[Cover page - Insert the following]:
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
<Month Year>
<RD YYYYNNN>
[Supplied by the State Records Office when 1st draft of the revised
schedule is submitted]
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
Table of Contents
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
-i-
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
1 About This Document
1.1 Background [of the organisation]
The <Name of Organisation> was established on [insert date].
[Insert the following]:
 <Brief organisational history, indicating names of any predecessor organisations, and any amalgamations and separations that
may have occurred and dates when these occurred>;
 <Major functions of the organisation>
1.2 Purpose of the Retention and Disposal Schedule
This Retention and Disposal Schedule (R&D) provides a management tool for identifying and determining the retention and disposal
of functional records created by <Name of Organisation>. It contains valuable information and guidance to the organisation in respect
to the major categories of records it creates. It is therefore an important business tool and assists to guide compliance with legal
obligations. This R&D has been created to form part of the Recordkeeping Plan of the <Name of Organisation>, as required under
section 16(3)(a-c)of the State Records Act 2000.
The aims of the R&D are to:
 Identify records which are worth preserving permanently as State archives and which will be transferred to the State Records
Office of Western Australia (SRO) for permanent storage;
 Prevent the premature destruction of records which need to be retained for a specific period to satisfy legal, financial and other
requirements of public administration; and
 Authorise the destruction of those records not required for permanent retention.
1.3 Scope of the Retention and Disposal Schedule
This R&D covers the functional records of:
 The <Name of Organisation>; and
 [List any subordinate/other organisations as appropriate].
This R&D supersedes:
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
- ii -
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records

[List any R&Ds superseded by this R&D]
The R&D applies to records in all formats. (See 3.1 Formats)
Where appropriate the R&D provides directions to the relevant GDA. (See 2.2 General Disposal Authorities)
[If the organisation reproduces hard copy original records in electronic format as a replacement of the hard copy source record (ie a
document that has been copied, converted or migrated, or will be the input for such a process. A source record may be an original
record or it may be a reproduction that was generated by an earlier copying, conversion or migration process (National Archives of Australia
(2003). General Disposal Authority for Source Records, p.15)), those records will have to be included in the Scope of the Retention and Disposal
Schedule. See 3.5 Reproduction of Records]
1.4 Revision of the Retention and Disposal Schedule
Authorised employees of <Name of Organisation> will review the structure and use of this R&D within five years of its approval. The
revised R&D will be submitted to the State Records Commission for approval prior to its implementation.
If any record categories are found, for example arising from a new function or new record type, and are not referred to in this R&D,
they must not be destroyed. In such a situation the SRO must be contacted with a request to amend the R&D. No records in such a
category are to be destroyed until approval is obtained from the State Records Commission to amend this R&D. Any unauthorised
destruction of records is an offence under s78 of the State Records Act 2000.
2 Recordkeeping Environment
2.1
Legislation
Relevant legislation and regulations include, but are not limited to:
[List any enabling legislation and regulations and any other legislation explicitly applicable to recordkeeping in the organisation in
addition to:]




State Records Act 2000
Criminal Code Act 1913
Electronic Transactions Act 2003
Evidence Act 1906
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
- iii -
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records




2.2
Financial Management Act 2006
Freedom of Information Act 1992
Limitation Act 2005
Public Sector Management Act 1994
General Disposal Authorities (GDAs)
The following GDAs produced by the State Records Office will be used for administrative records, financial and accounting records
and human resource management records:



2.3
General Disposal Authority for Administrative Records (GDAA);
General Disposal Authority for Financial and Accounting Records (GDAFA); and
General Disposal Authority for Human Resource Management Records (GDAHR).
Freedom of Information
The Freedom of Information Act 1992 (FOI Act) prescribes rights and procedures for access to documents held by Government
organisations. If a request for access under the FOI Act has been lodged, all records relevant to the request must be identified and
preserved until action on the request and on any subsequent reviews by the Information Commissioner or the relevant Court are
completed. This applies regardless of whether the records in question are due for destruction.
FOI requests that have been identified as State archives must contain copies of the records that were the subject of the requests.
2.4
Investigations and Inquiries
If an Investigation or Inquiry is in progress (or likely or imminent), all records relevant to the Investigation or Inquiry must be identified
and preserved until the action and any subsequent actions are completed.
2.5
Publications Produced by the Organisation
Premier’s Circular No. 2003/17, Requirements for Western Australian Government Publications and Library Collections” requires
that:
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
- iv -
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
“Copies of all publications produced by public sector agencies and statutory authorities are to be deposited with the State Library of
Western Australia and the National Library of Australia.”
Four (4) copies of <Name of Organisation> publications are to be sent to the State Library of Western Australia and one (1) copy to
the National Library of Australia in accordance with Premier’s Circular 2003/17.
3 Organisation’s Records
3.1
Formats
3.1.1 Electronic Records
Electronic records are subject to the provisions of this R&D in the same way as hard copy records. Where they are not printed
and attached to a hard copy file they will be managed in electronic form to remain accessible for as long as they are required in
accordance with this R&D and SRC Standard 8, Digital Recordkeeping. Electronic records which are of continuing value will be
migrated through successive upgrades of hardware and software for the required retention period, in accordance with State
Records Policy Number 8, Policy for the Ongoing Management of Electronic Records Designated as Having Archival Value.
3.1.2 Databases
The following major corporate databases and information systems are held by the <Name of Organisation>. Refer to Part C for
retention periods for databases.
[List major databases, their purpose, the types of record held (including whether they are ephemeral, constantly written over,
summarise information held elsewhere etc) and section of the organisation responsible for maintaining the database.]
[Databases that contain information relating to the organisation’s functions must be included in the main body of the R&D. If hard
copy records are produced from the database, the R&D must state which (the hard copy of the electronic copy) constitutes the
complete and accurate record.]
3.1.3 Websites
Electronic records held on the website will be managed in accordance with the Guidelines for State Government Websites,
currently maintained by the Office of E-Government as part of the Website Governance Framework, State Records Office Policy
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
-v-
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
No 8 Policy for the Ongoing Management of Electronic Records Designated as Having Archival Value and SRC Standard 8, Digital
Recordkeeping.
[Describe the type of information contained in the website, system of management of the website (see examples below).]
The <Name of organisation> maintains <number> website/s. The website contains informational material only. The website is
relatively small and fairly static. Changes to website information are approved prior to publication by an authorised officer. Web
pages are printed before and after changes are made and the hard copy is filed. The entire website is printed twice yearly and
retained permanently for reference and historical purposes.
OR
The <Name of organisation> maintains <number> website/s. The website contains informational material only. Changes to
website information are approved prior to publication by an authorised officer. The web authoring software saves a record of
previous versions of updated pages which are easily retrieved for reference or to roll back the page if necessary. The entire
website is burned to CD twice yearly and retained permanently for reference and historical purposes.
OR
The <Name of organisation> maintains <number> website/s which are used for both informational and transactional purposes.
Transactions conducted via the website are retained as records in the Financial Management or Records Management system as
appropriate. Transactional information is managed in accordance with the Electronic Transactions Act 2003. The website is
updated and managed using the <Name> content management system. The system maintains a record of all changes to the
website. Individual pages or the entire website can be rolled back to a specified date if required. Changes to website information
are approved prior to publication by an authorised officer.
Refer to Part C for retention periods for the website/s.
3.1.4 Photographs and Audiovisual
Audiovisual records (including photographs, videotapes, films and audiotapes) are to be treated in the same manner as any other
record format, and are to be sentenced in accordance with the subject matter to which they relate.
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
- vi -
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
The content of photographs must be identifiable, that is, the people, places, events and dates depicted in them must be identified.
If the content cannot be identified, the <Name of Organisation> will consult with the State Records Office.
The sentencing of audiovisual records must be considered in relation to:
 Their subject matter; and
 Documentary material that relates to their creation and use.
A photograph, cassette tape or other audiovisual record should be viewed as part of a larger set of records, that is, those records
that document why it was taken and how it was used. Disposition of audiovisual material must be consistent with these records.
3.1.5 Duplicates or Copies of State Records
Duplicates or copies of records are defined as exact copies of original records, that is, where no annotations have been made and
where the original record forms part of the <Name of Organisation> recordkeeping system. Such records may be destroyed once
the originals have been captured into the recordkeeping system and when they are no longer needed for reference purposes.
3.2
Restricted Access Archives
A restricted access archive is “a State Archive that is a government record and to which access is restricted until it is of a certain age”.
(State Records Act 2000 s.3). Part 6 of the State Records Act 2000 provides for the restriction of certain categories of State archives.
[Insert a statement that addresses whether there are any State archives to which the organisation wishes to restrict access.]
The <Name of Organisation> does not have any State archives that will require restrictions on access.
OR
[The organisation must consult with the SRO if restricted access to State archives is being considered. If it is decided that archives
are to be restricted upon transfer to the SRO, the statement is to include the:
 categories of records that are to be restricted;
 reasons for restriction; and
 proposed open access dates (or restriction period).]
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
- vii -
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
3.3
Archives Not Transferred to the State Records Office
[Section 32 of the State Records Act 2000 provides that State archives older than 25 years will be transferred to the custody of the
State Records Office. At present the SRO does not have storage space to accept transfers of State archives, however this situation
will change in the future and this section deals with that scenario.]
[Insert a statement clarifying whether the organisation intends to transfer all State archives to the State Records Office.]
The <Name of Organisation> does not have any State archives that will not be transferred to the State Records Office.
OR
[The organisation must consult with the SRO if it is being considered that some State Archives will not be transferred to the SRO
and include details about the following in the statement:
 the categories of State archives that the organisation will request permission to retain;
 the reasons for the organisation wishing to retain the State archives; and
 an assurance that State Archives will be kept in accordance with SRC Standard 7, Storage of State Archives retained by State
Organizations through an approved Recordkeeping Plan.]
3.4
Records Relating to Aboriginal People
3.4.1 Premier’s Circular No. 2003/02
The Premier’s Circular to Ministers No. 2003/02 requires that:
”records relating to Indigenous individuals, families or communities or to any children, Indigenous or otherwise, removed from their
families for any reason, whether held by government or non-government agencies, be brought to the attention of the Family
Information Records Bureau (FIRB) and reflected in agency Recordkeeping Plans”
<Statement addressing whether the organisation holds this type of record>
3.4.2 State Records Act 2000, S. 76
<Statement addressing whether the organisation holds any records that fall under section 76 of the State Records Act 2000. >
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
- viii -
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
[If the organisation does not hold any records relevant to s.76, the following statement is to be added:]
Should this situation change the <Name of Organisation> will consult the State Records Office.
3.5
Reproduction of Records
[Insert a statement addressing whether the organisation creates electronic versions of hard copy source documents, by scanning,
imaging or similar method, including clarification of the purpose for creating the electronic version and management practices in
relation to both the original hard copy documents and the electronic documents created (see examples below). The organisation
must consult with the SRO if it wishes to replace the source hard copy records with the electronic version (see third example below).]
The <Name of Organisation> does not reproduce hard copy source records in electronic format.
OR
The <Name of Organisation> scans all incoming, hard copy, correspondence (up to 20/50/100 pages) to create a colour/black and
white PDF/TIFF format file. The correspondence is registered in the recordkeeping system (RKS) and the electronic (PDF/TIFF)
version is attached to that record in the RKS. The hard copy original is placed on file as the official record. The electronic (PDF/TIFF)
version is circulated for action and reference purposes as appropriate. Both the original hard copy and the electronic reproduction
copy of the record will be managed and retained in accordance with the approved retention period for the record series.
OR
Section 16 (5) of the State Records Act 2000 provides that a Recordkeeping Plan may provide for a government record to be
reproduced in another form, and for the destruction of a government record if a reproduction of it is being kept, even though the
destruction occurs at a time when the record would otherwise not be able to be lawfully destroyed.
The <Name of Organisation> scans all incoming, hard copy, correspondence in full colour PDF/TIFF format. The electronic copy will
be considered as the official record for evidential purposes as per Section 73A(1) of the Evidence Act 1906. It is anticipated that the
courts may employ measures outlined in Sections 73A(2) (a)-(d) in determining whether or not imaged documents accurately
reproduce the contents of hard copy correspondence.
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
- ix -
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
The electronic version of the correspondence is registered in the recordkeeping system as an electronic record. The electronic record
will be managed and retained in accordance with the approved retention period for the record series.
The original hard copy correspondence, once reproduced electronically, will be treated as copies/duplicates and as such will be
retained for 2 years to meet operational requirements and then destroyed. The electronic record ID number will be noted on the hard
copy which is then day batched and stored in boxes. Refer to Appendix 1 for full documentation of scanning procedures, quality
control and other processes.
3.5.1 Exceptions
[This section should only be included where the third scenario in the above examples is used. The exceptions listed are examples
only, the organisation should replace and/or include other record categories as appropriate.]



State archives as identified by this R&D or the GDAs;
Legal documents such as contracts and leases; and
Documents with seals, water marks or other features that cannot be reproduced adequately and if such features are essential
for business or legal purposes.
These documents will be scanned and the electronic version attached to the record in the recordkeeping system. The hard copy
original is placed on file as the official record. Both the original hard copy and the electronic reproduction copy of the record will be
managed and retained in accordance with the approved retention period for the record series.
[If the Organisation plans to destroy hard copy source records before the expiration of the approved retention period, fully
documented procedures for their current practices must be attached to this R&D.]
4 Organisation’s Recordkeeping Practices
4.1
Responsibility for Disposal of State Records
Before any records are destroyed or transferred to the State Records Office they will be reviewed by the <Position description of
responsible staff member/s> and authorised for destruction or transfer. A record of destroyed records and, where destruction is
performed by an external contractor, certificates of destruction, provided by the contractor to the agency’s authorised officer, will be
retained.
4.2
Significance of Records
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
-x-
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
In this R&D, each records category has usually been assigned one Disposal Action (for example “Archive” or “Destroy”). However, in
one/several cases in this R&D it has been considered appropriate to split a category of records into two, such that some of the
records within the category are “Archive” and some are “Destroy”.
In these categories the term “Significant” [“significant” should be replaced by “major” or “unique” (or similar) as appropriate] has been
used to identify records of archival value, and the term “Other” has been used to identify records that may be destroyed.
The criteria for determining which records are “Significant” records within a category of records are:










affect the whole-of-government or portfolio function; or
concern or affect Corporate Executive activity; or
concern major liabilities or obligations of the organisation and/or the State; or
relate to the development of legislation, regulations, or policy; or
otherwise (significantly) impact or affect the organisation’s functions or structure eg proposed changes to organisational
functions; or
were precedent setting; or
involved substantial public debate or controversy; or
generated wide community interest; or
caused major changes to organisation policy; or
involved items or property considered to have cultural heritage significance.
The value of records may change over time. In assessing records that have reached their minimum retention period and are due for
destruction, officers should consider those that may have potential business or historical value, for possible further retention or
archiving. Records that appear to be of interest as archival records should be referred to the State Records Office for review and
evaluation.
4.3
Recommended Methods of Destruction
When State records are due for destruction it must be done completely so that no information is retrievable.
Hard copy (paper) records are to be destroyed by shredding, pulping or trommelling. Burning or burying of State records are not
acceptable methods of destruction.
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
- xi -
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
Electronic records should be destroyed either by physical destruction of the storage medium (eg cutting, smashing, or pulverising) or
by such methods as digital file shredding. Destruction methods must ensure that information is unrecoverable. Rewriting,
degaussing and reformatting can be used to scramble data which makes recovery more difficult, but be aware that data can still be
retrieved after applying these methods. The use of the “delete” function in software packages is not sufficient to destroy electronic
records stored on media such as floppy disks, hard disks and rewritable optical disks, as the information may still be recovered.
If records are stored on microform or tape (audio or video), the storage medium should be physically destroyed, or the information
overwritten, so that no information is retrievable. Shredding, cutting or chemical recycling are appropriate methods of destroying such
records.
5 Arrangement and Definitions of Terms used in the Retention and Disposal Schedule
This R&D has been arranged in four parts:




Part A covers Administrative and Functional Keywords
Part B covers Common Activities
Part C covers Database and Website records
Part D covers Defunct Functions’ records
[Add or remove parts as necessary]
Parts A and B are arranged alphabetically by keyword with activity descriptors arranged alphabetically under each keyword.

Archive – a record category identified as having archival value, that is to be transferred to the State Records Office for permanent
retention as State archives.

Archive within Agency - a record category identified as having archival value, which the State Records Commission has
approved to be retained permanently within the <Name of Organisation>. In the case of the <Name of Organisation> ceasing to
exist and no successor agency identified, the State Records Office will be consulted.

Description of Records – describes the type of record covered within the section.
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
- xii -
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records

Destroy – a record category identified as having temporary value, and which ultimately will be destroyed.

Disposal Action – the final disposition will be Archive (A), Destroy (D), Archive Within Agency (AWA) or Retain (R).

Disposal Trigger - includes “after last action”, which refers to the last date that a matter was noted on the records. Other disposal
triggers include “when superseded” and “after expiry of contract”. [Add any other disposal trigger used in the R&D. Include a
definition for clarification if required.]

Recommended Custody – specifies the minimum retention period for which records are to be retained, onsite or offsite, prior to
destruction or transfer to the State Records Office for permanent retention as State archives. Includes the action or trigger that
begins the retention period.

Ref No – the reference number within the R&D.

Retain within <Name of Organisation> – a record category which has been identified as not having archival value, but will be
retained permanently within the <Name of Organisation>. In the case of the <Name of Organisation> ceasing to exist and no
successor agency identified, the State Records Office will be consulted.
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
- xiii -
May 2010
V5
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
Ref No
Part A
Description of Records
Disposal Action Recommended Comments &
A – Archive
Custody
References
D – Destroy
R – Retain
[Describe the types of documents that are placed on a file classified
under the Activity Descriptor. This should not be the
Thesaurus/Business Classification Scheme definition of the activity
descriptor]
ADMINISTRATIVE AND FUNCTIONAL KEYWORDS
This section refers to records classified under administrative
keywords and functional keywords which represent the unique
business of the organisation
Part B
COMMON ACTIVITIES
These activities may be applied to keywords throughout the R&D as
appropriate.
Part C
DATABASES AND WEBSITES
This section refers to records contained in various databases and
websites maintained by <Name of organisation>.
<Name of Database>
[Description of records held in the database and relationship to the
business of the organisation]
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
-1-
January 2008
V4
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
Ref No
Description of Records
Disposal Action Recommended Comments &
A – Archive
Custody
References
D – Destroy
R – Retain
WEBSITE
[Describe the type of information contained in the website. Include
recordkeeping procedures eg A hardcopy is made of website pages
before and after updating, these are filed …. The entire website is
printed six monthly and filed….. All changes to the website are
saved in the XYZ content management system…. Individual pages
or the entire website content for past dates can be displayed from
information saved in the CMS…. The entire website is burnt to CD
six monthly and is retained permanently for historical purposes.]
Part D
DEFUNCT FUNCTIONS
This section refers to series of records no longer created by <Name
of Organisation> due to the function to which they relate no longer
being the responsibility of this organisation. Records relating to
those function created prior to the function becoming defunct are to
be managed in accordance with this R&D.
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
-2-
January 2008
V4
<Name of Organisation>
Retention and Disposal Schedule for Functional Records
INDEX
<Name of Organisation> RD YYYYNNN
[Retention and Disposal Schedule Template]
-3-
January 2008
V4