Information Management Toolkit Retention and Disposal Schedule

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Information Management ToolkitRetention and
Disposal Schedule
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Module T2Retention and Disposal Schedule Module
(RDS)
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Scope of RDS module

• The module provides
• a Retention and Disposal Schedule based on the
  LGS and approved by the Chief Archivist
• Guidelines for the completion of the Schedule
  where completion by users is required
• Guidelines for the application and implementation
  of the Schedule

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RDS Background 1

• Retention and disposal schedule approved by Chief
  Archivist
• Built on the existing Local Government Schedule,
  but more detailed
• Does not replace the Local Government Schedule
• Councils required to notify the Chief Archivist
  of their use of the Toolkit Schedule
• Notification letter and procedures are part of
  the Appendices to the RDS Guidelines

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Scope of the Schedule

• Sets out which records have archival value, which
  may be destroyed and when
• Mapped to the Classification System IMTK module
  T1)
• Covers all formats of records
• Class-based schedule with three levels of
  description of records
• Classes
• Record type
• Description (and examples)

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Schedule development

• The schedule was developed using
• the Schedule to the Local Government Act and
  Explanatory Notes
• the Archives New Zealand General Disposal
  Authorities
• existing schedules from local authorities
• existing classification structures from local
  authorities
• IM Toolkit Module F5 Legislation Review
• IM Toolkit Module T1 Records Classification
  System
• Feedback from working party members

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Format of RDS 1
Field

Content

Disposal class

The retention and disposal class to which a
record may
belong.


Code

The referenc
e code for the class.


Record type

The type of record

this entry will be either a particular
record type or an activity.


Description

A description and some examples of the types of
record to
be found in the class/record type.


Disposal decision

What
should happen to the record once it is non
-
current
and its retention period is complete. Disposal
does not
mean destruction

it means disposition what happens to
it.



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Format of RDS 2
Record becomes non
-
The point at which the record becomes non
-
current, or
current

in
active,
and at which the retention period begins
. See
Section 7 below for a discussion of when a record
becomes non
-
current.


after
Retention period until
The total period of time for which the record is
kept

disposal

it has become non
-
current and
before

the final disposal
action is applied.


Local Government Act
The Local Government Act Schedule class to which
thi
s
schedule number or
class/record/description relates, if there is
one, and/or the
ANZ GDA

Archives New Zealand General Disposal Authority
number, if there is one.



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Format of RDS 3
Legislative requirement

Any legislation that applies to the class/record
and its
disposal and retention periods. NOTE
Legislative
requirements are only entered here if they
specifically
concern the retention and disposal of the record.
For more
information on legislative requirements see
Module F5
Legislation Review.


Authority

The position ( not the persons name) wi
thin the Local
authority which has authority for the sign
-
off of disposal
actions, e.g. Finance manager or Corporate
Services
Manager for financial records, etc.


Criteria

The code for the main appraisal criterion or
criteria used to
determine the disposa
l action. NOTE Where an Archives
New Zealand GDA class has been used, appraisal
criteria
are not entered.



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Fields requiring completion

• Some fields require completion by Council IM
  staff, because consultation with users is
  required
• Retention period until disposal
• When record becomes non-current
• Guidelines provide guidance on how to complete
  the fields

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Guidelines for applying the Schedule

• How to apply RDS to records as they are created
• How to apply RDS to existing records
• Discussion of each class
• Discussion of retention and disposal issues as
  they apply to
• scanning and electronic copies of records
• summary records
• registers and databases,
• microfilm

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Classes 1

• Disposal classes in this Schedule are based upon
• functions or activities, such as Contract and
  Lease Management
• types of information, such as Reference
  Material
• appraisal values, such as All records created
  before 1945
• Some classes are a direct reflection of the Local
  Government Schedule classes

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Classes 2

• 44 classes in the Schedule
• Broad activity-based classes, e.g. Policy and
  procedures
• Council-specific function-based classes, e.g.
  Waste management
• Function specific classes exclude record types
  that can be covered by broad activity classes
• Cross references between classes in the RDS and
  in the Guidelines

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Classes 3 List of classes

• All records created before 1945
• Bequests gifts and donations
• Cemetery management
• Central Government records
• Chief Executive records
• Civic activities
• Commercial enterprises
• Communications
• Community development
• Community safety
• Contract and lease management
• Corporate Routine
• Cultural and recreation facilities management
• District/ Regional Plan
• Economic development
• Elected representatives
• Elections
• Emergency management
• Environmental and property regulation,
  protection, and monitoring

• Governance
• Heritage protection
• Human resources management
• Information management
• IT infrastructure
• Lakes, waterways and harbour management
• Local authority planning and reporting
• Local authority policy and procedures
• Local authority property and asset management
• Local authority publications
• Local authority stakeholding management
• Long Term Community Consultation Plan
• Marketing and promotion
• Mayoral correspondence
• Rating
• Records from preceding agencies
• Reference material
• Risk management and audit
• Transportation and roading provision and
  management

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Record type and description

• Record types listed alphabetically
• Record type field entries mostly based upon
  activity within a function or upon information
  type
• There may be several description entries under
  one record type
• Description field describes the types of records
  or information covered by the class and record
  type and provides some examples.

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Records to be appraised

• Not all records can be scheduled, because you
  cant always predict their content
• They have to be appraised
• If they are in a LGS class, they cant be
  destroyed without permission of the Chief
  Archivist, even if you are using this Schedule
• The RDS identifies which records must be
  appraised

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Selection

• The LGS recommends selection for some types of
  records
• Retaining some records out of a group
• Picking the records to keep according to
  pre-determined criteria
• The RDS identifies which records should be
  selected
• The Guidelines provide criteria for selection

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Feedback on RDS

• Your feedback on the Schedule is requested
• We want to know
• if there is anything we missed out
• If there is anything we should express in a
  different way
• Any other improvements you can think of!

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End of session