Disposal of State Records
- Introduction
- Records Disposal Authorities
- General Disposal Authorities
- Creating a Disposal Authority
- Retention and Disposal Schedules
- Ad Hoc Disposal Schedules
- Disposal Lists
- Transfer of State Records
- Methods of Destruction for State Records
- Further Information
Introduction
The State Records Office advises State and local government organistions on the legislative requirements governing State records and the process of gaining approval for the disposal of State records. Disposal may refer either to the destruction of State records or the transfer of State records of archival value to the State Records Office.
The effective disposal of records is essential for the efficient operation of any records system. Failure to dispose of records regularly and appropriately results in the improper and costly use of space, equipment and staff.
Under the State Records Act 2000, State records may only be destroyed under an approved Records Disposal Authority. The State Records Commission approves Records Disposal Authorities.
Records Disposal Authorities
State records can only be disposed of via one or more of the following authorities:
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General Disposal Authorities (published by the State Records Office)
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Retention and Disposal Schedule (government organisation specific)
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Ad Hoc Disposal Schedule, or
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Disposal List
Under the State Records Act 2000, every government organisation is required to have a Recordkeeping Plan approved by the State Records Commission. The recordkeeping plan will incorporate the Retention and Disposal Schedule for a government organisation’s functional records.
General Disposal Authorities
To assist State and local government organisations in the disposal of State records, the State Records Office has developed four General Disposal Authorities (GDAs) which cover the majority of common administrative, financial and human resource records generated by government organisations. The GDAs have been approved by the State Records Commission.
These are:
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General Disposal Authority for Financial and Accounting Records
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General Disposal Authority for Human Resource Management Records
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General Disposal Authority for Local Government Records
Government organisations should apply the appraisal and disposal decisions contained in the GDAs to their own records in these categories.
The Administrative, Financial and Accounting and Human Resource Management GDAs have been produced specifically for State government organisations. Local Government organisations should only use the GDA for Local Government Records.
Record series not covered by the GDAs should be incorporated into the government organisation’s own Retention and Disposal Schedule.
To ensure that the GDAs maintain their relevance they are periodically updated by the State Records Office in consultation with representatives of State and local government organisations.
For information on how to purchase the GDAs see the Publications section.
Creating a Disposal Authority
The State Records Office (SRO) can advise government organisations on the legislative requirements governing State records and the processes involved in gaining approval to transfer or destroy State records.
In addition, SRO staff can assist government personnel with the evaluation of records and the process of developing a Disposal Authority. Disposal Authorities can apply:
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to records in a superseded filing system;
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where an agency is ceasing its operations;
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to a large accumulation of old records; and
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to the disposal of current records.
Retention and Disposal Schedules
As of April 2007, the disposal of records in WA government organisations is covered by an approved Retention and Disposal Schedule (R&D) for the organisation’s specific functional records and the General Disposal Authorities produced by the SRO. Each government organisation is required to review their R&D within five (5) years of its approval date and submit a revised R&D to the SRO for approval by the State Records Commission. The SRO encourages organisations to review and submit their revised R&D before the expiration date.
Templates are available for use by State organisations when developing or revising their R&Ds. In addition, the SRO has developed a guideline and instructions to assist in the preparation of R&Ds.
Download the Retention and Disposal Schedule Template - updated 23rd June 2008
Download the Retention and Disposal Schedule Template Instructions
Download the Guideline for Revised Retention and Disposal Schedules
In addition to this documentation, SRO staff are available to assist State and local government organisations in the preparation of their R&Ds.
Ad Hoc Disposal Schedules
An Ad Hoc Disposal Schedule is a specific instance disposal authority relating to one or a limited number of series, or an identified part of a series of records. This kind of authority is most often used when old or superseded records are being appraised for disposal.
The purpose of an Ad Hoc Disposal Schedule is to authorise disposal action on a once-only basis, ie for records in a specific category or date range.
The Ad Hoc Disposal Schedule should list the categories or series of records to be disposed of, the date range for the category or series, together with a disposal recommendation of A (Archive) or D (Destroy) against each category.
Government organisations should contact the SRO for advice before creating an Ad Hoc Disposal Schedule.
Disposal Lists
A Disposal List is an itemised list of records in which individual items, not necessarily from the same series, have been recommended by the government organisation for transfer to the SRO or destruction.
A Disposal List is most appropriately used for the urgent disposal of records arising from some kind of damage or contamination of the records which requires immediate action.
Government organisations should contact the SRO for advice before creating a Disposal List.
Transfer of State Records
Refer to Transferring Archival Records to the State Records Office.
Methods of Destruction for State Records
When non-archival value State records have exceeded their minimum retention period, as stated in an approved records disposal authority, steps should be taken to ensure that the records are destroyed in a secure manner.
The SRO recommends that paper based records due for destruction should only be destroyed by shredding, pulping or trommelling. Burning or burying of State records are not acceptable methods of destruction. Those government organisations located outside the Perth metropolitan area should contact the SRO for advice regarding destruction.
Government organisations should ensure that appropriate methods are used when destroying electronic records. Most operating systems do not actually destroy the electronic file when the ‘file delete’ option is selected. They simply remove the file name from the directory. There are several methods to provide greater certainty that data cleansed from magnetic media cannot be reconstructed. These methods differ in the manner of application and the level of assurance that data cannot be reconstructed or retrieved. The method chosen will be determined by the risk analysis, conducted prior to disposal, and the level of sensitivity of the content of the stored data.
Government organisations should contact the SRO for advice regarding destruction of electronic records.
Further Information
For advice on how to proceed with obtaining authorisation to dispose of records or for information on Recordkeeping Plans please contact the Recordkeeping Services Team on (08) 9427 3365 or via email at sro@sro.wa.gov.au.
