Queensland Police
Service
Records
Retention and
Disposal Handbook
Enquiries to:
Administration Branch
Queensland Police Service
Level 6 Police Headquarters
200 Roma St Brisbane Qld 4000
Ph. 07 3364 3694
Version 2.1
14 September 2004
Table of Contents
1.
Overview ...........................................................................................4
2.
Purpose .............................................................................................4
3.
Scope.................................................................................................5
4.
Definitions.........................................................................................5
5.
Accountabilities................................................................................8
6.
Policy Source....................................................................................8
7.
Reference Material ...........................................................................8
8.
Appraisal, Sentencing, Retention and Disposal of Records ........9
8.1
Summary .......................................................................................................9
8.2
Procedures ..................................................................................................10
8.2.1
8.2.2
8.2.3
8.2.4
8.2.5
8.2.6
8.2.7
8.2.8
8.2.9
8.2.10
8.2.11
8.2.12
8.2.13
8.2.14
8.2.15
8.3
Standards ....................................................................................................15
8.3.1
8.3.2
8.3.3
8.3.4
8.3.5
8.3.6
8.3.7
8.3.8
8.3.9
8.3.10
8.3.11
8.3.12
8.3.13
8.3.14
8.3.15
8.3.16
8.3.17
8.3.18
8.4
Identification and Appraisal of Records..............................................................10
Current Use ........................................................................................................10
Sentencing Records ...........................................................................................10
Retention Periods...............................................................................................10
Storage of Inactive Records ...............................................................................11
Authority for Disposal of Records.......................................................................11
Additional Arrangements for the Disposal of Financial Records ........................11
Additional Arrangements for the Disposal of Human Resource Records...........12
Destruction of Records.......................................................................................12
Transfer of legal ownership of a record to another agency.............................13
Transfer of Records to Queensland State Archives........................................13
Records Over 25 Years Old ............................................................................13
Technology-Dependent Records ....................................................................13
Retention of Imaged Records and Their Originals ..........................................14
Webpages and Websites ................................................................................15
General Standards for Appraisal and Sentencing of Records............................15
Value of Records................................................................................................15
Primary or Source Value ....................................................................................16
Secondary Value ................................................................................................16
Potential Value ...................................................................................................16
Types of Business Values ..................................................................................16
Management / Administrative Value...................................................................16
Financial value ...................................................................................................17
Legal value .........................................................................................................17
Operational Value ...........................................................................................17
Informational / Historical / Archival Value........................................................18
Disposal Triggers ............................................................................................18
Retention for a Further Period.........................................................................18
Organising Inactive Physical Records.............................................................19
Transfer of Custody or Ownership ..................................................................19
Copies of Records...........................................................................................19
Destruction Methods .......................................................................................20
Using a Contractor for Records Destruction ...................................................21
Guidelines ...................................................................................................21
8.4.1
8.4.2
When to Appraise and Sentence........................................................................21
Disposal of Records ...........................................................................................21
2
9.
Records Retention and Disposal Committee.................................23
9.1
Role of the Retention and Disposal Committee .......................................23
9.2
Membership.................................................................................................23
10. Conducting a Retention and Disposal Project ..............................25
10.1
Planning the Project ................................................................................25
10.2 Organising Resources................................................................................25
10.2.1
10.2.2
10.2.3
10.3
Staffing ............................................................................................................25
Dedicate a Work Area .....................................................................................25
Access to Work Tools .....................................................................................25
Develop a Work Plan ................................................................................26
10.3.1
10.3.2
10.3.3
Strategies ........................................................................................................26
Identify your Record Holdings .........................................................................26
Formulate an Action Plan................................................................................26
10.4 Appraising and Sentencing the Records ..................................................27
10.4.1
10.4.2
10.4.3
10.4.4
10.4.5
10.4.6
10.4.7
Organising the Records ..................................................................................27
Sentencing the Records..................................................................................27
Handle with Care.............................................................................................28
Filling in the Disposal Registers ......................................................................28
Control Records ..............................................................................................29
Boxing Records...............................................................................................29
Transferring Records to Queensland State Archives......................................30
Appendix 1 - Sample Appraisal Questions............................................31
Appendix 2 - Project Action Template / Checklist ................................32
Appendix 3 - Schedule Extract - Common Retention Periods for
Stations, District and Regional Offices (as at 29-04-04).......................34
Appendix 4 - Disposal Register Column Definitions ............................35
Appendix 5 - Disposal Register Handling Procedures (Flowchart).....36
Appendix 6 - Standard Box Reference...................................................37
3
1.
Overview
The QPS Records Retention and Disposal Handbook forms part of the Corporate Records
Management System framework of policies, procedures, standards and guidelines, designed to
help QPS members meet their obligations under the Public Records Act 2002.
The Handbook is divided into two parts. Part A details the procedures, standards and guidelines
associated with appraisal, sentencing, retention and disposal of records. Part B contains work
instructions and other helpful information to assist business areas with culling of records.
This handbook is to be used in conjunction with the QPS Records Retention and Disposal
Schedule and the QPS Location, Storage and Disaster Management Handbook to ensure that all
QPS records are lawfully disposed of in accordance with legislation, standards and accountability
requirements.
For advice on any aspect of retention and disposal, contact the Corporate Archivist on (07) 3364
3694.
Part A – Procedures, Standards and Guidelines
2.
Purpose
Each public authority must keep and manage records of continuing value to meet the business,
accountability and cultural needs of government. QPS, in consultation with Queensland State
Archives, is responsible for appraising the records it holds, identifying records of continuing value,
and setting appropriate retention periods for those records.
As a government agency, QPS is impacted by a number of regulatory requirements governing the
retention and disposal of records. (Refer to 6. Policy Source.)
In addition, effective retention and disposal procedures provide the following benefits:
•
QPS records are disposed of efficiently and legally, i.e. It can be proved that the records
concerned have been lawfully disposed of, rather than simply lost;
•
Users have better access to key information – only records with a continuing value are
maintained and obsolete records are identified and disposed of;
•
Ensuring quicker retrieval times, with less staff time and effort required to file and locate
records (e.g. discovery actions, FOI requests, etc);
•
Reducing the volume of records held in high cost office accommodation and achieving
economies in space, equipment and staff;
•
Improving the organisation of storage of electronic records; and
•
Enabling more effective planning for present and future growth of records holdings;
•
Records required by QPS for operational or legal purposes are retained for the appropriate
period of time;
•
Records of permanent value for historical, legal or administrative reasons are identified and
preserved, i.e. records of archival value are transferred to the State Archives, or kept
permanently by QPS;
•
Improves QPS’ ability to satisfy accountability requirements, by retaining evidence of past and
present decisions;
•
Records are grouped by destruction date to simplify the disposal process.
4
3.
Scope
The retention and disposal procedures apply to all QPS records of continuing value, regardless of
format. Records must be disposed of in accordance with the current QPS Records Retention and
Disposal Schedule.
4.
Definitions
For the purposes of this handbook, the following definitions apply:
Accountability: means the principle that organisations and their employees are required to
account for their actions to appropriate regulatory authorities, stakeholders and the public, to meet
statutory obligations, audit requirements, relevant standards and codes of practice and
community expectations.
Action Officer: means any member of QPS who receives and actions records as part of their
duties eg. Making or approving a decision, responding to a letter, noting a memo as read.
Active Record: means a record that is currently being acted upon by a member of QPS, or that
is regularly accessed.
Administrative Convenience Copy / Administrative Copy: means any unannotated copy of or
extract from a record, which has:
•
Not been marked as a File Copy; and
•
Has not been created to replace a missing original record; and
•
Exists only for administrative convenience (not requiring action) i.e. short-term reference.
Administrative copies are non-records and should not be entered into the CRMS. See also
Administrative Convenience / Administrative Use, File Copy and Replacement Copy.
Administrative Convenience / Administrative Use: means types of information that are only
required for short-term reference purposes and may be destroyed without permission from Qld
State Archives or the Manager (Administration Branch) i.e. non-records.
Consult the QPS Records Retention and Disposal Schedule for a full list of non-records. See also
Administrative Convenience Copy / Administrative Copy, File Copy and Replacement Copy.
Appraisal: means the process of evaluating business activities to determine which records need
to be captured and how long the records need to be kept, to meet business needs, accountability
requirements and community expectations.
Batch / Batch File: See File.
Business Owner: means the head of the business unit (e.g. division, branch, unit or
establishment) with delegated responsibility for making decisions regarding records that
document that business function or activity. For practical purposes the business unit may also be
considered as the Business Owner.
Capture: means a deliberate action that results in the registration of a record into a business
system or a record system.
Continuing Value: means the value given to public records that requires them to be retained on
a temporary or permanent basis. Records of continuing value provide evidence of QPS business
activities or transactions, and may provide other continuing legal, financial, administrative,
operational, informational and research value. They include originals and certified copies.
Corporate Records Management System (CRMS): means the State-wide, standardised and
systematic methods used in QPS for capturing, controlling, maintaining and providing access to
public records of continuing value. It is controlled by policies, procedures, standards, guidelines
and work instructions, which comply with legislative requirements, national and international
standards and best practice as well as business and government imperatives.
The CRMS includes records management and correspondence management software, HRIS,
SAP R/3, POLARIS, manual indexing systems, etc.
5
Custody: means:
1. The responsibility for the care of records, archives or other material usually based on the
physical possession of records. Custody does not always include legal ownership, or the right
to control access to records; and
2. The physical location of the records or archives.
Destruction: means physically disposing of records that do not have continuing value by, for
example, incineration, shredding, pulping or deletion.
Disposal: means:
1. The final decision concerning the fate of records. Disposal includes:
(a) Keeping all or part of a record;
(b) Destroying, deleting or migrating a record or part of a record; and
(c) Transferring a record or part of a record.
2. A program of activities to aid the orderly transfer of records from current office space into
alternative or archival storage. (Often referred to as “culling”).
Disposal Schedule / Disposal Authority / Retention Schedule: means a document which
describes the classes of records created by an organisation and defines the retention periods and
disposal actions authorised for each record class, e.g. destruction, transfer to State Archives,
retained permanently by QPS. Within QPS, the approved disposal authority is embodied within
the QPS Records Retention and Disposal Schedule.
Document: means structured units of recorded information, published or unpublished, on any
medium, intelligible without further processing except for presentation on screen or on the printed
page. A document can be a memo, minute, report, form, electronic document, spreadsheet, email
etc.
Electronic Records: means records created, communicated and maintained by means of
electronic equipment. See also Technology-Dependent Records.
File: means an organised group of documents, managed as a discrete object because they deal
with the same subject, activity or transaction. The group of documents may be fastened together
with or without a cover. A file cover may be a simple manila folder, a ring binder, a commercially
printed file cover, etc. Files are sometimes referred to within QPS as “batches”.
File Copy: means a copy kept as evidence of business activity and placed on file when the
original document is sent outside of QPS or out of the control of the Records Management
System e.g. a reply letter sent to an external organisation. File copies must be treated as
originals and stamped or marked “FILE COPY”. See also Administrative Convenience Copy /
Administrative Copy and Replacement Copy.
GEORGE Code Abbreviation: See Polaris ID.
Inactive Records: means those records no longer required for conducting business and which
may therefore be transferred to secondary storage, archival custody or destroyed. See also
Semi-active Records.
Non-records: are items of short-term temporary informational value, i.e. reference sets of
directories, address lists, price lists, superseded manuals and instructions. They should not be
incorporated into the record-keeping system. Non-records are not subject to the QPS Records
Retention and Disposal Schedule and are only retained until administrative use has ceased.
Consult page 104 of the QPS Records Retention and Disposal Schedule for more information on
non-records.
Permanent Records: are records that have long-term historical, legal or high administrative
value and are retained permanently either in-house by QPS or transferred to Queensland State
Archives.
Consult page 105 of the QPS Records Retention and Disposal Schedule for more information on
permanent records.
6
Polaris ID: the 2 to 6 character alphabetic code used to identify QPS establishments e.g.
WYNSTN = Wynnum Station. The Polaris ID is used as part of the box number when boxing
records. Also known as George Code.
Public Authorities: include State and Local Government Agencies, State Courts, Statutory
Authorities, Commissions of Inquiry, Ministerial offices and, unless specifically exempted,
Government Owned Corporations (GOCs).
Public Records: are
•
Records made for use by, or a purpose of, a public authority;
•
Records received or kept by a public authority, in the exercise of its statutory, administrative or
other public responsibilities or for a related purpose;
•
Ministerial records.
Record / File Series (Record Class): means a broad collection of similar records that are
maintained as a unit because they result from the same classification process. They have a
relationship based on subject, function, activity, format, creation, receipt or use.
Records: are recorded information, in any form, including data in computer systems, created or
received and maintained by an organisation or person in the transaction of business or the
conduct of affairs and kept as evidence of such activity.
Records Continuum: means the whole extent of a record’s existence, i.e. managing right from
the design of the recordkeeping system and the creation of records, through to the preservation
and use of records as archives.
Records Custodian: means the position with delegated responsibility for managing and
controlling a records collection, including secure storage and (where authorised) provision of
ready and controlled access.
Records Inventory: is a summary of records held by an organisation. It includes all categories
of records held within the organisation’s record holdings.
Records Management: is the corporate function of managing records to meet operational
business needs, accountability requirements and community expectations. Records management
includes the systematic capture, control, maintenance, distribution, access and disposition of the
records, and is primarily concerned with capturing complete, accurate and reliable evidence of
organisational activity for current business purposes.
Records Owner: See Business Owner
Replacement Copy: means a copy created to replace a missing original record. Replacement
Copies should be stamped or otherwise marked “Treat as original”. See also Administrative
Convenience Copy / Administrative Copy and File Copy.
Retention: means the act of keeping records for as long as they have continuing value to the
organisation. It includes the permanent retention of records, stored either in-house or at Qld State
Archives.
Secondary Storage: means a storage facility for inactive temporary records that must be
retained until their designated retention period is reached. Such storage may be in low-rent
accommodation belonging to QPS or provided by a commercial storage provider. For electronic
records, secondary storage is an off-line or near-line repository for information drawn from an
active information system.
Semi-active Records: are those records that are required so infrequently in the conduct of
current business that they can be transferred from offices to separate storage areas.
Sentencing: means applying relevant and appropriate disposal schedules to records.
Storage: means the records management function of storing records for future retrieval and use.
Technology-Dependent Records: means records requiring a technological device or machine
for creating, storing, accessing and using them. Technology-dependent records include:
7
•
Computer-generated records (electronic records) such as records created or stored on
optical disks, e.g. word processing documents, spreadsheets, images, etc. and records
generated through e-mail and web pages;
•
Audio-visual records such as records generated and stored on reel-to-reel film, aerial film,
video, audiocassette tapes, digital recording devices and micrographic media such as
computer output microfilm, microfiche and aperture cards.
Temporary Records: are records that are not considered to have long term historical, legal or
high administrative value, and which can be disposed of once their retention period has expired
and approval for their destruction has been obtained from the Manager, Administration Branch.
Note: these records may become permanent if they are found to have continuing value beyond
their specified retention period or they meet the criteria for permanent records.
Transfer: is the process of transferring custody or ownership of records to another business unit
within QPS or an external agency (e.g. Qld State Archives, Qld Transport, etc).
5.
Accountabilities
The Commissioner is responsible for ensuring that the QPS complies with lawful records
retention and disposal through the associated procedures, standards and guidelines.
Business Owners are responsible for ensuring that designated retention periods comply with
legislation, standards, and accountability and business requirements, in consultation with
Administration Branch.
Records Custodians are responsible for ensuring that records are disposed of in accordance
with QPS policy and in consultation with business owners.
The Manager, Administration Branch is responsible for approving the disposal of QPS records.
Administration Branch is responsible for:
•
Coordinating the effective and economic management of QPS records;
•
Setting policy, standards and procedures; and
•
Providing advice and training to assist establishments in retention and disposal activities.
All QPS Personnel are responsible for following records management policy, standards and
procedures as described in this handbook and other relevant publications pertaining to records
management within the QPS.
6.
Policy Source
Public Records Act 2002
Freedom of Information Act 1992
Judicial Review Act 1991
Financial Administration and Audit Act 1977
Police Service Administration Act 1990
Public Service Act 1996
QPS Records Retention and Disposal Schedule
7.
Reference Material
Information Standard No 18: Information Security
Information Standard No 31: Retention and Disposal of Government Information
Information Standard No 40: Recordkeeping
Information Standard No 41: Managing Technology-Dependent Records
BSB01 Business Services Training Package: Units of Competency – Recordkeeping
8
AS ISO 15489 – Records Management
Disposal Register (accessible on Forms Select - QP380)
QPS Corporate Thesaurus (accessible on the QPS Bulletin Board)
QPS Referencing Standard
Queensland State Archives publication guides
Disposing of State Records – NSW State Records
8. Appraisal, Sentencing, Retention and Disposal of Records
8.1
Summary
1. Records pass through several different phases during their existence, sometimes referred to
as the records continuum:
i)
Records creation — the creation of a record or document e.g. writing a report, replying to
a letter, recording an interview tape, etc.
ii) Creation of metadata — assigning data that identifies the context of the document (e.g.
author, date written, abstract of the content, current location, etc), its structure or form and
how it relates to other records, which consequently produces a “complete” record. The
metadata may be entered into a database, an index card system, a correspondence
register, etc.
iii) Capture into the corporate memory — the capture of a record into a formal QPS records
system that provides records storage and retrieval of records. Note: Often phases ii) and
iii) occur simultaneously.
iv) Capture into the collective memory of the State of Queensland — the capture and
use of records needed for historical and other forms of reference e.g. transferring records
to State Archives and subsequently making those records available to researchers. Note:
Not all records reach this phase. Many records can be destroyed when they cease to be
of value to QPS.
The processes of appraisal, sentencing, retention and disposal support these four phases.
2. Appraisal is a process that involves determining:
•
The business functions and activities of QPS;
•
Which records should be captured into the CRMS; and
•
How long those records should be retained to meet the business, accountability and
regulatory requirements of QPS.
3. One of the outcomes of the appraisal process is a disposal schedule that sets out the
actions to be taken in relation to different classes of records. Those actions that prescribe
retention periods for, and the ultimate disposal of the records are known as disposal actions.
Within QPS, such disposal actions are contained in the QPS Records Retention and Disposal
Schedule. The schedule is prepared under Section 13 of the Public Records Act 2002 and has
been approved by the State Archivist. All QPS records, regardless of media or format, have
a defined minimum retention period for which they must be retained. Unauthorised disposal of
a public record is an offence under the Public Records Act 2002 and liable for penalty.
4. Sentencing is the process of identifying and classifying records according to the disposal
schedule and applying the disposal action specified in it, e.g. destroy after 7 years from date
of last action. Together, appraisal and sentencing help agencies to identify how long individual
records should be retained.
5. Disposal includes the retention, deletion or destruction of records from the CRMS, migration
or transmission of records between recordkeeping systems, and the transfer of custody or
ownership of records.
6. Appraisal, sentencing and disposal allows an organisation to:
•
Minimise the risks of accidental and/or unauthorised destruction of records;
9
•
Reduce the costs of continuing to keep records unnecessarily; and
•
Identify earlier and more systematically those records that need to be retained
permanently.
8.2
Procedures
8.2.1
Identification and Appraisal of Records
1. All public records generated or received by the QPS, regardless of content, format, media,
type, physical location, transmission, custodianship or source must be appraised for:
•
Continuing value to QPS and/or to the State of Qld;
•
Intended purpose; and
•
Current use.
2. Records have a primary, secondary or potential business value(s), which is to be taken into
consideration during records appraisal. Refer to Section 8.3 – Standards for a detailed
explanation of the various types of business value.
3. The QPS must develop and maintain, in association with the State Archivist, a QPS Records
Retention and Disposal Schedule, which documents appraisal decisions for each class of
record created and managed by the Service.
4. The continuing value of all documents created or received by members of the QPS in their
official capacity must be determined by the relevant records officer.
8.2.2
Current Use
1. With the exception of records created for police Intelligence, the current use of a record
should reflect the intended purpose.
