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About retention and disposal schedules

All records must be managed so that they remain complete and reliable records for the entire time they must be kept. To do this, you need to know:

• what records you need to keep
• where and how you need to keep them
• how long you need to keep them.

Find out how long to keep records by using a retention and disposal schedule to sentence them.

Retention and disposal schedule workflow

Use the retention and disposal schedule workflow (PDF, 109 KB) to help you decide what you need to do when a schedule is approved, if it supersedes another schedule, and what you should do to implement it.

About retention and disposal schedules

A retention and disposal schedule:

• is issued to a specific agency or group of agencies
• lists the types of records created within those agencies
• provides information on the retention period for records—the minimum time they must be kept
• identifies which records must be kept permanently, and which are of temporary value
• identifies the disposal trigger—the event or action from which the disposal or destruction date is calculated
• authorises the disposal action for the records—either transfer records to Queensland State Archives or destroy them securely.

Schedules are usually structured according to function, activity and record class. They include disposal authorisation numbers that legally authorise the disposal of records.

Retention and disposal schedules will help you:

• know what records you create and how long you need to keep them
• identify which of your records are permanent, vital, important, and non-essential
• plan for future recordkeeping requirements and costs, including storage and preservation, as well as disaster preparedness and business continuity
• ensure records are kept, maintained and accessible for the specified retention period
• routinely and legally destroy and/or transfer records once the business need for those records ends.

Disposal authorisation numbers

Prior to 1 September 2016, disposal authorisation was issued to an entire retention and disposal schedule using a QDAN. Lawful disposal was demonstrated by referencing the QDAN, version number and record class reference number.

From 1 September 2016, disposal authorisation is assigned to a class of records, which is allocated a specific disposal authorisation number. The disposal authorisation number:

• is used to demonstrate lawful disposal
• will follow a sequential numbering pattern starting from 1,000
• will not be duplicated across schedules
• will be deactivated once superseded and will not be reused
• may be superseded or replaced if the record class changes.

Sample Record Class

Changes to disposal authorisation numbers

A new authorisation number will be issued by the State Archivist if there is a:

• change to the intent of a record class, such as scope expansion or exclusions, change in the value and use of the records
• disposal action change, such as retention period and trigger
• new record class.

When a new disposal authorisation number is issued following an amendment to an existing class it will supersede the previous number. The superseded number can no longer be used to authorise disposal.

The relevant retention and disposal schedule will be amended and the changes published by QSA.

Agencies can request changes to existing record classes and/or the addition of new record classes to existing schedules.

Some editorial changes to record classes may be made at the discretion of QSA without the need for a new disposal authorisation number.

Numbering in core, sector and functional retention and disposal schedules

Core, sector and functional retention and disposal schedules approved before 1 September 2016 will be updated with new disposal authorisation numbers when:

1. QSA receives the first Application to amend/create a record class (DOCX, 150 KB)

or

2. a comprehensive review of the schedule is undertaken.

A retrospective numbering change to all current retention and disposal schedules is not required.

Using the disposal authorisation numbers

Other references and supplemental data can be added to the disposal authorisation numbers assigned to each record class to make them meaningful to your agency and fit for purpose.

For example, you may wish to add reference numbers for the functions and activities in the schedule.

When disposing of records, you must always ensure QSA's current authorisation number is used as your means for disposal authorisation.

Retention and disposal schedules available online will always have the latest changes and include the date last updated.

A change history table (XLSX, 16 KB) is available, and a quarterly report is emailed to agency contacts.

Retention periods - how long to keep records

How long you need to keep records will depend on potential legal, community and business requirements.

Retention periods are based on administrative, legal and fiscal requirements and consideration of the historical and community value of the public records.

You will need to appraise records to determine their value when developing a schedule, creating or changing a record class, or applying for one-off or early disposal authorisation for records (e.g. when decommissioning a business system).

Look at your business needs and activities to work out which records need to be created and then appraise those records to determine future need for that information.

Transitory and short term value

Transitory and short term value records are usually only for a very short period of time (e.g. 2 days, 1 week, or until business use ceases).

They are generally created as part of routine transactional business practices and are not required to support the business functions of an agency. They also have little or no value to the agency or community.

Examples include:

• drafts, working notes and calculations
• copies
• credit card and payment data.

