Transitory Records and Short Term Retention and Disposal Schedule




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Transitory Records and Short Term Retention and Disposal Schedule

Responsible public authority: All public authorities

Queensland Disposal Authority Number (QDAN)


720

Version 2

Date of approval


15 March 2016

Approved by State Archivist


Mike Summerell

QSA File Reference


QSA15/301

Scope of retention and disposal schedule

This schedule applies to transitory records and records with a short term retention period. These records are created as part of routine transactional business practices and are only required to be kept for a short period of time.

The Transitory Records and Short Term Retention and Disposal Schedule (Transitory Records and Short Term RDS) is to be used in conjunction with the General Retention and Disposal Schedule for Administrative Records (GRDS, QDAN 249 v.7), including the GRDS Lite, and with an agency’s core business or sector retention and disposal schedule.

This schedule can be used in place of section 16 - Ephemeral Documents of the GRDS v.7. It is also an alternate disposal mechanism for some short term record classes within the GRDS v.7. It has been developed to provide agencies with a mechanism to easily and practically dispose of records that are routine in nature and are not required to be kept for long periods of time.

For further advice on the use of this schedule, please refer to the Queensland State Archives website or contact Agency Services at Queensland State Archives on (07) 3131 7730 and rkqueries@archives.qld.gov.au.

Revocation of previously issued version of this schedule

Agencies should take measures to withdraw the following revoked disposal authority from circulation.



  • QDAN720 v1

For further advice on the currency of approved retention and disposal schedules, please contact Agency Services at Queensland State Archives on (07) 3037 6630.

Background and purpose

Under the Public Records Act 2002 records cannot be disposed of unless authority is given by the State Archivist. To reduce the administrative burden within agencies to manage copies of records, ephemeral records and records with a short term retention period that are routinely created as part of a business transaction, the Transitory Records and Short Term RDS has been developed to allow agencies to routinely destroy such records efficiently and accountably. This schedule also sets out what is required to be captured in a recordkeeping application and if destruction needs to be documented.

With the approval of this schedule, agencies have the flexibility to use either this or the GRDS v.7 to sentence and dispose of their transitory records and records with a short term retention period. In the long term, it is intended that this schedule will fully replace section 16 of the GRDS.

Agencies remain responsible for determining their specific legal obligations for the retention of records relating to their business activities. Where a disposal requirement under this schedule does not meet an agency’s specific regulatory requirement, these requirements must be incorporated into the agency’s core business or sector schedule. If these records are already covered in an existing agency core business schedule or sector schedule, such schedules take precedence over the use of this schedule.



Definition

Within this schedule, transitory records and records with a short term retention are defined as records which have low/limited value and are only required to be kept for a short period of time. They are not required to support the ongoing business functions of an agency, and have little or no value to the agency or community.

Transitory records and records with a short term retention period:


  • have value for a limited time – normally only the period of time during which a decision/outcome may remain valid before it lapses.

  • may be created to help an action or process move forward but are not required to understand the ongoing business action or process.

  • are in any format or medium, which includes, but is not limited to: paper, digital (email, data, photographs, recordings etc), maps, plans, and objects.

  • may be routinely destroyed as a normal part of an agency’s business process. Refer to your agency’s recordkeeping policy and procedures on the management of transitory records and records with a short term retention.

Using this schedule

Deciding if a record can be destroyed under the Transitory and Short Term RDS should be done with an understanding of the business context of the records and risks associated with that business. If you are unclear about applying this schedule, please contact your agency’s records team.

In addition to the exclusions specifically included in this schedule, use the criteria below to identify records that are out of scope of this schedule and are not considered to be transitory records or records with a short term retention:


  • required for accountability purposes

  • supports the ongoing efficient administration of agency business

  • linked to community expectations about rights and entitlements

  • considered to have cultural or known historical value

  • dated pre-1950’s.

Examples of transitory records and records with short term retention periods are provided within this schedule. The list of examples are not exhaustive and agencies are free to customise their own list of example records within the existing record classes.

Documenting destruction

Records described in this schedule do not require formal destruction documentation as per Principle 2 of Information Standard 31: Retention and disposal of public records (IS31). Depending on your business requirements, they also do not need to be formally captured into an agency’s recordkeeping solution (e.g. eDRMS, business application with appropriate recordkeeping functionality).