2. If a record is required for police intelligence purposes to be used for a purpose other than that
for which the record was created and intended, this must be documented in writing and placed
on the appropriate file, to ensure that the record is sentenced appropriately.
8.2.3
Sentencing Records
1. Only records with continuing value should be captured into the Corporate Records
Management System. Where possible, records must be sentenced on creation or capture to
ensure that:
•
They are not accidentally disposed of; and
•
Retention and disposal exercises are more manageable and systematic, thereby avoiding
large backlogs of unsentenced records waiting appraisal at the end of their continuum.
2. Records must be reviewed prior to disposal to ensure the sentence has not changed, due to
updates to the disposal schedule or changes to the value of the record.
8.2.4
Retention Periods
1. QPS records, regardless of format or media, are to be disposed of in accordance with the
QPS Records Retention and Disposal Schedule.
2. Records are retained for a defined period of time that is either permanent or temporary. These
periods are documented in the QPS Records Retention and Disposal Schedule. All records of
historical value must be retained permanently.
3. Under the Public Records Act 2002, records 25 years and older may possess archival value,
requiring permanent retention. Records custodians / business owners must advise the QPS
Records Retention and Disposal Committee of any such record holdings.
4. Temporary records may change their retention status to permanent if:
10
•
They prove to have continuing value beyond their specified retention period as detailed in
Section 8.3 – Standards; and
•
They meet the criteria for permanent records detailed in the QPS Records Retention and
Disposal Schedule.
5. Where a record / file series is not listed in the QPS Records Retention and Disposal Schedule,
notify Administration Branch so that approval for an appropriate retention period can be
sought from the State Archivist.
6. No record may be disposed of without the prior approval of the State Archivist and the
Manager, Administration Branch, and the authorisation of the QPS Business Owner (or
delegate) of the record.
7. Records must not be disposed of if they are active, un-finalised or subject to appeal or
pending court action. Obtain legal advice prior to disposal if doubt about the legality or probity
of the disposal exists.
8.2.5
Storage of Inactive Records
Inactive records that are to be removed from active storage must be stored in appropriate
containers to ensure their longevity. See Section 8.3 – Standards and the QPS Location,
Storage and Disaster Management Handbook for further details on appropriate storage and
organisation of inactive records.
8.2.6
Authority for Disposal of Records
1. Authorisation and approval is sought via the Disposal Register (QP380) (available from
Forms Select).
2. Record custodians must submit a completed Disposal Register, detailing records due to be
archived or destroyed, to the Manager, Administration Branch on an annual basis, to ensure
that the retention and disposal process does not stagnate.
3. The Disposal Register must detail the type of record and the period of time covered by the
record. If the business owner wishes to request that a temporary record be retained
permanently, the reason for the requested change of retention status must be documented.
4. Administration Branch must retain a permanent record of all QPS records disposals.
5. Further details on completing and handling Disposal Registers are provided in Section 8.4 Guidelines of this manual.
8.2.7
Additional Arrangements for the Disposal of Financial Records
Consult the QPS Records Retention and Disposal Schedule
1. Financial records are to be retained in their original form (or in a form admissible in evidence
in any legal proceeding):
•
For at least twelve months from the time the Auditor-General (or an authorised officer of
the Auditor-General's Department) completed the QPS audit for the financial year to which
those accounts and accounting records relate; and
•
For the period of retention indicated in the QPS Records Retention and Disposal
Schedule.
2. The QPS Records Retention and Disposal Schedule conforms to the:
•
Financial Management Standard 1997;
•
The QPS Financial Management Practice Manual; and
•
Criminal Justice Commission, written advice, 10 April 1992.
Check that the Retention Period for the Series Has Expired.
3. Do not destroy financial records unless the record:
11
•
Is of a type specified in the QPS Records Retention and Disposal Schedule;
•
Has been retained in its entirety for the retention period indicated in the QPS Records
Retention and Disposal Schedule; and
•
Has been approved for destruction by the Manager, Administration Branch.
Disposal of Accountable Forms
4. Return for refund of any stamp duty:
•
Unused cheque forms or;
•
Unused money forms that are obsolete or damaged; and
•
Cheque forms that are spoiled or cancelled before issue.
5. Accountable forms may be destroyed provided that:
•
An authorised officer gives written approval for the destruction of those forms in a
statement which clearly details the form’s particulars:
•
In the case of unused accountable forms – authorisation is required from the relevant
Assistant Commissioner or Director;
•
In the case of used accountable forms (which are records under the Public Records
Act 2002), the Manager, Administration Branch must approve the destruction.
•
The destruction of those forms is performed by or witnessed by two authorised officers in
the presence of each other;
•
Both witnessing officers certify to the destruction on the statement; and
•
The statement is preserved and filed for audit purposes.
6. Accountable forms are deemed to be destroyed at the time of their being locked in a security
bin, where an approved security disposal firm removes the bin for destruction of its contents.
8.2.8
Additional Arrangements for the Disposal of Human Resource Records
Consult the QPS Retention and Disposal Schedule.
1. The QPS Records Retention and Disposal Schedule details requirements in relation to the
retention and disposal of Human Resource records.
Check that the Retention Period for the Series Has Expired.
2. Do not destroy HR records unless the record:
•
Is of a type specified in the QPS Records Retention and Disposal Schedule;
•
Has been retained in its entirety for the retention period indicated in the QPS Records
Retention and Disposal Schedule; and
•
Has been approved for destruction by an authorised HR officer in writing and the
Manager, Administration Branch.
8.2.9
Destruction of Records
1. Permanent records must not be destroyed.
2. A temporary record must be destroyed in the manner specified by the State Archivist at the
end of the retention period unless it is determined to have continuing value beyond the
approved retention period.
3. Records must be destroyed in a manner that ensures that their information security is
preserved. The same applies to non-records (including administrative convenience copies and
drafts) destroyed at the end of their administrative use. See Section 8.3 – Standards for
further details on acceptable methods of destruction for paper and electronic records.
12
8.2.10
Transfer of legal ownership of a record to another agency
Records of no continuing value to the QPS (but having continuing value to another government
agency) may be disposed of by transfer of legal ownership of such records to the other agency. In
these instances:
•
The records custodian must maintain a list and an audit trail of all records transferred to the
legal ownership of another agency;
•
All action required by the QPS must be finalised prior to transfer of legal ownership of a record
to another agency; and
•
Administrative convenience copies of a record transferred to the legal ownership of another
agency must be destroyed by QPS after administrative use ceases. Failure to do so leaves
the QPS liable to the expense of searches for copies of records under legislation allowing
access to and release of records retained by the QPS (e.g. FOI, Evidence Act applications.)
8.2.11
Transfer of Records to Queensland State Archives
Permanent records may be transferred to State Archives after administrative use has ceased,
subject to approval by the State Archivist.
•
All permanent records must be on archival quality paper, or microfilmed before transfer to
State Archives; and
•
All historical records must be offered to the Police Museum if they are not required to be
forwarded to State Archives.
8.2.12
Records Over 25 Years Old
1. In accordance with section 10 of the Public Records Act 2002, QPS must advise the State
Archivist of the existence of any records over 25 years old in QPS custody.
2. The QPS Records Retention and Disposal Committee must be notified of all such records that
are not still in active use, to provide this information to State Archives.
8.2.13
Technology-Dependent Records
1. Technology-dependent records (including electronic records such as e-mail sent or received
in the course of business) serve the same functions as paper records and have the same
retention requirements.
2. All technology-dependent records must be retained in a manner that preserves their evidential
integrity, particularly where the technological platform changes over time (e.g. new software
versions, changes to operating systems, etc). This includes:
•
Ensuring technology-dependent records continue to be accessible in a useable and
meaningful form, irrespective of the origin, location or format of those records; and
•
Maintaining such records in their original representation or form.
3. Permanent electronic records may be printed to archival paper or to microfilm prior to transfer
for permanent retention by State Archives, subject to approval.
4. Short and medium-term records may be created and maintained in their original form where a
documented policy and strategy exists to retain the record for its entire approved retention
period.
5. Appraisal decisions about the value of electronic records must be made when records and
information systems are being developed, established, reviewed or upgraded. These
decisions must be incorporated in the business rules of the information system.
6. If the record is stored on more than one medium (such as both paper and disk, or microfilm),
the QPS Records Retention and Disposal Committee must determine, in consultation with
business owners, which set constitutes the record. The material on the other medium can be
considered as an administrative convenience copy and be discarded when administrative use
ceases. Note: The Committee and business owners must consider the application of the
13
‘secondary’, or ‘best evidence’ rule as it may apply to authenticated ‘copies’ of electronic
records required as potential evidence in a court of law.
8.2.14
Retention of Imaged Records and Their Originals
1. QPS business areas wishing to implement electronic imaging systems for storage and
retrieval of documents and records must consider the following issues:
•
Original records can often be authenticated by examination of physical characteristics and
the presence of original signatures. This may be important in the detection of fraud. By
copying original records to another medium, QPS may be disadvantaged if called upon to
authenticate certain records;
•
It must be possible to verify that all copied information has been captured completely and
accurately in the normal course of business; and
•
Imaged records on electronic storage media require careful management to ensure that
records are maintained in an accessible format for the authorised retention period, e.g.
There is a high risk of obsolescence of the hardware and software needed to retrieve
information from electronic storage media. A management plan for ongoing media
refreshing and data migration is required.
2. If a business area decides to proceed with an imaging solution, approval must be sought from
the QPS Records Retention and Disposal Committee. As imaging usually also involves the
destruction of the original paper records, the Committee must seek the permission of the State
Archivist to dispose of the paper record.
Temporary records
3. Original paper public records which are identified as temporary records and which have
been captured by an electronic imaging system may be destroyed provided that:
i)
A minimum retention period, disposal action and disposal authority has been approved
by State Archives;
ii)
QPS ensures, and provides evidence to State Archives, that systems are in place to
maintain the captured image of the complete public record in an accessible, unalterable
and readable form for the required retention period which would apply if the public record
were in its original paper form;
iii)
The requirements of section 57 of the Financial Management Standard 1997, and the
relevant provisions of the Evidence Act 1977 have been met;
iv)
It can be demonstrated that the quality of the image is such that it can be considered a
true and complete copy; and
v)
Verification procedures are implemented to ensure that all information has been
captured.
Permanent records
4. Original paper public records which are identified as permanent records and which have
been captured by an electronic imaging system may be destroyed provided that (in addition to
(i) to (iv) above):
vi)
The public record has been identified as a permanent record by Queensland State
Archives;
vii) QPS has established policy and procedures to provide public access to permanent
records which would normally be transferred to the custody of Queensland State
Archives in paper form and which would be accessible under the Public Records Act
2002 after the restricted access period expires; and
viii) The permanent paper records are not required for transfer to Queensland State Archives.
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8.2.15
Webpages and Websites
1. Webpages and websites created and published by QPS, and the electronic transactions
carried out on them, are public records and must be disposed of according to the QPS
Records Retention and Disposal Schedule.
2. The publication of a webpage is a business transaction and, therefore, a public record subject
to legislation and legal processes. Business transactions conducted via a website must be
documented with full and accurate records.
3. Webpage and website records that are required to be retained as evidence of business
activity must be captured and managed in a recordkeeping system.
4. The structure, context and content of webpages and websites must be captured to ensure that
full and accurate records are maintained.
5. Webpage and website records must be readily accessible and usable to meet business,
legislative, accountability, and cultural requirements.
6. Records of websites and webpages must be appropriately protected against unauthorised
access, disclosure, manipulation, improper concealment, deletion, or removal.
8.3
Standards
8.3.1
General Standards for Appraisal and Sentencing of Records
1. Appraisal and sentencing may occur at three points during the records continuum:
•
On creation;
•
On capture into the CRMS during the classification and indexing of records into the system
(often this occurs simultaneously with the creation process); and / or
•
At the end of the record’s life and prior to destruction or transfer to Queensland State
Archives.
2. Appraisal includes determining the:
•
Primary / source value i.e. the intended purpose or business use for which the record
was created; and
•
Secondary value other than the record’s original purpose e.g. informational, historical and
archival value.
Appendix 1 provides a sample list of questions that should be asked when appraising
records.
3. Appraisal and sentencing of records should be an ongoing exercise with the retention or
disposal of records occurring at least once per year to ensure no stagnation of the process.
8.3.2
Value of Records
1. The value of a record is based on its content, use and purpose. Records have either
ephemeral or continuing value.
•
Records of ephemeral value have either immediate, limited value or no continuing value
to the organisation and have no requirement for retention;
•
Records of continuing value, (both active and inactive) may have either:
•
Temporary retention status (retained for a specified retention period and then
destroyed); or
•
Permanent retention status (retained permanently, either by Queensland State
Archives or QPS)
Records of continuing value are listed in the QPS Records Retention and Disposal Schedule.
2. Records generated for an intended business purpose (i.e. their primary value) are frequently
used for other purposes (secondary value). Records may also have potential value.
15
8.3.3
Primary or Source Value
The primary value of a record is determined by the specific and intended purpose for which the
record was created and generally reflects current use. It is the value records may have to the
creating office in carrying out its operational or administrative duties.
8.3.4
Secondary Value
The secondary value of a record is determined by uses other than intended purpose. A public
record will often have a secondary legal and evidential value. QPS operational records often have
a secondary police intelligence value.
8.3.5
Potential Value
Records may be retained in certain instances for potential value unrelated to the intended
purpose or current use (eg for intelligence purposes). Generally, records are not retained for a
secondary value that can only be realised with a technological breakthrough.
8.3.6
Types of Business Values
1. Records of continuing value may have one or more of the following business values:
• Administrative / management value;
• Financial value;
• Legal value;
• Operational value; and
• Informational / historical / archival value.
2. In addition all records possess evidential value, in that they prove that a certain event did or
did not occur, or a certain decision was or was not made.
3. The evidential value of a record is improved when:
• The record is created in routine circumstances in the normal course of business;
• Original records are protected and copies are controlled, certified as true copies, and able
to be authenticated;
• The record is managed in a systematic and standardised records management system with
other like records;
• The custody of the record can be readily determined as a result of clearly defined rules of
record ownership and custodianship;
• Full audit trails exist for all record movements; and
• The record has been made by a person with personal knowledge of the facts, or with
relevant expertise.
8.3.7
Management / Administrative Value
1. Records received, created, deposited, held, managed or controlled by the QPS that:
• Assist in the daily organisation and long term management of the QPS, including its
mission, outcomes and corporate goals;
• Analyse and recommend improvement in the business functions of the QPS as a part or as
a whole i.e. organisational reviews;
•
Have been ordered in such a way as to add to their primary value (e.g. statistical analysis);
•
Support operational policing, operational support and corporate service functions;
•
Document development and implementation of policy, procedures, guidelines which assist
the office to perform business activities;
16
•
Document standards achieved and followed (e.g. academic standards, police recruits'
student records);
•
Document decisions constituting precedents (e.g. reports, committee agenda, minutes)
and subsequent action;
•
Document the existence, location, access, security provisions and disposition of other
records (including electronic databases and non-paper records) (eg indexes, registers).
•
Document processes and outcomes of QPS business functions; and
•
Document business transactions (e.g. within the Service, between agencies)
Are administrative records.
2. Other examples of administrative records include cabinet submissions, Questions in
Parliament, Solicitor General and Crown Solicitor opinions and annual reports.
8.3.8
Financial value
1. Records that help QPS business units budget and account for expenditure have continuing
financial value.
2. Financial records may have continuing value after they have served their primary function
when they:
•
Provide evidence for any audit purposes or legal purposes; (eg by the CMC for the
purposes of misconduct investigations);
•
Protect QPS in accounting for the expenditure of funds; and
•
Provide precedence.
3. Examples of financial records include journals, ledgers, audit reports, bank deposit slips, cash
by post books, financial statements and reports, etc.
8.3.9
Legal value
1. Records with legal value have value as legal instruments in protecting the:
•
Legally enforceable rights or obligations of the QPS;
•
Legally enforceable rights or obligations of clients of the QPS; and
•
Documenting the legal requirements of QPS.
2. Examples include:
•
Leases;
•
Deeds;
•
Contracts; and
•
Agreements.
8.3.10
Operational Value
1. Records which help the QPS business function accomplish the activities for which an office is
responsible, and continue to be useful in supporting that business activity have continuing
operational value.
2. Operational policing records have continuing operational value when the matter contained in
the record:
•
Is active or un-finalised; (e.g. unsolved crimes)
•
Has value as a precedent;
•
Has potential value (e.g. intelligence usage applies); or
•
Contains supplementary material necessary to document fully the tactical decision making
and management of the policing activity or operation.
17
8.3.11
Informational / Historical / Archival Value
1. Records have a continuing informational value if they provide a background and contextual
relationship to other records of value to the QPS or the State of Qld, or provide precedence on
which to base decisions or actions. Records with continuing informational value may also
have either archival and / or historical value.
2. Records with archival value have a fundamental value based on age or rarity. This applies to
all records over 25 years old unless otherwise advised by the State Archivist. Archival
records must also be assessed for historical value. It is important to remember that the value
of the record may be based on factors other than content and business use.
3. Records have historical and permanent value if they reflect historical events or document the
history and development of an office. These include records of importance which:
•
•
•
8.3.12
Document the history of the State of Qld; e.g.
•
Social, political, economic, and educational events and trends;
•
Local regions, towns;
Document development and changes in policing in Queensland; e.g.
•
Agency histories;
•
Organisational charts;
•
Documentation relating to agency reorganisation;
•
Functional statements;
•
Delegations of authority;
•
Policies;
•
Annual Reports;
•
Minutes and Reports of standing, special, and ad hoc committees, and other meetings;
•
Academy curriculum reforms; and
•
Stations (e.g. stations opening and closing);
Are of interest to biographers and family historians, e.g.
•
Personnel papers and files concerning prominent personalities; and
•
Taped oral histories of past or serving police officers.
Disposal Triggers
Disposal triggers establish the disposal action that is to occur on a record. Disposal triggers
should be clearly identified and specify a disposal action and an event or date from which the
retention period is calculated, e.g. Retain for 5 years after last action, retain for 70 years from date
of birth or 7 years from date of separation, whichever is later.
8.3.13
Retention for a Further Period
1. Generally, records that have not been actioned for twelve months to two years can be
removed from active storage to lower-cost off-site storage for physical records or off-line
storage in the case of electronic records. Deciding when to move records into secondary
storage is generally based on how much active storage is available.
2. Records placed in secondary storage should remain accessible and retrievable for their entire
lifespan, while providing adequate protection in line with information security requirements.
3. Migration strategies should be developed to ensure that electronic records continue to be
accessible and retrievable, regardless of future software versions and technology upgrades.
4. Records due for destruction at a later date:
18
•
Should be documented in a manner that prompts regular (e.g. annual) destruction of
records where their retention period has expired, i.e. preparing disposal registers;
•
Should be stored in an environment conducive to their preservation (particularly long-term
temporary records), i.e. protected from humidity, temperature variations, vermin, dust etc;
and
•
Should be grouped together by destruction date, i.e. all records due for destruction in 2002
should be stored together.
8.3.14
Organising Inactive Physical Records
Boxing Records
1. Archive Type 1 (one) boxes (380x255x168mm) are the standard container for paper records,
e.g. foolscap and A4 sized files and should be used whenever appropriate.
2. Archive Type 2 (two) boxes (371x338x115mm) are designed to accommodate large format
material such as lever arch or ring folders and may be used for non-standard sized records.
3. If the size of the records precludes the use of either box type, contact Administration Branch
for advice. Reflex boxes or other second-hand boxes should not be used.
4. Permanent records are to be boxed separately from temporary records. Temporary records
should be boxed by retention year (after which destruction may be requested).
5. The end of the box is to be marked with a standard box reference, which provides the
following information:
•
Business Owner Code;
•
Retention Type Code (Temporary or Permanent);
•
Retention Year Indicator (Temporary retention boxes only); and
•
Sequential Number
6. See Appendix 3 for details of the box referencing standard.
Listing of records
7. Each box should contain a list of the records it contains. The listing should be made on a
QP380 form.
8. Where Administration Branch has a storage agreement with business areas, records will not
be accepted unless they are correctly boxed and listed.
