Before you begin

Identify the need to develop a functional records disposal schedule

The General Disposal Schedule should be considered before developing a functional disposal schedule. If a function is covered by the general disposal schedule and all legislative, regulatory and community expectations, then a functional records disposal schedule is not required.

Tip: If the function is carried out by more than one organisation it is probably covered by a general disposal schedule.

For further information regarding General Records Disposal Schedules refer to the Department of People, Culture and Culture website.

The following questions will assist in determining the requirement to develop a functional disposal schedule.

• Is there a close relationship between your organisation and another in respect to these functions?
• Is the organisation dependent on another organisation to complete work for this function?
• Is the organisation dependent on another organisation for approval to any processes for this function?
• Does the agency consult regularly with other organisations in relation to this function?
• Are there joint committees with other organisations in relation to this function?
• Are staff members seconded in relation to this function (either to or from the organisation)?
• Is there any joint funding in relation to this function with another organisation?
• Does another organisation or outside body hold records in relation to this function?
• Does the organisation have agreements with other organisations relating to this function?
• Do other organisations have responsibility in relation to legislation for the organisation?
• Does the organisation report to a governing body in relation to this function?
• Does any other organisation perform these functions?

If the answer to all these questions is ‘No’, then it can be determined that the function is unique to the organisation. A project plan outlining the process will need to be developed.

If the answer to any of these questions is ‘Yes’, then it can be assumed that another organisation either performs this function in parallel, or that another organisation may contribute to the performance of this function in some capacity. In this case, the organisation in question will need to be consulted during the development of the schedule.

Stakeholders

It is useful to identify key internal stakeholders at the commencement of the project. Stakeholders might include business area managers, legal staff and internal auditors, and provide essential expertise on the value and uses of records in the organisation.

Information technology staff are also important stakeholders, especially in identifying the various business systems in which records might be stored, and developing an understanding of how these records would be managed. These stakeholders may form a reference group to support the project or be consulted on an individual basis. The interests of external stakeholders, whether other government bodies, private organisations, client / customer groups or the wider community, should also be taken into account during the evaluation process.

Timeframe

The project timetable should allow sufficient time for the key stages of the project:

• the preliminary review of the draft schedule by the RRDWG and negotiation of changes (if required)
• sign off by the chief executive and / or senior management of your organisation before formal submission to the Director Policy and Data Strategy and Senior Director Library & Archives NT.
• availability of the Director Policy and Data Strategy and Senior Director Library & Archives NT
• feedback received and addressed by the public sector organisation.

How long a records disposal schedule project will take depends on the size of the organisation, how many functions it undertakes, and decisions on the scope of the project.

For a medium-sized organisation with a limited range of functions and one person working full-time, it may take approximately three months to develop a schedule covering current records and a small legacy collection. In contrast, for a large organisation with a wide range of functions, many offices to cover, e.g. regions and extensive legacy collections, may take considerably longer and may require a small team of staff to identify and evaluate all current and legacy records. In this situation a phased approach could be adopted in consultation with the RRDWG.

The length of time required to complete the formal approval process depends on a number of factors including:

• size of the organisation
• quality of work submitted
• level of detail in the draft schedule and supporting information
• complexity of the schedule (for example, whether extensive legacy holdings or a large number of functions are covered)
• timeliness of responses from public sector organisations on issues raised by the RRDWG.

Planning the project

Developing the functional disposal schedule to cover core-business records of a public sector organisation is a significant project particularly in medium and large organisations.

Stages of the project

There are five main stages in developing the schedule:

• establish a project plan and identify resources, timeframes and deliverables
• undertake contextual and background research, including records holdings
• identify retention requirements through stakeholder consultation
• draft the records disposal schedule and supporting documentation.

Draft schedules are submitted to the Records Retention and Disposal Working Group (RRDWG) for comment and referral to the Director Digital Policy and Data Strategy and Senior Director Library & Archives NT for endorsement, to request the final approval documents from the agency.

It is important to consider ongoing issues early in the project. For example, the documentation produced to support the schedule, legislative mapping, record class description forms and retention period justifications should be sufficiently detailed to be able to be considered by the RRDWG.

Contact

To find out more, contact Records and Information Management.