If an agency chooses to capture these records as part of a recordkeeping solution, and wishes to cite the formal authorisation, then the QDAN number and version is sufficient (QDAN720 v.2).

Disposal action (minimum retention period):

With the exception of reference 720-02-012, record classes within this schedule have a disposal action of Retain until business use ceases. Knowing when the business use ceases will need to be determined within each agency.



Business use ceases refers to the time when any business, accountability, community or cultural requirements have ceased, or were never evident. This means once business use has ceased, records identified as transitory and records with short term retention can be considered for destruction. However, before destroying temporary records, agencies are responsible for identifying those records that may require longer retention, including where:

  • they are or may be required for judicial and litigation proceedings, Commissions of Inquiry, or legal action, whether or not the State is a party to that litigation

  • there is any other law or policy requiring the records be retained, for example, a current disposal freeze or retained in accordance with the Evidence Act 1977 and the Criminal Code Act 1899.

Reference 720-02-012 covers the management of Sensitive Authentication Data found on credit cards.



TRANSITORY RECORDS AND RECORDS WITH A SHORT TERM RETENTION PERIOD:

Reference

Record Class

Disposal Action

720-01-001


Administrative arrangements

Records relating to administrative arrangements undertaken by agencies in the course of daily business.



Examples (Records) may include, but are not limited to:

  • committee meeting arrangements

  • arrangements for staff attendance at training opportunities

  • invitations

  • event confirmations/registrations, contact, attendance and guest lists

  • seating plans

  • parking arrangements

  • bookings – venue, catering, photographer, equipment, accommodation, transport, speakers

  • running sheets and checklists

  • schedule of hire charges and service fees

  • lost and found property

  • raffle ticket stubs

  • media liaison – accreditations, organising interviews, distributing media releases and promotional marketing material

  • travel arrangements – including interstate and overseas work related travel (e.g. itineraries, passports, visas, determination of allowances, etc.)

  • moving premises – including inventories, arrangements with removalists, etc.

  • equipment and property booking forms.

Excludes:

  • the planning and management of marketing campaigns

  • financial transactions – e.g. payment of allowances or expenses

  • travel authorisations for employees, members of governing bodies, etc.

  • training in hazardous substances

  • recruitment and employment programs

  • Ministerial submissions requesting travel approval

  • visit reports

  • course material for training programs, seminars and workshops

  • winning tickets and records relating to the winner.

Retain until business use ceases.

720-01-002

Appointment diaries, calendar entries and duty rosters

Records relating to scheduling meetings and organising and planning work during a given period.



Examples (Records) may include, but are not limited to:

  • diaries

  • calendars

  • meeting appointments

  • completed appointment log books

  • duty roster.

Excludes:

  • work diaries of Ministers, Assistant Ministers and Chief Executive Officers (or equivalent)

  • diaries required for evidence of a particular function (e.g. police notebooks, transport inspector notebooks)

  • diaries, calendars or rosters required as evidence of attendance.

Retain until business use ceases.

720-01-003


Computer support

Records created to support the agency’s computer systems including:



  • system output records required for checking and control purposes

  • system back-ups.

Examples (Records) may include, but are not limited to:

  • transaction reports used for checking and control purposes

  • reference copies of user manuals and similar documents

  • superseded computer logs

  • superseded or obsolete computing software

  • test data

  • backup summaries or system logs which are not used to show a history of access or change to data.

Excludes:

  • master files and databases

  • records which may be required as evidence of actions or decisions (e.g. audit trails and system, access and change logs)

  • records created as part of formal reporting processes

  • application specific data dictionaries.

Retain until business use ceases.

720-01-004


Copies

Copies, in any format, of a master record where:



  • nothing has been added, annotated, changed or deleted; and

  • the copies have been created, distributed, and used only for reference purposes.

Examples (Records) may include, but are not limited to:

  • where an electronic version is the official record, system printouts, summaries or extracts, that are not part of regular reporting procedures

  • where the paper version is the official record, unaltered electronic copies

  • copies of records already captured into a corporate recordkeeping or business system (e.g. emails or documents in shared drives)

  • reference copies of microfilm, microfiche, film, video etc

  • copies of personal documents, acquired by the agency, which are not required on a continuing basis as evidence (e.g. copies of birth certificates)

  • media reports relating to the agency and its activities.

Excludes:

  • cabinet papers

  • copies of records relating to the production, drafting and distribution of agency publications

  • records for which no master copy exists (e.g. film or video)

  • carbon copies where the original is given to the client and the carbon copy becomes the departments evidential record

  • copies of records, created externally to the agency, which have affected decision-making, policy or operations (e.g. whole-of-government directions).

  • copies created during the migration of public records from one format, software configuration or system to another (e.g. digital copies/migrations of records that are intended to become the official records of the agency).

Retain until business use ceases.

720-01-005


Drafts, working notes and calculations

Drafts, of any type of record and in any format, created as preliminary versions or outlines that:



  • do not contain significant or substantial changes or annotations that provide insight into the evolution of the final version

  • created and used only for convenient reference.

Includes drafts which do not proceed to final records and working notes, calculations and research which have been incorporated into more substantial drafts or final documents.

Examples (Records) may include, but are not limited to:

  • drafts, audio recordings and shorthand notes used to prepare other documents

  • drafts which do not proceed and of which no final version is created

  • calculations, statistics or figures

  • personal meeting minutes where a formal record exists

  • editing of spelling and grammar where there are no other significant changes

  • background research

  • unused reference material

  • spreadsheets or word processing documents that have been incorporated into another document.

Excludes:

  • drafts providing evidence of processes and/or significantly more information than final versions (e.g. drafts of policy development; legislation; contracts/agreements).

  • working papers/records of a project officer or investigative officer where they are the substantive record of the project or investigation

  • papers in an unofficial filing system, where a full record has not been maintained in a recordkeeping system

  • drafts required as evidence of decisions, reasons, actions or formal approvals

  • research conducted or commissioned by the agency to support its functions

  • records documenting the drafting process of an agency’s publications (including annual reports).

Retain until business use ceases.

720-01-006


External reference information

Solicited and unsolicited information and items received by the agency from external sources and kept solely for reference. Includes responses acknowledging receipt of information/documents.



Examples (Records) may include, but are not limited to:

  • advertising, promotional and marketing material offering goods or services

  • catalogues and price lists

  • unsolicited applications/resumes for employment

  • external publications

  • unsolicited email (spam)

  • media reports and press cuttings.

Excludes:

  • documents created externally to the agency, which have affected decision-making, policy or operations or which require further action by the agency.

Retain until business use ceases.

720-01-007


Moveable property controls and stocktakes

Records relating to the control and accessibility of moveable property, including safes and filing cabinets. Includes stocktakes.



Examples (Records) may include, but are not limited to:

  • stock control records, including stock reconciliations and stocktake reports

  • asset stocktakes

  • collection stocktakes (e.g. library, museum, art gallery, etc.)

  • safe combination registers

  • key allocation registers.

Excludes:

  • reports of, and investigations into, security breaches.

  • hazardous chemical stocktakes

  • installation of security, safes, vaults and equipment.

Retain until business use ceases.

720-01-008


Routine communication

Routine communication of advice and information that is:



  • readily available to the public, or

  • authorised for unlimited public access.

Includes:

  • routine enquiries and suggestions

  • circulated information of low importance which requires no action from the recipient

  • routine promotional addresses made by agency employees regarding services or products

  • social media and instant messaging communications created for promotional or informational purposes.

Examples (Records) may include, but are not limited to:

  • contact and distribution lists

  • requests for changes to details (e.g. addresses)

  • letters of, and responses to, enquiries, complaints and suggestions

  • inappropriate referral letters, where no service is provided

  • letters of appreciation/sympathy

  • seasonal greetings

  • social media and instant messaging posts (e.g. blogs and tweets)

  • requests for promotional material and copies of publications

  • invitations to sponsor, judge or nominate honours, awards or prizes which are not accepted

  • transitory messages, (e.g. telephone message slips, with compliments slips, etc).

  • listserv messages, emails and discussion threads

  • provision of routine information (e.g. opening hours)

  • external survey requests and responses

  • final speech notes and slides for routine addresses/presentations

  • audio or video recordings of employee addresses

  • development and distribution of promotional marketing materials

  • internal circulars, team newsletters, bulletins, etc.

Excludes:

  • work health and safety accidents, incidents and complaints

  • employee grievance and misconduct complaints

  • enquiries, complaints, or suggestions which have policy or legal significance or require an investigation to be undertaken.

  • significant addresses made by Premier, portfolio Minister, Mayor, Councillors or senior agency officers at major occasions

  • addresses which arouse substantial public interest or controversy

  • social media posts requiring further follow up action by the agency or where social media is a formal business channel used for service delivery or consultation

  • documents with a high level of sensitivity or accountability that should be covered in a core function schedule (e.g. cabinet documents)

  • distribution agreements

  • the planning and management of marketing campaigns.

Retain until business use ceases.

720-01-009


Routine recordkeeping operations

Records relating to routine operation of the agency’s recordkeeping programs and systems, including mail processing, file storage and retrieval and the maintenance of metadata in electronic systems. Also includes secondary control, processing or reference records (in all formats).



Examples (Records) may include, but are not limited to:

  • file census sheets

  • file movement cards or metadata (not showing the ultimate disposal of files)

  • file transit, location and requisition advice

  • reference or duplicate control records maintained at sub-registries or other elements of the agency (e.g. branches, sections, outposted employees)

  • reports generated from master control records

  • workflow tracking systems, where the systems are not acting as a records management system

  • registered, certified and hand-delivered mail documentation

  • postage stamp, franking machine, postage meter registers or remittances

  • file withdrawals or return to records storage providers or to Queensland State Archives

  • metadata maintenance logs.

Excludes:

  • master control records, including disposal documentation

  • intellectual control tools

  • secure document handling

  • relevant metadata elements specified in Appendix B and Appendix D of the Queensland recordkeeping metadata standard and guideline.




Retain until business use ceases.

720-01-010


Surveillance and recordings

Closed circuit television (CCTV) surveillance and audio recordings created by the agency that have not been requested by investigative and law enforcement bodies.



Examples (Records) may include, but are not limited to:

  • (CCTV) security surveillance recordings (includes footage not extracted as evidence and which is overwritten as part of normal CCTV system operations)

  • call centre recordings created to monitor service standards and quality.

Excludes:

  • CCTV required for incident investigations

  • recordings required as a record of advice provided by the agency

  • recordings (e.g. video) made by an authorised person, such as police officer or transport inspector

  • transcripts made of the call

  • response (eg email, letter) from the agency to a client in response to their query

  • court recordings.

Retain until business use ceases.

720-02-011


Cardholder data

Cardholder data information captured as part of a financial transaction, including information processed, transmitted or stored in any form.



Examples (Records) may include, but are not limited to:

  • primary account number (PAN) (rendered unreadable)

  • cardholder name

  • expiration date

  • service code.

NOTE: If you store these records, it must be in accordance with the Payment Card Industry Data Security Standard (PCI DSS).

See FINANCIAL MANAGEMENT in the General Retention and Disposal Schedule for records relating to payments received, and use of agency credit cards, and client authorisations to conduct financial transactions.

Excludes:

  • sensitive authentication data.

See reference 720-02-012 for the management of this information when it is received.

Retain until business use ceases.


720-02-012


Sensitive authentication data

Sensitive authentication data received as part of a financial transaction.



Examples (Records) may include, but are not limited to:

  • card verification code or value (CAV2, CID, CVC2 or CVV2), which is the three or four digit number printed on the front or back of a payment card

  • magnetic stripe data (or equivalent on a chip), known as full track data

  • personal information number (PIN)/PIN block.

NOTE: In accordance with the requirements of the Payment Card Industry Data Security Standard (PCI DSS), these records are NOT to be stored.

See FINANCIAL MANAGEMENT in the General Retention and Disposal Schedule for records relating to payments received, and use of agency credit cards, and client authorisations to conduct financial transactions.

Excludes:

  • nil exclusions

Do not store or capture. Destroy received data immediately after transaction has been authorised.




Queensland State Archives

Department of Science, Information Technology and Innovation




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