Limited/low value

Limited/low value records have a short-term administrative value and will most likely have a retention period of less than 5 years.

They are normally only needed for a period of time where the decision or action they relate to can be appealed, questioned, or reviewed. They may also only need to be kept until superseded or revoked.

Limited/low value records will usually also have limited or no legal significance, not related to rights or responsibilities, and have no or limited statutory limitations.

The information captured in the records may be a summary sufficient for demonstrating or documenting key facts.

Examples include:

• applications or requests which are refused or rejected by your agency
• advice provided to clients which has no legal significance
• administrative arrangements, such as for non-significant events
• internal procedures and plans
• vehicle and transport arrangements
• projects, policies or plans not proceeded with.

Moderate value

Moderate value records will usually have a retention period between 5 to 20 years.

These records may impose rights or responsibilities that are subject to statutory limitations, and include records that may be needed for audit purposes.

The retention period for moderate value records may depend on the limitation of actions period for the particular activity or action, and other legal requirements.

Examples include:

• minor project documentation
• licensing and accreditation records (depending on your agency's responsibilities)
• records required for the conduct of legal proceedings
• contracts (excludes intergovernmental and other major agreements).

High-value

High-value records are long-term temporary and intrinsic value records and will usually have a retention period of 20 to 120+ years.

These records may relate to long-term or ongoing rights, obligations and entitlements. They will generally need to be retained for the life of the individual or asset they relate to.

High value records will most likely also include information that may be used for long range data analysis or comparison. These records and information would be impossible or costly to recreate.

In some cases, the records may document events or activities where the impact of the event may be unknown for some time.

Examples of records in this category would include:

• major project documentation
• some records relating to children (Note: Others may be permanent value)
• disposal of hazardous waste materials
• licensing/permits and accreditation records (depending on portfolio)
• enforcement records—records of non-compliance (depending on portfolio)
• building approvals for public infrastructure (other than historically significant infrastructure)
• employee health monitoring
• incident management records
• commissioned research data/reports.

Find out how to identify records with intrinsic value.

Permanent, historical and enduring value

Permanent value records need to be kept forever, either by QSA or by your agency depending in the retention period listed in the relevant schedule.

The value of these records and information does not decrease over time, and in some cases increases in value.

The value is generally recognised by a broader audience than the original creating agency, including future generations.

Permanent value records include those that may be relied upon to establish or prove identity of individual citizens.

Examples of these types of records include:

• case files of a precedent-setting nature
• records documenting one-off, record-breaking or unprecedented events such as natural disasters, state visits
• records documenting major investigations into government agencies, functions or actions
• research commissioned by the government on major policy issues.

The QSA's Appraisal Statement (PDF, 697 KB) gives the criteria QSA use to appraise permanent archival or enduring value records.

Find out how to identify records that need to be kept permanently in QSA's Appraisal Statement and advice on the identification of permanent public records using the Appraisal Statement.

Find out which schedule to use

Types of schedules

Schedules are issued to a specific agency or group of agencies. The most common ones are:

• General retention and disposal schedule (GRDS) and General retention and disposal schedule (Lite)—cover records common to most agencies or created by multiple agencies, such as administrative, transitory and short-term records
• Agency-specific / Core schedules—cover records unique to the functions and business activities of a certain agency
• Sector schedules—cover records of similar agencies that perform the same functions, such as local governments or universities.

All schedules are format-neutral, meaning they apply to all record types including digital unless otherwise specified (e.g. the schedule is only for digital records, record class is for paper records).

Who can use the schedules

All agencies can use the general schedules. All the other schedules can only be used by the specific agency or group of agencies the schedule is issued to or the agency responsible for the related function(s).

An agency may be given permission by QSA to use a schedule issued to another agency if:

1. the records they create relate to similar functions and activities

and

2. they have the same retention requirements.

Requests to use a schedule issued to another agency must be submitted to QSA.

If functions are transferred between agencies during a machinery-of-government change, the newly responsible agency can generally use the schedule that goes with the records.

Which schedule to use

There may be multiple schedules issued to or available for use by your agency. You can use a combination of different retention and disposal schedules to sentence your records.

Some agencies may not have an agency core or sector schedule issued to them or available for their use. These agencies will only be able to use the GRDS, which may only cover some of their records.

Find out which schedule to use when sentencing records covered by multiple schedules.