8.3.15
Transfer of Custody or Ownership
1. Records may need to be kept for a longer period than the life of the organisation or business
unit that created them. In these cases, custody or ownership of the records is transferred to
another organisation or business unit.
2. Where this occurs, the records requiring transfer should be removed from the recordkeeping
system and transferred.
3. Formal agreements should be established between the custodian and the transferring
organisation to ensure that the records continue to be maintained and managed appropriately.
4. For further information, refer to the QPS Records Custody and Ownership Handbook.
8.3.16
Copies of Records
Copies of records are generally regarded as non-records and may be disposed of without
completing a Disposal Register or seeking formal approval. It is important to note that a copy
assumes the status of a record when:
•
A copy is annotated with comments, actions, diagrams or other marks that give it continuing
value;
19
•
The original is lost or accidentally destroyed and is replaced with a replacement copy (the
copy must be marked “treat as original”);
•
Litigation, legislation, discovery action or other events cause draft documents to hold
evidential value; or
•
The original has been forwarded to another agency or organisational area and a file copy is
retained by QPS as evidence of the transaction.
8.3.17
•
Destruction Methods
Records destruction should be:
•
Authorised – formal disposal authorisation by the Business Owner and the Manager,
Administration Branch;
•
Appropriate – destruction methods should be irreversible and environmentally friendly;
•
Secure/confidential – the method of destruction must safeguard against loss or
unauthorised access and disclosure;
•
Timely – ensure that records are kept for the minimum legal period, but no longer than
they are required; and
•
Documented – all record destructions must be documented (i.e. Disposal Registers).
Paper Records
•
The approved methods of destruction for paper based records are:
•
Burning - burning of records should only be done if there is no environmentally friendly
method of destruction available. Records should be burned in accordance with any
environmental guidelines and local burning restrictions, in an industrial facility;
•
Pulping - pulped paper is reduced to its constituent fibres. If carried out correctly, it can be
a most secure method of destruction. Pulped paper is usually recycled; and
•
Shredding - the security provided by the shredding of records depends on how fine the
paper is shredded. For particularly sensitive documents cross shredding may be needed.
•
Do not bury records at rubbish dumps or place them in industrial bins, general collection
rubbish bins or other unauthorised receptacles.
•
A responsible officer or a representative must supervise the destruction of the records and
remain at the site until all records are effectively and completely destroyed.
•
If a third party is used for destruction of records, a destruction certificate must be obtained
and retained permanently. See 8.3.18 for more details.
Electronic Records
•
•
Magnetic storage media (such as tape reels, floppy disks and hard disks within personal
computers) containing QPS information to be destroyed must be erased (not merely deleted
or overwritten) prior to:
•
Return to a vendor for trade-in;
•
Servicing; or
•
Disposal.
Highly Protected and Protected records stored on magnetic storage media must be destroyed
using zeroisation programs in conjunction with low level formatting, degaussing, shredding or
other methods approved by the Manager, Information Security.
Audio/Visual Media
•
Videos, cinematographic film and microforms (microfilm/ fiche/ aperture cards) should be
destroyed by shredding, cutting, crushing or chemical recycling.
20
8.3.18
Using a Contractor for Records Destruction
1. Where business areas decide to contract out the destruction of their records, it is their
responsibility to ensure that the records are destroyed in accordance with the approved
methods.
2. If a contractor is being employed to destroy records, they should issue a certificate of
destruction. Ensure that you know what method of destruction the contractor is using and
request that the certificate of destruction note the method used. Some contractors may
change their method of destruction due to an over-supply of pulped paper or due to the
cheaper costs of burying or dumping records.
8.4
8.4.1
Guidelines
When to Appraise and Sentence
1. Records should be appraised and sentenced when they are created or captured into the
recordkeeping system, regardless of whether the system is electronic or manual, i.e. allocate
a retention period as an integrated part of classifying and titling a record.
2. Appraising and sentencing at creation allows QPS to manage records according to their value
and ensures that they are preserved for only as long as they are needed. The benefits of
sentencing at creation include:
•
Improving the overall management of QPS business by ensuring that all records will be
available for as long as they are required;
•
Supporting the appropriate storage of records for as long as the record is needed (e.g.
ensuring electronic records are migrated to new systems; assisting in the decision to use
appropriate media for the creation of records); and
•
Preventing large accumulations of records that no longer have any value to QPS, hence
saving Service resources and improving retrieval.
3. Records must also be re-appraised when it is time to transfer or destroy them to ensure that
the sentence is still appropriate.
4. Traditionally within QPS, sentencing and destruction or transfer usually happen together,
when a business area identifies a need to cull a backlog of records to create more storage
space. Establishing a good records management plan will ensure regular sentencing,
destruction and transfer so that large backlogs do not occur.
8.4.2
Disposal of Records
1. Records may be disposed of according to the QPS Records Retention and Disposal Schedule
providing the record has no continuing value to QPS or to the State of Queensland. Follow the
steps below:
Appraise the Continuing Value of the Record
2. In consultation with the business owner(s), appraise records prior to any decision regarding
disposal to ensure valuable documents are not mistakenly destroyed. This includes physical
re-examination of records that have previously been appraised in case their continuing value
has changed, requiring a longer retention period.
3. Consult the state-wide QPS Records Retention and Disposal Schedule. Note: the periods
listed in the schedule are minimum periods. Records can be kept longer if required, but it is
important to balance storage issues against keeping expired records just in case they are
needed.
4. Determine the appropriate functions and activities that the record documents. (Alternatively,
the specific type of record may be listed in the index.) If you are sentencing at creation and
using the Corporate Thesaurus, the process should be straightforward. If you are dealing with
older files, the content of the file may vary widely from the original title. Ensure you examine
the documents on file before making a final decision.
21
5. If the record / file series is listed, the minimum retention period will be indicated:
•
Sentence the record using the retention period and (for temporary records) identify a date
when the record can be disposed of;
•
Implement the disposal action – if the record can be disposed of, obtain approval and
implement the disposal action; and
•
If the record is still in active use, set a review date for the future.
6. If the record / file series is not listed, contact Administration Branch for advice. Administration
Branch will arrange to appraise the record according to Section 8.3 – Standards in
consultation with the Business Owner and State Archives, to arrive at an approved retention
period.
7. Where a record may fit into more than one disposal class, always use the class with the
longest retention period.
8. The following should also be taken into account when appraising and sentencing records at
the end of their continuum:
•
Finalisation of the matter recorded (e.g. unsolved crimes);
•
Period of time a matter is subject to appeal;
•
Whether the records relating to a particular issue are contained in a single file or a series
of file parts;
•
Size of the file – this should give an indication as to its activity and importance. Larger files
should be given closer attention;
•
File title - titles (or equivalent) have not always accurately represented file contents. Some
files will contain documents requiring different retention periods, or in some cases, even
permanent and temporary records together on the same file. In these instances the entire
file will need to be kept for as long as the document with the longest retention requirement;
•
Purpose and use of the record - Section 8.3 – Standards provides details on the intended
purpose of records. It is important to note that a record may take on a secondary value
during its lifespan, e.g. an administrative file may be appraised as also having historical
value; and
•
Activity of the file - the date of the last action* on the record and the date of last access
to the record must be taken into consideration prior to disposal action;
•
If the record is active it must be retained;
•
If the record is inactive but has continuing value, it must be retained but may be sent to
secondary storage; and
•
If the record is inactive and has no continuing value it may be destroyed in accordance
with the provisions of the QPS Retention and Disposal Schedule.
*Note: The date of last action is usually the latest date visible on the record, i.e. the date
of the most recent notation on the record, rather than the date of last movement.
•
Information security - In Confidence, Protected and Highly Protected records will require
strict supervision during all stages of appraisal and disposition.
Document All Disposition Action
9. Document any continuing value of the records in the CRMS and on the file cover.
Prepare a Disposal Register
10. Records custodians should prepare a Disposal Register (QP380) in January every year. The
register should list all records or records series (including electronic records) that are due for a
decision regarding disposal. This list can be generated automatically in the Corporate Records
Management System, but requires manual preparation for records managed in systems such
as the Correspondence Indexes.
11. Document the records to be disposed in the Disposal Register.
22
12. If records are identified that require a longer retention period than the Queensland State
Archives determined period, the reasons for this decision must be noted in the Disposal
Register and documented in the QPS Records Retention and Disposal Schedule.
13. Obtain authorisation from the business owner to verify that the records have been appraised.
In the case of Human Resources or Finance records, ensure that the procedures in 8.2.7 and
8.2.8 are followed.
14. Forward the Disposal Register documentation to the Manager, Administration Branch for
approval.
15. After final approval from the Manager, Administration Branch, a copy of the Disposal Register
will be forwarded to the records custodian, with the original Disposal Register being retained
by Administration Branch.
16. Once the records listed on the Disposal Register have been disposed of, written confirmation
of the date and method of disposal must be sent to Administration Branch. The records
custodian’s copy of the Disposal Register should also be updated with the disposal date and
method.
Records Requiring Transfer to State Archives
17. Sections 10 and 11 of the Public Records Act 2002 provides for the deposit of records at
Queensland State Archives.
18. Records of permanent value (particularly those 25 years old and over) are usually accepted
for transfer; however, due to space restrictions and record media, not all records designated
as permanent can be transferred to Queensland State Archives. Queensland State Archives
will review each series of records appraised as permanent before approval to transfer is
granted. The value of the records and the availability of storage space at Queensland State
Archives will be taken into consideration.
19. To arrange the transfer of permanent records, contact Administration Branch.
Consult the Curator, QPS Museum.
20. Old or historical records not required to be sent to State Archives may be of interest to the
Curator of the Police Museum.
9.
Records Retention and Disposal Committee
9.1
Role of the Retention and Disposal Committee
The QPS Records Retention and Disposal Committee consists of representatives from the
various Divisions and Commands within Police HQ and issues a standing invitation to
representatives from the Regions and other interested persons. The Committee must assess and
make decisions on the disposal or retention of QPS records, which involves:
•
Appraising or causing to be appraised, all classes of records pending disposal or permanent
retention;
•
Reviewing all requests for the establishment of retention and disposal schedules where none
currently exist;
•
Reviewing existing retention and disposal schedules to ensure that they remain current and
accurately reflect the nature of the record proposed for retention or disposal action; and
•
Protecting the interests of record custodians and clients by ensuring appropriate
representatives are party to the discussion and decision making process.
9.2
Membership
Membership of the Retention and Disposal Committee may comprise:
•
Manager, Administration Branch;
•
Manager (Corporate Records);
23
•
Senior Information Officer (Records) (Corporate Archivist);
•
Members of Administration Branch;
•
Delegated representatives from Divisions and Commands (to ensure all QPS business
interests are covered);
•
Interested external agencies who share/require QPS recorded information; and
•
A representative of public interest (e.g. FOI).
24
Part B – Work Instructions
10. Conducting a Retention and Disposal Project
10.1
Planning the Project
Planning is essential to ensure successful outcomes. It is important to consider such issues as
resourcing, available storage options, timeframes and how the records will be managed after the
culling project.
It is almost impossible to say how long sentencing should take. Obviously, the amount of records
to be sentenced is a major factor, but other aspects will also have some impact, including:
•
The type, age, physical condition and arrangement of the records;
•
Whether the records were sentenced at the creation or capture phase;
•
The experience of the staff involved; and
•
The ongoing availability of resources.
10.2 Organising Resources
10.2.1
Staffing
Effective retention and disposal of records requires on-going allocation of appropriately trained
staff, including a team leader / supervisor.
Administration Branch offers retention and disposal training to business areas about to embark on
culling exercises. Skills transfer should also be arranged within the business area on an on-going
basis, so that practices remain standardised regardless of staff movement.
The Business Owner of the records (in cases where they are not also the records custodian)
should be involved in the project, to provide advice on any issues related to the records that the
records custodian may not be aware of (e.g. outstanding legal cases), and assist with the
provision of staffing resources for the culling exercise.
Retention and disposal exercises often involve processing large volumes of records, particularly if
a culling exercise has not been conducted for several years, so it may be better to tackle several
small projects than one big one. It is unrealistic to expect sentencers to undertake sentencing
projects for months on end without suitable breaks of other work; however, to ensure that the
impetus is not lost, schedule regular culling routines / cycles and assign sufficient staff to cope
with the workload.
10.2.2
Dedicate a Work Area
When dealing with a large quantity of paper records, ensure that you will have plenty of room for
the sentencing project, preferably dedicated on a full-time basis for the life of the project.
Sentencing can be very demanding work, and the staff will require comfortable and safe facilities,
including;
•
Plenty of desk space to spread out records, schedules and paperwork;
•
Shelving to store records before, during and after sentencing;
•
A laptop or readily accessible desktop computer;
•
A telephone to contact Business Owners and Administration Branch; and
•
Equipment such as trolleys for moving records around, stools, etc.
10.2.3
Access to Work Tools
Prior to beginning records retention and disposal, ensure staff have access to the following:
•
QPS Records Retention and Disposal Schedule (accessible on the QPS Bulletin Board);
25
•
QPS Records Retention and Disposal Handbook (accessible on the QPS Bulletin Board);
•
Disposal Register (accessible on Forms Select - QP380);
•
Reference material which may include a project plan, notes and associated paper work;
•
An adequate supply of archive boxes suitable to the size of the records;
•
A secure method of storage prior to destruction (e.g. secure document destruction bin); and
•
Stationery supplies, which may include pens, marker pens, notebooks, post-it notes and
scissors.
10.3
Develop a Work Plan
10.3.1
Strategies
Retention and disposal exercises are usually regarded as onerous, so it is important to plan the
exercise so that the staff involved can see that the milestones are being reached, rather than
being faced with a large collection of records that never seems to decrease.
The most practical approach is to dispose of non-records (e.g. administrative copies), then begin
work on records that can be easily identified as having exceeded their retention periods. Next is to
box up records that are waiting for their retention period to expire. Then, aided with improved
skills and knowledge of the work tools, staff can appraise and sentence the more complex
correspondence index registers. The final goal is to have only two locations (one active, the other
inactive) as an efficient and effective means of records storage.
10.3.2
Identify your Record Holdings
Before you can begin to dispose of anything, you need to get a clear picture of what records are
being held in your area. Taking a records inventory will be useful in giving you a starting point.
Your inventory should aim to capture the following information:
•
A brief outline of each record series, including:
•
File numbers;
•
File descriptions;
•
Date ranges;
•
Storage locations;
•
Volume of records;
•
How often they are accessed;
•
The users of the records; and
•
The owners of the records.
10.3.3
Formulate an Action Plan
Develop a project plan to help schedule resources and allocate dates and timeframes for each
step of the exercise. Appendix 2 of this handbook contains a sample project checklist of the
steps involved in a retention and disposal activity, which should be used as a guide when
undertaking the project.
Decide what destruction method will be used to destroy the records. As mentioned in Section
8.3.17, the only approved methods for destroying paper records are pulping, burning or
shredding. It is not permissible to dispose of QPS records by putting them in general waste bins
or burying them at the local rubbish tip.
Arrangements can be made with commercial destruction companies who will provide secure
destruction bins and destruction certificates. Alternatively, if located near a hospital with an
incinerator or a company that disposes of its waste by burning, it may be possible to make an
arrangement to use their facilities. Similarly, if located near a paper mill, you may be able to take
records there for pulping.
26
Most importantly, decide before starting the sentencing how to manage the sentenced records
that cannot yet be disposed of, e.g. determining where the records will be stored, creating listings
of box contents, establishing a regular programme of culling.
10.4 Appraising and Sentencing the Records
10.4.1
Organising the Records
As a first step, separate non-records from records. Non-records are not subject to the retention
and disposal schedule and do not have to be included on a Disposal Register, therefore, it makes
sense to dispose of these first. Remember that unannotated copies of documents must be
disposed of in such a way that their information security is preserved. Refer to page 104 of the
QPS Records Retention and Disposal Schedule for a list of examples of non-records.
Next, try to group similar information together, e.g. collections of forms. This makes identifying
retention periods easier.
10.4.2
Sentencing the Records
General Instructions
If the records have not been previously appraised, Appendix 1 can be used as a starting point to
assist in identifying the value of the record. Appendix 3 is a schedule extract detailing retention
periods for records commonly found in stations, district and regional offices.
Also consider issues such as:
•
Has all necessary action been completed on the record?
•
Does the record contain an ongoing issue? e.g. an unsolved murder?
•
Is there a period of time a matter is subject to appeal?
•
What is the date of the last action on, and last access to the record?
Consult the How to Use Guide at the beginning of the QPS Records Retention and Disposal
Schedule. This provides instructions on using the schedule to sentence records.
Sort the records into:
•
Records that have exceeded their retention periods;
•
Temporary records grouped by their destruction year; and
•
Permanent records.
Special Instructions - appraising Files (Batches)
If the records have been managed as a file-based system, there are certain issues to be aware of:
•
File titles will give a clue as to what to expect on a file. If you are sentencing at creation and
using the Corporate Thesaurus, the process should be straightforward. The function/activity in
the file title should link directly to a disposal class. You should also check that the original
sentence is still applicable – retention periods may change over time, or documents on file
may alter the retention.
•
Older files may end up with material on them that is quite different from what the person who
originally titled it had in mind. It is common for some older file titles to be misleading or
inaccurate. Examine all the documents on the file before making a final decision on its
sentence.
•
If you find a file that fits into more than one disposal class, always use the longest retention
period. That is, if one document fits into a class that says ‘destroy 7 years after last action’,
and another document on the same file belongs to a class that says ‘destroy 10 years after
last action’, keep the whole file for ten years. This ensures that all the papers on the file will be
kept for as long as they are needed. Similarly, if one of the documents has a retention period
of “Retain permanently”, then you can stop looking at the file and go on to the next one. There
27
is no need to keep looking for new disposal classes if you already know the whole file is to be
retained.
•
Never cull individual papers off files, unless a disposal schedule specifically tells you to do so.
If you need to preserve one document for ten years, but you think the rest can be destroyed,
keep the whole file for ten years. Culling papers from files is usually inefficient, and may
compromise the integrity of the file. A document on its own may have little value, but it may
become important if it gives more information about other, more significant, documents on the
file.
•
Some files have more than one part to them. Sometimes each part can be sentenced as a
separate item and disposed of according to the instructions in the disposal schedule (eg. a
series of file parts containing one-off letters from the public about the opening times of the
Police Museum). In other instances, all the parts may be required for complete information on
a case or subject (i.e. a series of file parts dealing with a murder investigation).
•
Although it is not good records management practice, some business areas create “catch-all”
files i.e. documents covering a number of functions and/or activities are all placed on the one
file. Such files often contain the terms “miscellaneous” or “general” in the title. Because these
are collections of documents that do not relate to the same activity, and often do not relate to
the file title, it is important to find disposal classes that apply to all the activities on the file. If
there are papers on the file that you cannot find disposal classes for, put it aside. The file
cannot be sentenced for destruction until all the activities on it are covered.
Special Instructions - Appraising Registers
Where Property Registers contain only one or a few unfinalised entries, consider transferring the
entries into a new book. Further advice can be sought from the Corporate Archivist.
10.4.3
Handle with Care
When appraising old records that may have historical or archival value, ensure that the records
are handled carefully. If sentencing records that are not paper-based, such as audio or video
material, make sure that you have the right equipment to examine the records. Do not try to adapt
another system for the purpose, as this may damage the records.
10.4.4
Filling in the Disposal Registers
The Disposal Register (QP380) is available from the QPS Forms Select package. A Disposal
Register should be completed for all records that:
•
Are ready for immediate destruction;
•
Are to be retained temporarily and boxed for later destruction; or
•
Are to be retained permanently.
It is essential to be accurate when preparing Disposal Registers because the information supplied
on these forms will be the main source of information used to approve permanent retention or
disposal, and will provide an easy means of retrieving information in the future.
Appendix 4 provides an explanation of the information required in each column. Appendix 5
depicts the steps required for each group of records – i.e. immediate destruction, temporary and
permanent.
The Disposal Register may also be prepared by using a spreadsheet database. The column
headings are to reflect the current headings of the Disposal Register (QP380).
