State Records Office of Western Australia

Retention and Disposal Schedule

Review Report

PART A

BACKGROUND

Section 28 of the State Records Act 2000(the Act) requires that

“no more than 5 years is to elapse between the approval of a government organization’s record keeping plan and a review of it or between one review and another”

and that a report of this review must be submitted to the State Records Commission within that 5 year period.

PURPOSE

The purpose of this review is to enable government organizations to comply with section 28 of the Act and to ensure that the Retention and Disposal Schedule is continually evaluated and improved in order to meet continuing business needs and compliance requirements.

INSTRUCTIONS

  1. The organization’s existing approved Retention and Disposal Schedule (R&D) is to be reviewed to establish whether:

the organization’s functions or processes have changed significantly;

new categories of records have been identified or created; or

existing disposal decisions have been re-considered.

2.Complete Part B and C of this template, which form the basis of the review report specific to your organization. Other documentation may be added if necessary.

Please complete PARTS B and C and submit to the State Archivist for referral to the State Records Commission.

Ms Cathrin Cassarchis

State Archivist and Executive Director State Records

State Records Office of WA

Alexander Library Building

Perth Cultural Centre

PERTH WA 6000

State Records Office of WA

October 2013Page 1 of 4

<INSERT AGENCY NAME>

Retention and Disposal Schedule Review Report

PART B – Retention & Disposal (R&D) Schedule Assessment

Assessment of the items in part 1 of the instructions will form the basis of the review and determine the following:

Tick as appropriate

a)The R&D adequately covers all records captured by the organization and the disposal decisions are still appropriate therefore, the R&D does not require revision /
OR
b)The review identifies that the organization’s business functions or practices have changed and therefore, the R&D requires amendment /
AND / OR
c)The review identifies that some disposal decisions have been re-considered and require change and therefore, the R&D requires amendment /

NB: No amendments/revisions should be made to the R&D without prior consultation with the State Records Office.

CEO CERTIFICATION

I acknowledge my responsibility for the preparation of this Retention and Disposal Schedule review report (under the terms of the State Records Act 2000).

I confirm, to the best of my knowledge and belief, the information provided about the Review is complete and accurate.

Signatureof CEO or principal officer of the organization

NamePosition

Name of organizationDate

PART C

You are required to:

  1. Tick the appropriate yes/no box for each question;
  2. Answer ALL questions;
  3. Where responses identify that the organization’s circumstances or recordkeeping practices have changed, provide:
  4. a brief explanation of the change; and
  5. an outline of actions planned to address the requirement, if any.

Compare the information provided in the approved R&D against categories of functional records currently held by the organization and answer the following.

See example at Appendix A

Assessment of R&D / Yes / No
1 / Has the organization relinquished or discontinued any major functions?
2 / Has the organization gained any new functions?
3 / Does the R&D cover all categories of records created by the organization (where not covered by the General Disposal Authorities)?
4 / Are the disposal decisions in the R&D still appropriate for all record categories?

If you answered ‘YES’ to question 1 or 2, please briefly explain in the table below;

AND

If you answered ‘NO’ to question 3 or 4, please briefly explain in the table below.

See example at Appendix A

Explanatory Notes
1
2
3
4

APPENDIX A

SAMPLE RESPONSE

Assessment of R&D– SAMPLE / Yes / No
1 / Has the organization relinquished or discontinued any major functions? / 
2 / Has the organization gained any new functions? / 
3 / Does the R&D cover all categories of records created by the organization (where not covered by the General Disposal Authorities)? / 
4 / Are the disposal decisions in the R&D still appropriate for all record categories? / 

If you answered ‘YES’ to question 1 or 2, please briefly explain in the table below;

AND

If you answered ‘NO’ to question 3 or 4, please briefly explain in the table below.

Explanatory Notes– SAMPLE
1 / Under 2012 government reform, some functions were transferred to Agency B but the legacy records are still held by this <meaning Your Agency> agency and therefore the R&D is still appropriate and no change is required.
OR
Under 2012 government reform, some functions and all associated records were transferred to Agency B along with a copy of the relevant components of the approved R&D Schedule. The intension therefore, is to amend our R&D to reflect this change within 12 monthsor by X date.
2 / An amalgamation with Agency B has meant that this <meaning Your Agency> agency has acquired new functions and records associated with those functions. Therefore the R&D will be amended and submitted for approval within 6 months or by X date.
3 / A group or series of records was discovered in one of our satellite offices and these are currently being processed for inclusion into an amended R&D after consultation with the State Records Office.
4 / The length of time some categories of records are held is currently under internal review and discussion will ensue with the State Records Office once the review is completed.

State Records Office of WA

October 2013Page 1 of 4