Use the General retention and disposal schedule and the GRDS Lite

You can use the General retention and disposal schedule (GRDS) and GRDS Lite to sentence and dispose of:

• records of common activities and functions (e.g. finance, HR)
• transitory and short-term records created as part of routine transactional business practices.

The structure of the GRDS is loosely based on the Keyword AAA business classification scheme developed by State Archives & Records NSW.

GRDS Lite

The GRDS Lite is an alternative to the GRDS. It is based on the full GRDS and covers the same functions and activities (except transitory and short term records).

It does not replace the full version or override any retention periods in the GRDS. Records can only be sentenced under GRDS Lite if they are covered in the GRDS.

The GRDS Lite:

• rolls up the functions of the GRDS into 3 main record classes:
  • permanent
  • temporary with unique retention period requirements
  • single broad temporary (default).
• allows you to sentence quantities of similar records using a single record class
• helps you to focus on the most valuable records and those that have particular sentencing requirements
• can be used in conjunction with the full GRDS version.

Note: With less record classes, some records may be kept for longer than they would if they were sentenced under the GRDS.

If you have large volumes of records to sentence, it may be beneficial to use the GRDS.

Related documents

• Appraisal log (PDF, 2.12 MB)—describes record classes in the schedule and the justification for retention periods
• Summary of changes (PDF, 711 KB)—lists the changes between the current and the previous version so you can easily track which record classes have been changed, moved or amended
• Mapping document (PDF, 286 KB)—links the full GRDS to the GRDS Lite.

Create an implementation version

At times, and for various reasons, it may not be possible to implement a retention and disposal schedule exactly as it has been authorised by the State Archivist.

For example, transitory disposal authorisations in the General Retention and Disposal Schedule have a retention period and trigger of 'Until business action completed'. How long those records need to be kept for will vary between agencies, so an actual period of time needs to be determined and documented. Also, if that same trigger isn't an option in your recordkeeping system, you will need to decide what will trigger disposal or at least a review of disposal of those records.

It's important to consult with business areas when making the above types of decision; as the information creators and/or owners they know the value of the records and how long they need to be retained.

Those types of decisions are documented in an implementation version of a schedule.

Implementation versions are internal working documents and are based on schedules that have already been authorised by the State Archivist. They do not need to be approved by QSA.

You can use the MS Word version of a schedule to create your own agency implementation schedule.

This may be necessary if there are multiple schedules available for your agency or you need to modify it to load the schedule into your recordkeeping application or business system.

Note: Implementation versions must be based on schedules your agency is authorised to use.

How to create an implementation version

How you create an implementation version is up to you and needs to suit your agency's business requirements.

Information that cannot change

You must ensure the following mandatory information is included in the implementation version.

Do not change the:

• disposal authorisation number or QDAN and record class number (excluding supplemental information added)
• retention period, disposal action or disposal trigger in a way that shortens the retention period or risks records being disposed of early
• date authorised
• scope of the function, activity or record class in a way that changes what records are covered.

These are what authorise the disposal of records and are needed to lawfully document the disposal.

Information that can change

When creating an implementation version you can:

• merge multiple schedules
• add supplemental information to the disposal authorisation numbers
• modify terms and keywords from the schedule to match the terms used by your agency, including function, activity and record class title—this can be done as part of mapping your business classification scheme to the schedule, however this must not change the intent of the function, activity or record class
• update examples to include records specific to your agency—these must fit within the scope of the record class to ensure the intent of the class and the records it covers does not change
• remove sections or individual classes that aren't relevant to your agency (e.g. remove collection management function from the GRDS if it doesn't apply)
• include information about disposal triggers relevant to your agency (e.g. if you decide 'business action completed' will always be implemented as 'date inactive', or 'date file closed')
• include information from your BCS or other recordkeeping tools (e.g. mapping information)
• include information, instructions, procedures or processes about how the schedule should be implemented or interpreted (e.g. how disposal triggers should be interpreted, when records should be sentenced)
• convert it to a format most appropriate for your agency (e.g. csv for uploading to a business system)
• adjust the template to suit your needs (e.g. add your agency's header and footer, modify styles and formatting).

You can use the retention and disposal schedule template (DOCX, 137 KB) for your implementation version. This can be modified as required to suit your agency's needs.