Submit the registers for approval as detailed below:
Disposal Register - Records for Immediate Destruction:
•
List the records on a Disposal Register, spreadsheet or records software;
•
Request for Disposal Approval to the Manager, Administration Branch - submit the original
Disposal Register(s) or spreadsheet(s);
28
•
Physically destroy the Records after Disposal is approved - Disposal Register(s) or
spreadsheet(s) copy returned. The original is retained by Administration Branch;
•
Update copy of Disposal Register(s) or spreadsheet(s) with the disposal date and method;
and
•
Once the records have been disposed of, written confirmation of the fact, stating date and
method of disposal, must be sent to Administration Branch.
Disposal Register - Temporary Records:
Inactive records that are readied for later destruction do not require disposal approval and will not
be approved until their retention period is completed. It is good practice to complete Disposal
Registers to be used as box contents listings until the retention period has expired.
•
List records on a Disposal Register, spreadsheet or records software;
•
Box and store records accordingly until the retention period has expired;
•
Retain copy of Disposal Register(s) or spreadsheet(s) within the box as a box contents listing;
•
Retain original Disposal Register(s) or spreadsheet(s) within a file or lever arch folder until
retention period expires – File title being ‘Temporary Records’;
•
Review the records’ value and details once the retention period has expired;
•
Request for Disposal Approval to the Manager, Administration Branch - submit the original
Disposal Register(s) or spreadsheet(s);
•
Physically destroy the records after disposal is approved - Disposal Register(s) or
spreadsheet(s) copy returned. The original is retained by Administration Branch;
•
Update copy of Disposal Register(s) or spreadsheet(s) of the disposal date and method; and
•
Once the records have been disposed of, written confirmation of the fact, stating date and
method of disposal, must be sent to Administration Branch.
Disposal Register - Permanent Records:
•
List records on a Disposal Register, spreadsheet or records software;
•
Request for Permanent Retention Approval to the Manager, Administration Branch - submit
the original Disposal Register(s) or spreadsheet(s);
•
Box and store records accordingly after Permanent Retention is approved - Disposal
Register(s) or spreadsheet(s) copy returned. The original is retained by Administration
Branch; and
•
Retain copy of Disposal Register(s) or spreadsheet(s) within the box as a box contents listing.
Completed and approved copies of Disposal Registers should be kept readily accessible for
easier retrieval by either being on file or in a lever arch folder labelled accordingly. As
Administration Branch holds all original Disposal Registers, establishments may make their own
decisions on how long to hold their copies; however, it is suggested that they be kept for a period
of years, to assist in quickly satisfying local enquiries.
10.4.5
Control Records
To properly document the sentencing process, identify what control records exist for the records
being sentenced (e.g. records management systems, Correspondence Indexes, spreadsheets,
databases, registers or movement records). These control records should be annotated either
during or at the end of the project, so that you can document what happened to each file (e.g
destroyed or transferred to Queensland State Archives). This applies to both paper and electronic
control records.
10.4.6
Boxing Records
Files and records should be packed in boxes in the same order / sequence in which they were
created and maintained.
29
It is important that archive boxes are not over-packed. Boxes should shut properly and not bulge
at the sides. Over packing damages the records and the box, and makes it difficult to retrieve the
contents. Leave a small amount of space in the boxes, enough to place your fingers down the
side to retrieve the records.
The front of all files or documents packed in the box should face in the same direction to allow for
easy retrieval. It is advisable to pack half the files with the spine at the bottom of the box and half
the files with the spine at the top of the box to evenly distribute the files within each box.
Box reference details must be placed at the end of the box and either written in permanent
marker or printed on a firmly affixed thermal label. Post-it notes, paper and adhesive labels are
not considered suitable for this purpose. Appendix 6 details the appropriate format for box
references.
10.4.7
Transferring Records to Queensland State Archives
Sections 10 and 11 of the Public Records Act 2002 provides for the deposit of records at
Queensland State Archives.
As the preservation of the permanent public records of Queensland is the main priority of
Queensland State Archives, generally only records of permanent value are accepted for transfer;
however, due to space restrictions, not all records designated as permanent can be transferred to
Queensland State Archives.
Temporary records may be accepted only under exceptional circumstances.
To arrange the transfer of permanent records, contact the Corporate Archivist for advice.
Before any transferring of records occur, the following points need to be taken into account:
•
Each series of records appraised as permanent will be reviewed and authorised by
Queensland State Archives before approval for transfer is granted. The value of the record
and the availability of storage space at Queensland State Archives will be taken into
consideration;
•
The QPS Records Retention and Disposal Committee must be notified of all records over 30
years old, that are not still in active use; and
•
All permanent records must be on archival quality paper, or microfilmed before transfer to
Queensland State Archives.
Records Over 25 Years
In the course of retention and disposal actions at establishments, it is likely that a quantity of older
records may be located.
In an effort to preserve the history of Queensland and the Queensland Police Service, these
records need to be identified and where necessary retained permanently at Queensland State
Archives or the Queensland Police Museum.
Action to be taken includes:
•
All records identified should be retained and their details forwarded to the Corporate Archivist;
and
•
A determination will be sought as to the suitability of these records for permanent transfer to
Queensland State Archives, or alternatively the Queensland Police Museum.
30
Appendix 1 - Sample Appraisal Questions
General Information
1.
What is the purpose and format of the records?
2.
What information do the records contain?
3.
Are similar records still being created?
4.
Are the records created because of a legislative requirement or are the records mentioned in
any legislation or regulation?
5.
Is there a statutory requirement relating to retention or custody?
Financial Value
6.
Are the records financially accountable?
7.
Could the records be used as evidence in cases of fraud?
Legal Value
8.
Do the records provide evidence of rights, obligations or entitlements of the State, QPS, other
organisations or individuals?
Administrative Value
9.
Do the records provide a legal basis for administrative action?
10. Are the records required for QPS to carry out its functions?
11. Do the records provide evidence of the origins, structure, policies, functions, activities and
procedures of QPS?
Operational Value
12. Do the records document unsolved crimes?
13. Do the records have value as a precedent for management of policing activities or
operations?
14. Do the records have potential value for intelligence usage?
Informational / Historical / Archival Value
15. Do the records provide a significant source for research purposes?
16. Do the records document the history of the State of Queensland or the development and
changes in policing in Queensland?
17. Would the records be of interest to biographers and family historians?.
Other Factors
18. Is the information duplicated or summarised elsewhere?
19. Do related records exist?
20. Are the records contained in one file or a series of file parts?
31
Appendix 2 - Project Action Template / Checklist
Step 1 - Title:
Records Retention and Disposal Project Plan for:........................................................................
Step 2 - Background:
......................................................................................................................................................
......................................................................................................................................................
Step 3 - Purpose:
The Project purpose is part of the overall state-wide approach to implement retention and
disposal of QPS Records following standards, procedures and guidelines as set out within the
QPS Records Retention & Disposal Schedule and Manual.
Desired outcomes (will be addressed further within Step 8):
‰ Appraisal and sentencing of records
‰ Completed Disposal Registers (QP380) ready for approval by Manager, Administration
Branch
‰ Implement standardised box marking and destruction date system to assist efficient
retention and disposal of records
‰ Files deemed to have exceeded their retention period prepared for destruction
‰ Skills transfer to staff (appraisal, retention and disposal of records) to enable ongoing
sentencing within the establishment’s record holdings
Step 4 - Resources:
‰ Allocate Staff: ...........................................................................................................................
‰
‰
‰
‰
.................................................................................................................................................
Allocate Staff Time: ..................................................................................................................
Dedicate a Work Area: .............................................................................................................
Access to Work Tools
‰ QPS Records Retention & Disposal Schedule and Manual
‰ Blank Disposal Registers (QP380)
‰ Project Action Template / Checklist
‰ Polaris ID abbreviation for box referencing
‰ Archive boxes: ..............................................................................................................
‰ Reference material: ......................................................................................................
‰ Stationery (eg: pens, marker pens, notebooks, post-it notes and scissors)
‰ Camera (if warranted)
‰ Trolley
‰ Other:............................................................................................................................
Determine Record Destruction Method: ...................................................................................
Step 5 - Pre-Project Action: (Preliminary Organisation)
‰ Allocate Project Date / Timeframe:...........................................................................................
‰ Refer to all of Step 4 to confirm arrangements prior to project action
‰ Conduct an audit to gain knowledge of records held: ..............................................................
.................................................................................................................................................
‰
‰
‰
‰
.................................................................................................................................................
Formulate an action plan
Group similar information together for easier identification of retention periods
General clear up of Non-Records to allow for a clean working area
Other: .......................................................................................................................................
32
Step 6 - Project Action:
a) Appraisal of Records
‰ Appraise records that have been easily identified as exceeding their retention periods:
.................................................................................................................................................
.................................................................................................................................................
‰ Appraise records as having easily defined retention periods:
.................................................................................................................................................
.................................................................................................................................................
‰ Appraise the Correspondence Index records grouped in their years starting with the oldest:
.................................................................................................................................................
‰ Other: ......................................................................................................................................
.................................................................................................................................................
b) Sentencing of Records
‰ List records on the Disposal Register(s) or spreadsheet(s)
‰ Sort records into permanent, temporary or awaiting destruction groups
c) Retention of Records
‰ Mark each box with its box-referencing model using Polaris ID Code. Examples being:
• Business owners permanent box: ......................................../ PERM / 001
• Business owners temporary box: ................................ / TEMP / 2001 / 05
‰ Place records in boxes
‰ Relocate new boxes in sequential order within an inactive storage area
Step 7 - Post Project Action:
‰ Request a Disposal Authority for the records identified for destruction
‰ Store the returned Disposal Registers in a logical, easy to retrieve order
‰ Arrange physical destruction of records after receiving the Disposal Authority
‰ Inform Manager, Administration Branch of disposal date and method
‰ Develop a ‘To Do List’ for the Project: .....................................................................................
.................................................................................................................................................
.................................................................................................................................................
‰ Other: ......................................................................................................................................
Step 8 - On-Going Monitoring:
‰ Review final outcomes against Projects desired outcomes:
‰ Develop an ongoing Retention & Disposal Plan:......................................................................
.................................................................................................................................................
‰ Other: ......................................................................................................................................
Step 9 - Recommendations:
......................................................................................................................................................
......................................................................................................................................................
......................................................................................................................................................
......................................................................................................................................................
......................................................................................................................................................
33
Appendix 3 - Schedule Extract - Common Retention Periods for
Stations, District and Regional Offices (as at 29-04-04)
Please note that this is only a selected extract from the QPS Records Retention and Disposal
Schedule (QDAN 561) and is uncontrolled when printed
DESCRIPTION OF RECORDS
DISPOSAL ACTION
Custody Registers (Charge Books) – created after 1970
Complaints against Police
Retain for 10years after last actin. - CU/COL/7
Retain for 2 years after last action if complaint
investigated by Ethical Standards Command. PR/CPL/9
These records have a diverse range of retention
periods ranging from administration use to permanent
retention.
Retain for 1 year after last action. – LT/PRS/4
Correspondence Index (EG. MSR98/12568)
Each piece of correspondence must be appraised
individually to determine their true retention
Court Briefs (Blue, Pink & Green Copies)
NB - These records sometimes could have original
statements or original supporting documentation that could
increase their retention periods to the term of the offence.
Criminal Offence Reports including Supplementary (Pink,
Green, Blue & White Copies)
NB - These records sometimes could have original
statements or original supporting documentation that could
increase their retention periods.
CRISP (Data Entry Forms)
Commissioners Circulars Regional, District, Station or
Establishment Copy
Crime Circular Regional, District, Station or Establishment
Copy
Police Bulletin and Vedette
Routine ministerial correspondence
Occurrence Sheets
Overtime Allowances
Patrol / Activity Logs
Police Diaries;
Official Police Notebooks
Property / Exhibits Registers
Duty Rosters
Timesheets (Daily)
TON / TIN Books & Offences BON
Traffic Accidents (Departmental) – non-injury
Traffic Accidents (Departmental) – injury
Traffic Accidents (Departmental) – fatal
Traffic Accidents (Non-Departmental) – non-injury
Traffic Accidents (Non-Departmental) – injury
Traffic Accidents (Non-Departmental) – fatal
Warrant Reports
Show Cause Notices
Retain for 5 years after last action. – CD/REP/6
Except where articles are reported as being either lost
or stolen and the value of the property exceeds $200
therefore retain for 10 years after last action. Retain until administrative use ceases. - CD/REP/3
Retain 1 year after cancellation. - PU/DST/4
Retain 5 years after last action. – PU/DST/7
Retain until administrative ceases
Retain for 2 years after last action. – GR/RER/2
Retain for 5 years after last action. – CD/REP/29
Retain for 5 years after last action. – PE/SAL/1
Retain for 5 years after last action. – CD/PAT/2
Current Moratorium on destruction.
Current Moratorium on destruction. – CD/REP/28
Retain for 5 years after last action. – PP/REG/6
Retain for 6 years after last action. – PE/LEV/5
Retain for 3 years from end of last financial year. –
PE/SAL/8
Retain for 10 years after last action. – RS/INF/4
Retain for 7 years after last action. – FL/ACC/1
Retain for 10 years after last action. – FL/ACC/2
Retain permanently. – FL/ACC/3
Retain for 3 years after last action. – RS/TRI/3
Retain for 10 years after last action. – RS/TRI/2
Retain permanently. – RS/TRI/1
Retain for 2 years after last action. – CD/WAP/2
Retain for 5 years after last action. – RS/INF/1
Refer to the NON-RECORDS section in the QPS Records Retention and Disposal Schedule for a list of
records that are of short-term temporary informational value. This includes duplicate copies of records,
documents, circulars, and forms. etc.
All of the above tabled records (except for Police Diaries, Notebooks and Correspondence Index) could
be described as single line entries at least for every year or bundle and must include a file number
range. Example: 90/00010 to 90/16100.
The Police Diaries and Notebooks require single line entries for every book describing the Issue
Number, Officer Name and Registration Number.
The Correspondence Index requires single line entries for each File Number.
34
Appendix 4 - Disposal Register Column Definitions
The top section of the Disposal Register is used for identifying:
QPS Business Owner Identification: to be completed by business unit members to determine
the source of the request for retention or disposal action.
•
i.e. Region/Command/Division, District/Division/Section and Station/Unit/Location.
Disposal Request: to be completed by the Supervisor or Officer in Charge of the business unit
requesting for retention or disposal action (business owner)
•
i.e. Name, Position, Signature, and Date.
Disposal Approval: to be completed by the approving authority (Manager, Administration
Branch) if retention or disposal action may proceed.
•
i.e. Name, Position, Signature and Date.
The bottom section of the Disposal Register is used for identifying:
Record / File Number: establishments file number, subject based file number or any other
identifying index or series numbers. If a number is not identified or created enter in the column
N/A or use a dash. The practice of file number ranges is accepted only if all the records have the
same records description.
Record Description / File Title: a brief description of the record using keywords and
abbreviations. Be aware that the description needs to be clear and concise for others to
understand. If the record is a copy describe it as such. The practice of dittos or ticks is accepted
only if the previous records description is the same.
Date Opened: the date on which the record was opened or created.
•
Some examples are 12-04-96, 04-96, Apr 96, 1996 or as a last resort left blank. The preferred
format is 12-04-1996.
The practice of dittos or ticks is accepted only if the previous date opened is the same.
Date Closed: the date on which the record has last action or closed. There must be a date in
this column as it triggers the start of the retention period.
•
Some examples are 28-06-97, 06-97, Jun 97, 1997. The preferred option is 28-06-1997.
The practice of dittos or ticks is accepted only if the previous date closed is the same.
Schedule Reference: the alpha/numeric code defined in the QPS Records Retention and
Disposal Schedule for that record. Some examples are ET/TRA/20, CD/REP/24.
The practice of dittos or ticks is accepted only if the previous schedule reference is the same.
Retention Period (Years): the minimum retention period stated in the QPS Records Retention
and Disposal Schedule for that record. This column is not to be left blank and must have a
retention period allocated.
•
Some examples are 2, Two, 2years, 2yrs, Permanent, Perm, P, A/U, Admin Use, Admin, N/R
or Non Record.
The practice of dittos or ticks is accepted only if the previous retention period is the same.
Physical Destruction Date: the actual date of physical destruction. To be completed only after
approval is granted.
The practice of dittos or ticks is accepted only if the previous disposal date is the same.
Disposal Method: the code entered here describes the destruction method used. To be
completed only after approval is granted.
•
Some examples are 1 = Shred, 2 = Pulp, 3 = Burn.
The practice of dittos or ticks is accepted only if the previous disposal method is the same.
35
Appendix 5 - Disposal Register Handling Procedures (Flowchart)
(List Records for Destruction, Temporary and Permanent Records in their separate groups.
Do NOT collate together.)
Records for DESTRUCTION List Records on a Disposal
Register, spreadsheet or
records software
TEMPORARY RECORDS List Records on a Disposal
Register, spreadsheet or
records software
PERMANENT RECORDS List Records on a Disposal
Register, spreadsheet or
records software
Box and store Records accordingly until
retention period has expired
Retain a COPY of Disposal Register(s) or
spreadsheet(s) within the box as a box
contents listing
Request for Permanent
Retention Approval to the
Manager, Administration
Branch - submit the ORIGINAL
Disposal Register(s) or
spreadsheet(s)
Retain the ORIGINAL Disposal Register(s) or
spreadsheet(s) within a file or lever arch
folder until retention period expires.
Title being ‘Temporary Records’
Review the Records value and details once
retention period has expired
Box and store Records
accordingly after Permanent
Retention is approved Disposal Register(s) or
spreadsheet(s) COPY returned
Request for Disposal Approval to the Manager,
Administration Branch submit the ORIGINAL Disposal Register(s) or spreadsheet(s)
Physically destroy the Records after Disposal is approved Disposal Register(s) or spreadsheet(s) COPY returned
Retain a COPY of Disposal
Register(s) or spreadsheet(s)
within the box as a box
contents listing
Update COPY of Disposal Register(s) or spreadsheet(s)
and inform the Corporate Archivist
of the disposal date and method
Retain a COPY of Disposal Register(s) or spreadsheet(s)
within a file or lever arch folder permanently.
Title being ‘Destroyed Records’
36
Retain a COPY of Disposal
Register(s) or spreadsheet(s)
within a file or lever arch folder
permanently.
Title being ‘Permanent
Records’
Appendix 6 - Standard Box Reference
• All Boxes managed are to be allocated a unique service wide reference with the aid of Polaris
ID Code Abbreviations.
• Boxes are generally used for the storage of inactive files in a physical format.
• Box types are either Permanent or Temporary retention.
• The boxes should be of a quality archival standard. NO other boxes are to be used.
• Suitable boxes can be purchased through SDS.
• Box reference details must be placed on the end of the box and either written in permanent
marker or printed on a firmly affixed label. Post-it notes are not considered suitable for this
purpose.
• Storage of boxes is to meet Workplace Health & Safety requirements.
• Preferred Box Referencing model:
Permanent Box Referencing Model
Business Owner / Retention Type / Box Number
E.g.
FNRO/PERM/003
Being:
Far Northern Regional Office/Permanent Retention/Box No. 3
Business Owner:
2 to 6 lettered code being the Polaris ID Code
Retention Type:
the box and its contents are to be kept permanently
Box Number:
a sequential 3 digit number
Temporary Box Referencing Model
Business Owner / Retention Type / Retention Date / Box Number
E.g.
WYNSTN/TEMP/2003/03
Being:
Wynnum Station/Temporary Retention/Destroy After 2003/Box No. 3
Business Owner:
2 to 6 lettered code being the Polaris ID Code
Retention Type:
the box and its contents are to be kept temporarily
Retention Date:
the box is reviewed and destroyed after the 31 December
of the nominated year
Box Number:
a sequential 2 digit number being allocated within the
Retention Date series
Polaris ID Abbreviation for .................................... is ............................
Licence URL: http://creativecommons.org/licenses/by/4.0/legalcode
Please give attribution to: © State of Queensland (Queensland Police Service) 2016
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