, repair and disposal of equipment and stores. Items of equipment include instruments, implements, tools, machines, plant, telephones, furniture and furnishings. Stores include chemicals, hardware (other than IT), homeware items, kitchen/cleaning items, medical supplies and stationery. See function 4 - FINANCIAL MANAGEMENT for all financial records relating to the acquisition, maintenance and disposal of equipment and stores. See section 4.11 for contracts and section 4.27 for tendering records relating to the procurement of equipment and stores. 3.1 ACQUISITION The process of gaining ownership or use of property, services and other items required in the conduct of business where there is no tendering or contracting-out process, i.e. where the cost of the acquisition is below the threshold for tendering. See function 4 - FINANCIAL MANAGEMENT for financial records relating to the acquisition process. See section 3.3 for records relating to the disposal of equipment and stores Non-financial records relating to the acquisition, lease and installation of equipment. Retain for 5 years after disposal of equipment. proof of ownership records warranty documents. See section 3.6 for records relating to equipment leased to other public authorities or organisations. See reference number for records relating to the acquisition of radioactive materials and radiation equipment (including x-ray equipment) in accordance with the Radiation Safety Act Non-financial records relating to the acquisition of stores. Retain for 2 years after last Operating manuals or instructions developed by the public authority for operation of all forms of equipment. See function 16 - EPHEMERAL DOCUMENTS for manuals supplied to the public authority. Retain while equipment remains with the public authority OR until superseded. Page 15 of 134

16 ALLOCATION The process of assigning of money, items, or equipment to employees or public authority business units. Records relating to the allocation and distribution of equipment and stores within a public authority, including requisitions and records of issue. Retain for 2 years after last DISPOSAL The process of disposing of property no longer required by the public authority, by sale, transfer, termination of lease, auction, donation or destruction. See section 3.1 for records relating to the acquisition of equipment and stores. See reference number for records relating to the disposal of radioactive materials and radiation equipment (including x-ray equipment) in accordance with the Radiation Safety Act Records relating to the disposal of equipment, including unique pieces of equipment for special purposes. Retain for 7 years after last Records relating to the disposal of stores, including records of exchange, sale or loan. Retain for 7 years after last DISTRIBUTION The activities associated with disseminating items, correspondence, or publications through sales, deliveries, or other customer services. Equipment catalogues. Retain until reference ceases. INVENTORY The activities associated with listing and preparing lists of items and assets in the possession of the public authority. Inventories of equipment and stores held by the public authority. See reference number for stocktake records. Retain until superseded. LEASING-OUT The activities involved in leasing-out items, equipment, accommodation, premises or real estate to another public authority or person for a specified period and agreed price. Includes the formal documentation setting out conditions, rights, responsibilities etc. of both parties. Also includes subleasing. Records relating to the loan, lease or hire of equipment to other public authorities or organisations. See reference number for records relating to the acquisition, storage and disposal Retain for 1 year after return of equipment or, in cases where equipment is not Page 16 of 134

17 of radioactive materials and radiation equipment (including x-ray equipment) in accordance with the Radiation Safety Act returned, 5 years after last MAINTENANCE The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external conditions of premises, equipment and vehicles etc. See section 3.1 for records relating to the acquisition of equipment and stores. Records relating to the maintenance of equipment. See reference number for records relating to the storage of radioactive materials and radiation equipment (including x-ray equipment) in accordance with the Radiation Safety Act Records relating to the selection of storage areas for public authority equipment and stores. Retain for 2 years after last Retain for 2 years after last Page 17 of 134

18 4. FINANCIAL MANAGEMENT The function of managing the public authority s financial resources. Includes establishing, operating and maintaining accounting systems, controls and procedures; financial planning; budgeting; obtaining and distributing grants; managing funds and revenue; resource allocation and accountability. Also includes the monitoring and analysis of assets to assist the delivery of economic and social services to government, industry and the community. This section includes the requirements of the: A New Tax System (Goods and Services Tax Administration) Act 1999 (Cwlth) Anti-Money Laundering and Counter Terrorism Financing Act 2006 (Cwlth) Corporations Act 2001 (Cwlth) Financial Accountability Act 2009 Financial and Performance Management Standard 2009 Fringe Benefits Tax Assessment Act 1986 (Cwlth) Government Owned Corporations Act 1993 Income Tax Assessment Act 1936 (Cwlth) Local Government Act 2009 Local Government Regulation 2012 Payroll Tax Act 1971 Statutory Bodies Financial Arrangements Act 1982 Superannuation Industry (Supervision) Act 1993 (Cwlth) Taxation Administration Act 1953 (Cwlth) See section 8.4 for records relating to the disposal of public records in accordance with the Public Records Act ACCOUNTING The activity of collecting, recording, classifying, summarising and analysing information on financial transactions, and subsequently on the financial position and operating results of the public authority. Includes financial statements, and the implementation, maintenance, monitoring and auditing of the public authority s accounting systems and internal controls. See section 3.3 for records relating to the disposal of equipment and stores. Page 18 of 134

19 4.1.1 Financial records of Government Owned Corporations Financial records of Government Owned Corporations retained in accordance with s.286 of the Corporations Act 2001 (Cwlth) that: Retain for 7 years after the transactions covered by the records are completed. correctly document and explain the transactions, financial position and performance of the Government Owned Corporation would enable true and fair financial statements to be prepared and audited Accounting records and associated supporting records Records relating to the payment or receipt of money. Includes records which document the public authority s financial transactions including revenue, expenditure, expenses, assets, liabilities and equity. Retain for 7 years after the financial year to which the records relate. approvals and authorisations cash books cash by post registers cheque records delivery dockets general ledger journals other prime entry records payment records petty cash records receipt and revenue records reconciliation records requisition or purchase orders salary and wage payment records sales and purchase invoices subsidiary ledgers. See reference number for financial records of Government Owned Corporations. See reference number for special payments and reference number for Page 19 of 134

20 taxation records. See section 4.27 for tendering records. See Acquisition under the relevant function for other records relating to the procurement of goods and services Accountable forms Records relating to the management of accountable forms including vouchers, cheques, money forms, etc. Retain for 3 years after the financial year to which the records relate. acquisition orders approvals cab charge vouchers issue receipts requests. Note: Surplus accountable forms including blank and obsolete forms can be destroyed in accordance with function 16 - EPHEMERAL DOCUMENTS once they have been recorded in the accountable forms register. See reference number for records relating to the processing of financial forms. See reference number for inventories of accountable forms Accountable forms register Entries in the accountable forms register that document the receipt, issue, transfer, return and destruction of accountable forms. Retain entries for 3 years after last Bank accounts - establishment Records relating to the establishment and ongoing management of bank accounts including records documenting the closure of the bank account. Retain for 7 years after account closed. applications approvals. See reference number for records relating to account transactions. See reference number for records relating to financial delegations. Page 20 of 134