You will need to consider how you document changes, including decisions about the changes made and why (e.g. why a disposal trigger is used).

Authorisation details and dates

Authorisation details and dates for a whole schedule or individual record classes do not change. These details would be the same as on the schedule(s) the implementation version is based on (e.g. Local Government sector schedule, GRDS etc.)

You will need to make it clear in your implementation version when the disposal authorisations were authorised by the State Archivist. For example, a 'date authorised' column for each record class, or leaving the authorisation details in the introductory text and on the cover (if all record classes were approved at the same time).

Consider including a 'current as at' date or a 'date created' to show when the implementation version was created or last updated. This will help you track any changes required when record classes in the schedule(s) it's based on change.

Consider whether your agency CEO would need to endorse or approve your implementation version. This may depend on the decisions made (e.g. disposal triggers), the information it contains or what's been amended, and the purpose of the document.

Loading a schedule into a business system or recordkeeping application

Adding a retention and disposal schedule to a business system or recordkeeping application allows you to:

• manually sentence records to determine how long the records need to be kept
• map schedules to your BCS so that when a file is created it will automatically be sentenced
• have the system calculate disposal dates
• run reports to identify when records may be due for disposal.

You may need to add retention and disposal information manually, or you may be able to import this information—this will depend on the system's capabilities.

Your implementation version may form the basis of an import file for the information you need to add manually.

Talk to your IT team if you are importing a schedule into a business system or recordkeeping application to make sure all required information can be added accurately.

Map between a business classification scheme and a schedule

The terms used in your agency's business classification scheme (BCS) are unlikely to appear in or match the terms used in the retention and disposal schedule(s) that you use.

You do not need to reclassify your records, but you can create a tool that maps the terms between the BCS and the relevant schedule(s).

How to map

Identify how function and activity terms used in your agency's BCS correspond to the terms used in the schedule. If your agency is using more than 1 schedule, you will need to map your BCS to all schedules used.

If a classification term maps to several record classes, all of these possible classes can be included in your mapping to ensure that records are retained for the correct and/or longest retention period. A third classification level in your BCS may make it easier to map specific transactions to the relevant record class (e.g. Function–Activity–Transaction).

You may need to create an implementation version of the schedule(s) used by your agency and customise it to include the specific terms used by different business areas within your agency.

Things to consider

When mapping between a BCS and a schedule, you should consider the following:

• any 1 record class in the schedule could map to more than 1 activity term in the BCS—the mapping tool is a point of reference to the most appropriate record classes
• the record class you identify when initially mapping may change—you should review the mapping when a new schedule is released
• not all recordkeeping applications will allow you to assign more than 1 disposal action—use the longest retention period if this is the case.

Load the schedule into a recordkeeping application

You may need to convert a retention and disposal schedule to another format to upload it into your eDRMS or business system (your IT area might be able to help with this).

Check with other agencies that use the same schedule(s) (e.g. sector schedules such as universities, local government) to see if they have already converted them into a suitable format. This may save you time, effort and money depending on the format needed.

Here are some considerations when loading schedules into a recordkeeping application.

Input format

• Technical requirements vary depending on the application used.
• Common formats include xls, .doc, .html, .csv or .txt.
• Some applications may require manual entry.

Multiple schedules

• If an application can only support 1 schedule, you may need to merge multiple schedules to an implementation version before uploading.
• As the merged schedule is primarily a reference tool, ensure you use and document the correct disposal authorisation before you dispose of records.

De-activate superseded or withdrawn schedules, record classes or disposal authorisations

• Deactivate or remove any superseded schedules, record classes or disposal authorisations.
• If your application can take more than 1 schedule, you can keep the superseded version in the system to demonstrate that records have been legally disposed of under an approved schedule.
• If you have to remove a superseded schedule from an application, ensure you can still show evidence of lawful destruction (e.g. destruction log (DOC, 355 KB)) or link any destroyed records to that evidence.

Disposal actions should be assigned at the file level

Records should be sentenced at the file or container level, not at the document or individual record level. This will prevent valuable contextual information being lost.

Find out more about sentencing records in business systems and applications.

What to do when a retention and disposal schedule changes or is superseded

Records must only be destroyed using a schedule that is current at the time of disposal.

You must resentence records before disposal if the schedule and/or record class has been superseded or withdrawn.

Agencies are responsible for monitoring when retention periods change, when new record classes are released and when inactive record classes are withdrawn from use.

When a new or revised schedule is approved, you may need to:

• let people know there is a new schedule available
• check if it supersedes other schedules you use
• remove all versions of superseded schedules from circulation
• keep a copy of the superseded schedule so that you can refer to it
• update your procedures and other information to refer to the new schedule (e.g. intranet page, business classification scheme)
• work out if any retention periods have changed since your records were sentenced—check for a summary of changes to help you with this
• if retention periods have changed, recalculate destruction dates before destroying records
• update your control records to reflect the changes (e.g. reference number of the schedule)
• start using the new schedule to sentence records—you can choose to do this immediately, or only as the records become due for review and disposal.

You do not need to update the disposal information for records that have already been destroyed.

Determine what has changed

A summary of changes lists the differences between the previous and current versions of a schedule. We publish a summary of changes (PDF, 217 KB) for most general schedules and some others.

Use this to track the changes to record classes and retention periods between versions, and to resentence records.

For all other schedules, the appraisal logs will show the changes made and why.

Develop or review a retention and disposal schedule

You may need to develop a retention and disposal schedule or review an existing schedule to cover and authorise the disposal of some or all of your agency's records.

A review may be prompted if:

• the schedule no longer reflects the functions and activities performed by your agency
• the schedule no longer covers all of your records
• significant legislation changes affecting your agency
• significant changes to business processes or business value of records
• you have inherited records from another agency as part of a machinery-of-government change.

If you do need to develop or review your schedule, please complete the application to review or develop a retention and disposal schedule (DOCX, 127 KB) and email it to rkqueries@archives.qld.gov.au.

Requests to review or develop retention and disposal schedules are evaluated on a case by case basis according to business priority and resource requirements.

You can request a change to an existing class or the creation of a new record class if necessary.

Retention and disposal schedule toolkit

Scope a schedule

• Retention and disposal schedule development and review process (PDF, 225 KB)
• Retention and disposal schedule: Background information (DOC, 80 KB)
• How to complete the background information template (PDF, 293 KB)
• Sample retention and disposal schedule: Background information (PDF, 234 KB)

Draft a Retention and Disposal Schedule

• Retention and disposal schedule template (DOCX, 137 KB)
• How to complete the schedule template (PDF, 217 KB)
• Sample retention and disposal schedule (PDF, 455 KB)
• Identification of permanent records using QSA appraisal statement

Complete an appraisal report/log

• Appraisal log template (DOC, 201 KB)
• How to complete the appraisal log template (PDF, 299 KB)
• Sample appraisal log (PDF, 392 KB)

Map legislative requirements

• Legislative mapping template (DOC, 126 KB)
• How to complete a legislative mapping template (PDF, 116 KB)
• Sample legislative mapping for Public Records Act 2002 (PDF, 222 KB)

Track changes in disposal authorisation

• Summary of changes in retention and disposal schedule template (DOC, 171 KB)
• Sample summary of changes in retention and disposal schedule (PDF, 217 KB)
• How to complete the summary of changes template (PDF, 94 KB)

Create or change a record class

To request a change to an existing class or the creation of a new record class, email an application to amend/create a record class form (DOCX, 150 KB) to rkqueries@archives.qld.gov.au.

This form can be used for updates to the GRDS and your core schedule, even if your core schedule has not transitioned to the new disposal authorisation numbers.

The following table outlines when change requests can be submitted, and if and when a new disposal authorisation number will be issued.

Change request	Disposal authorisation number
Change to the intent of a record class–such as scope expansion or exclusions, change in the value and use of the records	New disposal authorisation number issued by State Archivist and supersedes previous number
Disposal action–such as retention period and trigger	New disposal authorisation number issued by State Archivist and supersedes previous number
Editorial changes–such as amendments to references, spelling and grammar	Disposal authorisation number remains
New record class	New disposal authorisation number issued by State Archivist

Applications will be assessed by the Government Records Innovation team and, where applicable, submitted to the State Archivist for authorisation.

They will be used to draft the record class and complete an appraisal log (PDF, 392 KB). The justification provided in the appraisal log will be used by the State Archivist to determine whether authority will be issued.

Find out how to complete the appraisal report templates (DOC, 201 KB) (including justifying how long records must be kept).