Fact Sheet 4: Record Disposal and Transfer

Records management for organisations funded under the Service Agreement
Fact sheet 4: Record disposal and transfer

Date: April 2016

This fact sheet is produced by the Victorian Department of Health and Human Services in support of the Service Agreement and its requirements in regard to recordkeeping. Information in this fact sheet is for general guidance only and references to contractual or legislative obligations are descriptive only. The Service Agreement and any applicable laws or legislation, including all standards and materials issued by the Public Record Office Victoria (PROV), take precedence over this fact sheet. The fact sheet does not constitute and must not be relied upon as legal or other professional advice. Each funded organisation should always obtain specific legal or other professional and recordkeeping advice tailored to its individual circumstances as needed. No liability is accepted by the department for any loss, damage, cost or expense incurred as a result of reliance on this document.

This fact sheet is intended to provide information about the retention and disposal of records for the purpose of assisting funded organisations to meet the requirements of the Public Records Act 1973(Vic.)(PR Act) and the following clauses in the Service Agreement:

6.7The Organisation will only dispose of a Record in accordance with the standards issued under the PR Act, other relevant legislation and any specific instructions provided by the Department and Victorian Government.

6.10 Subject to clause 15 [Transition of Services] the Organisation will maintain all Records after the Agreement ends in accordance with time periods required by the PR Act.

The information in this fact sheet may be relevant where an organisation is no longer funded to deliver services or amalgamates with another organisation.

Record retention

It is in the interest of former and current clients of the department that their records be secure and accessible. Organisations funded undera Service Agreement to deliver services to clients must manage the records of clients in accordance with the Service Agreement. Funded organisations are obliged to retainrecords for the retention period specified for each type of record.

Retention and Disposal Authorities

The Department of Health and Human Services provides funding to funded organisations in thirteen categories known as Output Groups. These are:

•Acute Health Services

•Ageing, Aged and Home Care

•Child Protection and Family Services

•Concessions to Pensioners and Beneficiaries

•Disability Services

•Drugs Services

•Empowering Individuals & Communities

•Housing Assistance

•Mental Health

•Primary, Community and Dental Health

•Public Health

•Small Rural Services

•Youth Services and Youth Justice

The records of services delivered by each output group are covered under PROV Retention and Disposal Authorities (RDAs), which govern how long particular types of records are retained. Each RDA provides detailed guidance on the retention requirements for each category of records.

The Record retention guide for funded organisations,published on the Funded Agency Channel website,provides guidance to funded organisations on the relevant retention class that applies to each type of record.

Administrative records are subject to the conditions of the PROS 07/01 General Retention & Disposal Authority for Records of Common Administrative Functions.

Records relating to the delivery of services are covered by a number of RDAs, including:

•PROS 08/12 RDA for the Records of Child Protection & Family Services Functions

•PROS 08/13 RDA for the Records of Disability Services Functions

•PROS 08/14 RDA for the Records of Housing Function

•PROS 08/15 RDA for the Records of Public Health Functions

•PROS 08/16 RDA for the Records of Youth Services & Youth Justice functions

•PROS 08/17 RDA for the Records of Youth Parole and Youth Residential Boards

•PROS 09/09 RDA for the Records of Mental Health, Alcohol & Drugs Service Functions

•PROS 09/10 RDA for the Records of Aged Care Function

•PROS 11/06 RDA for the Records of Patient Information Records

•PROS 12/05 Statewide Health Services RDA

Disposal of records

RDAs prevent the premature destruction of records and authorise the destruction of records once the retention period has expired.

For more detail on records disposal standards see the PROVstandardPROS 10/13 Disposal and theassociated specifications, guidelines and training materials.

Note: Records which may be required for the federal Royal Commission into Institutional Responses to Child Sexual Abuse must not be destroyed even if there is a disposal authorisation in place.

Cessation of service provision

On cessation of delivery of services under a Service Agreement for any reason, funded organisations must retain all records pertainingto delivery of funded services in accordancewith the Service Agreement. Records, whether currently active or in storage, must be easily retrievable and retained for the periods specified in the applicable RDAs.

Transfer of records

Where service delivery ceases under a Service Agreement for any reason, and another organisation is funded by the department to provide the services, funded organisations must comply with the transition of services provisions in clause 15 of the Service Agreement.

A robust records managementsystem, as mandated by the Service Agreement, shouldensure documents can be readily located and accessed. Requests for access to records must be managed in accordance with the Service Agreement and guidelines provided in Fact sheet 5: Freedom of Information and funded organisation records.

Upon amalgamation of an organisation, all records must be transferred to the new amalgamated organisation and managed in accordance with the Service Agreement.

If a funded organisation is planning to cease operation and close down, the Records Service Centre should be contacted as soon as possible for advice on archiving the records (telephone03 9096 8999 or email

Service delivery ceases
Organisation retains custody of records if the organisation continues to operate.
Service amalgamates
Organisation transitions records to the new amalgamated organisation.
Organisation closes
Organisation archives records with advice from the Department of Health and Human Services.

Frequently asked questions

What happens to closed client records where an organisation has ceased to deliver services but is continuing to run?

The organisation retains custody of the client records for the prescribed retention periods unless there is a successor organisation. Permanent retention records may be sent to the Department of Health and Human Services for transfer to the PROV.

What are permanent retention records?

Permanent records are those records specified in Retention and Disposal Authorities as required to be kept as part of Victoria’s State Archives.

What records must be transitioned when services are transitioned to a new amalgamated organisation?

Where service delivery ceases, funded organisations must comply with Clause 15 of the Service Agreement (Transition of Services).

All records created in the provision of services must be transitioned regardless of their format.

What happens to the records when an organisation funded by multiple departments has ceased to provide services?

The organisation retains custody of the records for the prescribed retention periods unless there is a successor organisation. Permanent retention records may be sent to the Department of Health and Human Services for transfer to the PROV.

We are closing down completely, what do we do with our records?

Where an organisation is ceasing operation completely, the Records Service Centre at the Department of Health and Human Services must be contacted as soon as possible for advice on archiving the records. Advice will be provided in accordance with the organisation’s specific circumstances.

Records Service Centre

Phone: 03 9096 8999

Email: