Australian Capital Territory
Territory Records (Records Disposal Schedule – Road & Rail Management Records) Approval 2015 (No 1)
Notifiable instrument NI2015-359
made under the
Territory Records Act 2002, s 19 (Approval of schedules for the disposal of records)

1.	Name of Instrument
This instrument is the Territory Records (Records Disposal Schedule – Road & Rail Management Records) Approval 2015 (No 1)
2.	Approval
I approve the Records Disposal Schedule – Road & Rail Management Records.
3.	Commencement
This instrument commences on the day after notification.
4.	Revocation
I revoke Notifiable Instrument NI2004-474.

Danielle Wickman
Director of Territory Records
3 July 2015

Records Disposal Schedule
Road & Rail Management Records

Table of Contents
INTRODUCTION
PURPOSE
SCOPE
AUTHORITY
STRUCTURE AND RELATIONSHIP TO THE TERRITORY VERSION OF KEYWORD AAA
Whole of Government Thesaurus
GUIDELINES FOR USE
Coverage of authority
Layout of the schedule
FORMAT OF RECORD
Electronic records
DESTRUCTION OF RECORDS
UPDATING THE RECORDS DISPOSAL SCHEDULE
ASSISTANCE IN USING THE RECORDS DISPOSAL SCHEDULE
RELATED LEGISLATION
DEFINITIONS
Agency
Appraisal
Business Classification Scheme
Principal Officer
Records
Records of an Agency
Records Disposal Schedule
Records Management Program
Recordkeeping Systems
Scope Note
Sentencing
Territory Archives
BUSINESS CLASSIFICATION SCHEME
ROAD & RAIL MANAGEMENT
RECORDS DISPOSAL SCHEDULE
ROAD & RAIL MANAGEMENT
Acquisition
Advice
Agreements
Authorisation
Committees
Compliance
Construction
Contracting out
Disposal
Evaluation
Infringements
Inquiries
Inspections
Installation
Insurance
Liaison
Maintenance
Meetings
Planning
Policy
Procedures
Public Reaction
Reporting
Research
Risk Management
Service Provision
Standards
Tendering
RETAIN AS TERRITORY ARCHIVES
ROAD & RAIL MANAGEMENT
Acquisition
Agreements
Authorisation
Committees
Construction
Contracting out
Installation
Maintenance
Meetings
Planning
Policy
Public Reaction
Reporting
Research
Tendering

INTRODUCTION
The Records Disposal Schedule – Road & Rail Management Records is the official authority for the disposal of these ACT Government records.
It is one of a series of Whole of Government Records Disposal Schedules authorised by the Director of Territory Records in accordance with the provisions of the Territory Records Act 2002. It is used in conjunction with other Territory Records Disposal Schedules.
PURPOSE
The purpose of this Records Disposal Schedule is to provide for the authorised disposal of Road & Rail Management records created or maintained by ACT Government Agencies.
SCOPE
This Records Disposal Schedule applies to records created or maintained by ACT Government Agencies. It applies to records in any format, including electronic records.
AUTHORITY
The Director of Territory Records, in consultation with stakeholders and the Territory Records Advisory Council, has approved this Records Disposal Schedule for use. The schedule does not take effect until it has been incorporated into an agency's Records Management Program that has been signed off by the Principal Officer of the agency.
Even so, officers using this Records Disposal Schedule should apply it with caution. They should be aware that the authorisations for disposal are given in terms of the Territory Records Act 2002 only. Officers must not dispose of records in contravention of this Records Disposal Schedule or other requirements.
This Records Disposal Schedule will remain in force until a new schedule supersedes it or the Director of Territory Records withdraws it from use.
STRUCTURE AND RELATIONSHIP TO THE TERRITORY VERSION OF KEYWORD AAA
A Records Disposal Schedule generally specifies retention periods. That is, how long records are to be retained by the agency before being destroyed or retained as Territory Archives.
Retention periods set down in this schedule are minimum periods only and an agency may keep records for a longer period if considered necessary for business requirements. Reasons for longer retention could include legal requirements, administrative need or agency directives. An agency must not dispose of any records where it is aware of possible legal action for which the records may be required as evidence or if there is a current records disposal freeze in effect.
The Records Disposal Schedule – Road & Rail Management Records has a hierarchical structure that reflects its arrangements according to functions and activities, rather than by subject, and this also reflects a close relationship to the Territory Version of Keyword AAA. The Records Disposal Schedule is designed to be applicable to all Road & Rail Management records regardless of titling conventions used, so that records, which have not been titled using the terminology represented by this Records Disposal Schedule, may still be sentenced with relative ease.
Whole of Government Thesaurus
The Whole of Government Thesaurus is a controlled vocabulary of terms designed for use in the classifying, titling and indexing of records on creation.
The Whole of Government Thesaurus has been developed on the basis of the Territory Version of Keyword AAA (TVKAAA) (2010), a thesaurus incorporating 16 common Functions. All other Functions within the Whole of Government Thesaurus are considered Functions performed by the ACT Government and have been included following consultation with agencies and after consideration by the Territory Records Office (TRO) via a formal approval process.
The Whole of Government Thesaurus is mandated by the Director of Territory Records for use by all ACT Government agencies as part of their classifying and titling of paper and electronic records. See also Records Advice No.28 Functional directories on shared drives.
The disposal actions listed in this Records Disposal Schedule were determined through the process of appraisal in accordance with Territory Records Office Standard for Records Management No.2 - Appraisal. Appraisal is based upon the same type of analysis of business activity employed in the classification scheme used in the Territory Version of Keyword AAA. Essentially, appraisal involves attaching record retention periods and disposal decisions (and even records creation requirements and rules) to the same classification scheme.
GUIDELINES FOR USE
Coverage of authority
The Records Disposal Schedule - Road & Rail Management Records:
•	covers all records related to the function;
•	is intended to be used in conjunction with other Territory Records Disposal Schedules;
•	specifies the minimum period records should be kept (retention periods) 
•	specifies whether, upon the expiry of the retention periods, the records may be destroyed or are required as Territory Archives; and
•	is applicable to records created and maintained in any format, including electronic or formats such as microfiche.

Layout of the schedule
This Records Disposal Schedule begins with an introduction incorporating definitions and the business classification scheme. Then each of the functions and activity disposal sets or 'disposal classes' relating to the functions are described. These are followed by a composite list of classes designated 'Retain as Territory Archives'. The functions and activity disposal sets show the following details:
Function. 
This is the broad level business function and is displayed in bold capital letters. It is the highest level in the business classification scheme. It is followed by the scope note, which provides definitions of the function and a collective view of the business activities that make that function unique.
Activity.
Activities are the processes or operations that make up the business function. They are set in bold and italics below the function statement. This is the second level of the business classification scheme. The scope of the activity encompasses all of the transactions that take place in relation to the activity. Activities can relate to many functions with the scope notes covering all of these relationships (e.g., the activity 'Policy' is linked to all of the functions). However, each function and activity set represents a unique unit.
Entry No.
This is the disposal class number allocated based on the function and activity set and the class number of the record. The barcode is the same as the Entry No. and may be used in an automated recordkeeping system.
Description of Records.
This is the description of the records documenting the business function, activity and transactions. The descriptions can relate to one record such as a register or a group of records documenting a particular set of transactions.
Disposal Action.
This is the minimum period a record must be kept for and is the trigger event from which the disposal date can be calculated.

FORMAT OF RECORD
This Records Disposal Schedule is applicable to any record that performs the function prescribed, irrespective of format. Records may include:
•	cards;
•	registers;
•	files;
•	microfilm;
•	COM (computer output microfiche);
•	electronic records, including various electronic media, and
•	any other formats.
Electronic records
Refers to records created, communicated and maintained by means of electronic equipment. Information could be maintained/stored in a number of ways - on the database (the main database, or a special archives database); on magnetic media; on optical disks; or on separate hardcopy (paper, COM).
Electronic records must be readily accessible for the length of the specified retention period. Routine treatment (such as wiping, updating, alterations or re-recording) does not constitute disposal.
DESTRUCTION OF RECORDS
When the approved disposal date for the destruction of records has been reached, appropriate arrangements for their destruction should be made. It is the responsibility of each agency to ensure that its records are destroyed in a secure and appropriate manner as indicated in the agency Records Management Program.
UPDATING THE RECORDS DISPOSAL SCHEDULE
Records Disposal Schedules are reviewed and updated from time to time. For suggested amendments or alterations to this schedule please contact the Director of Territory Records.
ASSISTANCE IN USING THE RECORDS DISPOSAL SCHEDULE
Agencies requiring any assistance in the interpretation or implementation of any Records Disposal Schedule are encouraged to contact the Director of Territory Records.

RELATED LEGISLATION
The following legislation is related to the records classes covered by this Records Disposal Schedule:
Evidence Act 2011
Freedom of Information Act 1989
Limitation Act 1985
NRMA-ACT Road Safety Trust Act 1992
Planning and Development Act 2007
Public Unleased Land Act 2013
Road Transport (General) Act 1999
Road Transport (Mass, Dimensions and Loading) Act 2009
Road Transport (Safety and Traffic Management) Act 1999
Territory Records Act 2002
Work Health & safety Act 2011

DEFINITIONS

Agency
The Executive, an ACT Court, the Legislative Assembly Secretariat, an administrative unit, a Board of Inquiry, a Judicial or Royal Commission, any other prescribed authority, or an entity declared under the regulations of the Territory Records Act 2002 to be an agency.
Appraisal
The process of evaluating business activities to:
•	determine which records need to be captured;
•	determine how long the records need to be kept to meet business needs; and
•	meet the requirements of organisational accountability and community expectations.
Business Classification Scheme
A hierarchical scheme for identifying and defining the functions, activities and transactions an agency performs in the conduct of its business, and the relationships between them.
Principal Officer
The Chief Executive of an administrative unit, or its equivalent in other types of agencies.
Records
Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transition of business. This recorded information must be maintained or managed by the agency to provide evidence of their business activities. Records can be in written, electronic or any other form.
Records of an Agency
Records, in writing, electronic or any other form, under the control of an agency or to which it is entitled to control, kept as a record of its activities, whether it was created or received by the agency.
Records Disposal Schedule
A document approved by the Director of Territory Records, which sets out the types of records an agency must make and how long they must be kept.

Records Management Program
A document that complies with Section 16 of the Territory Records Act 2002 by setting out the means by which an agency will manage its records, and is approved by the agency's Principal Officer.
Recordkeeping Systems
Information systems that capture, maintain and provide access to records over time. While the term is often associated with computer software, Recordkeeping Systems also encompass policies, procedures, practices and resources that are applied within an agency to ensure that full and accurate records of business activity are made and kept.
Scope Note
An explanation of terms used in describing the records and the context in which they were made and used.
Sentencing
The process of applying appraisal decisions to individual records by determining the part of a Records Disposal Schedule that applies to the record and assigning a retention period consistent with that part.
Territory Archives
Records preserved for the benefit of present and future generations.

BUSINESS CLASSIFICATION SCHEME

ROAD & RAIL MANAGEMENT
The provision of design, construction and maintenance of roads, streets and railways. Includes the design, construction and maintenance of associated infrastructure such as bus stations, railway platforms and stations, kerbing, guttering and footpaths and associated services to property owners. Also includes the acquisition and installation of street furniture, decorations, signs and traffic control devices, (e.g. traffic lights).
Acquisition
The process of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions.
Advice
The activities associated with offering opinions as to an action or judgement. Includes the process of advising.
Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements. Includes records associated with preparing agreements/contracts and settling those agreements/contracts. Includes contracts, memoranda of understanding (MOU), deeds, leases, licences and mortgages.
Authorisation
The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action.
Committees
The activities associated with the establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agendas, etc. of committees and task forces.
Compliance
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.
Construction
The process of making or building something.
Contracting out
The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing.

Disposal
The process of disposing of property no longer required by the agency, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage.
Evaluation
The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring.
Infringements
The activities associated with handling breaches of rules. Includes driving or traffic infringements and infringements of the agency's intellectual property.
Inquiries
The activities associated with liaising with bodies carrying out inquiries and participating in them. Inquiries are investigations carried out by people or bodies that have been empowered to inquire and report on a subject, such as Royal Commissions, Judicial Commissions, Boards of Inquiry, Legislative Assembly and Ombudsman's inquiries. Includes the agency's participation in the inquiry by providing evidence in the form of records submissions or staff.
Inspections
The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives.
Installation
Activities involved in placing equipment in position and connecting and adjusting it for use.
Insurance
The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the agency's premises or whilst engaged during employment.
Liaison
The activities associated with maintaining regular general contact between the agency and professional associations, professionals in related fields, other private sector organisations and community groups. Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects that are not joint ventures.

Maintenance
The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external conditions of premises, equipment, vehicles etc.
Meetings
The activities associated with regular or ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the function. Includes staff meetings, arrangements, agenda, taking of minutes, etc. Excludes committee meetings.
Public Reaction
The process of handling public reaction to an agency's policies or services.  Includes anonymous letters, letters of complaint and letters of congratulations or appreciation received from the public.
Planning
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.
Procedures
Standard methods of operating laid down by the agency according to formulated policy.
Reporting
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies, regulation, or legislation, e.g. Annual Report). Includes statistics and returns.
Note: Reports resulting from a routine activity, e.g. inspection reports, form part of that activity, i.e. reports resulting from an inspection are part of the inspection and not the activity of Reporting. Reports of these types should be classified as part of the greater activity generating the report.
Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles, etc. Used to support development of projects, standards, guidelines, etc. and business activities in general. Includes following up enquiries relating to programs, projects, working papers, literature searches, etc.

Risk Management
The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks.
Service Provision
The activities relating to services provided by an agency on a long term basis or by other agencies. Includes requests and applications for services, assessment of eligibility and entitlements, liaison with other agencies regarding the provision of services. Also includes activities to lobby for services and to increase service provision. Also includes the installation, operation and removal of temporary facilities in parks and reserves, such as water, electricity, temporary toilets, etc. for special outdoor events.
Standards
The process of implementing industry or agency specific benchmarks for services and processes to enhance quality and efficiency of an organisation.
Tendering
The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services.

RECORDS DISPOSAL SCHEDULE

ROAD & RAIL MANAGEMENT
The provision of design, construction and maintenance of roads, streets and railways. Includes the design, construction and maintenance of associated infrastructure such as bus stations, rail platforms and stations, kerbing, guttering and footpaths and associated services to property owners.  Also includes the acquisition and installation of street furniture, decorations, signs and traffic control devices, (e.g. traffic lights).
Acquisition
The process of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions.
[For the acquisition of equipment and stores through a tender process, use EQUIPMENT & STORES - Tendering.
For managing financial transactions supporting acquisition activities, use FINANCIAL MANAGEMENT- Accounting and/or FINANCIAL MANAGEMENT - Payments.
For entry of equipment and stores into the agency's Asset Register, use FINANCIAL MANAGEMENT - Asset Register.]

Entry No.	Description of Records	Disposal Action	
188.003.001	All records associated with the purchase or other acquisition of land to permit the construction or maintenance of a road, railway, bridge or pathway.	Retain as Territory Archives	
*188.003.001*			
Advice
The activities associated with offering opinions as to an action or judgement. Includes the process of advising.
[For the provision of advice to the Minister or Chief Minister, use GOVERNMENT RELATIONS - Advice.
For legal advice, use LEGAL SERVICES - Advice.]

Entry No.	Description of Records	Disposal Action	
188.005.001	Records relating to advice given as to action to be taken or not taken to address a particular issue of road or railway construction, maintenance or use.	Destroy 7 years after last action	
*188.005.001*			

Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements. Includes records associated with preparing agreements/contracts and settling those agreements/contracts. Includes contracts, memoranda of understanding (MOU), deeds, leases, licences and mortgages.
[For agreements with other governments, including international governments, use GOVERNMENT RELATIONS - Agreements.]

Entry No.	Description of Records	Disposal Action	
188.006.001	Records documenting the negotiation, establishment, maintenance and review of  agreements and memorandums of understanding, including final versions, relating to the provision of road and rail infrastructure that are significant to the Territory or have national impact or high public or political interest.	Retain as Territory archives	
*188.006.001*			
188.006.002	Records documenting the negotiation, establishment, maintenance and review of agreements, including final versions, relating to the provision of road and rail infrastructure that are not significant to the Territory or have no national impact or high public or political interest.	Destroy 7 years after agreement expires or is superseded	
*188.006.002*			
Authorisation
The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action.

Entry No.	Description of Records	Disposal Action	
188.014.001	Records relating to the authorisation of permanent road closures.	Retain as Territory archives	
*188.014.001*			
188.014.002	Records relating to the issue of permits for the use and maintenance of roadside and railway facilities. Includes managing advertising on footpaths, street stalls, roadside dining, rights of way, decorations, public telephone booths, street furniture and permits to open or temporarily close roads or public places.	Destroy 7 years after last action	
*188.014.002			

Committees
The activities associated with the establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agendas, etc. of committees and task forces.
[For audit committees, use STRATEGIC MANAGEMENT - Committees.
For the establishment of advisory councils or governing boards with decision making responsibility for agency policy and/or planning, use STRATEGIC MANAGEMENT - Committees.]

Entry No.	Description of Records	Disposal Action	
188.020.001	Records documenting high-level corporate, inter-agency or inter-government committees with overall responsibility for making major decisions in the area of providing road and rail infrastructure in the Territory. Includes:
•	documents establishing the committee;
•	final versions of minutes;
•	reports;
•	recommendations;
•	supporting documents such as briefing and discussion papers;
•	working papers.	Retain as Territory Archives	
*188.020.001*			
188.020.002	Records documenting external or inter-agency committees formed to consider minor or routine road and rail infrastructure issues. Includes:
•	documents establishing the committee;
•	appointment of members;
•	minutes;
•	supporting documents such as briefing and discussion papers;
•	working papers.	Destroy 7 years after last action	
*188.020.002*			
188.020.003	Records documenting declarations of members' private interests.	Destroy 7 years after termination of appointment	
*188.020.003*			

Compliance
The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

Entry No.	Description of Records	Disposal Action	
188.021.001	Records documenting compliance with mandatory or optional standards or with statutory requirements.
[For records relating to infringements and notifications of non-compliance, use ROAD & RAIL MANAGEMENT – Infringements.]	Destroy 7 years after last action	
*188.021.001*			
Construction
The process of making or building something.

Entry No.	Description of Records	Disposal Action	
188.024.001	Records detailing the design and construction of roads, railways, bridges, pathways and horticultural assets in road reserves, etc. with heritage or territory significance and work carried out for permanent road closures.	Retain as Territory Archives	
*188.024.001*			
188.024.002	Records documenting the construction of roads, railways, bridges, pathways and horticultural assets in road reserves, etc. with no heritage or territory significance.  Includes:
•	temporary works associated with road or railway construction;
•	work carried out for temporary road closures;
•	construction of signage and traffic control devices.	Destroy 7 years after last action	
*188.024.002*			

Contracting out
The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing.

Entry No.	Description of Records	Disposal Action	
188.025.001	Records documenting contract management relating to the provision of road and rail infrastructure in the Territory that are significant to the Territory or have national impact or high public or political interest. Includes: minutes of meetings with contractors and performance and evaluation reports.	Retain as Territory Archives	
*188.025.001*			
188.025.002	Records documenting contract management relating to the provision of road and rail infrastructure in the Territory. Includes: minutes of meetings with contractors and performance and evaluation reports.	Destroy 7 years after completion or other termination of agreement or contract	
*188.025.002*			
Disposal
The process of disposing of property no longer required by the agency, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage.
[For the disposal of real property through a tendering process, use PROPERTY MANAGEMENT - Tendering.
For the disposal of real property through an agreement, use PROPERTY MANAGEMENT - Agreements.]

Entry No.	Description of Records	Disposal Action	
188.034.001	Records documenting the demolition or disposal of road or rail assets, including horticultural assets in road reserves.	Destroy 7 years after last action	
*188.034.001*			

Evaluation
The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring.

Entry No.	Description of Records	Disposal Action	
188.042.001	Records documenting the evaluation of proposals for the construction or maintenance of roads, railways, bridges and pathways.	Destroy 7 years after last action	
*188.042.001*			
Infringements
The activities associated with handling breaches of rules. Includes driving or traffic infringements and infringements of the agency's intellectual property.

Entry No.	Description of Records	Disposal Action	
188.055.001	Records relating to notifications of failure to comply with or breaches of the agency’s standards and regulations, inappropriate practices, or the agency’s intention to take action.	Destroy 7 years after last action	
*188.055.001*			
Inquiries
The activities associated with liaising with bodies carrying out inquiries and participating in them. Inquiries are investigations carried out by people or bodies that have been empowered to inquire and report on a subject, such as Royal Commissions, Judicial Commissions, Boards of Inquiry, Legislative Assembly and Ombudsman's inquiries. Includes the agency's participation in the inquiry by providing evidence in the form of records submissions or staff.
[For legal support or opinions provided during an investigation, use LEGAL SERVICES - Inquiries.]

Entry No.	Description of Records	Disposal Action	
188.056.001	Records documenting the agency involvement with inquiries relating to the management of roads and railways.	Destroy 7 years after last action	
*188.056.001*			

Inspections
The process of official examinations of facilities, equipment and items, to ensure compliance with agreed standards and objectives.

Entry No.	Description of Records	Disposal Action	
188.057.001	Inspections of roads, bridges, pathways, and railways for the purpose of asset acceptance.	Destroy 7 years after last action	
*188.057.001*			
188.057.002	Inspections of existing road and rail assets to determine compliance with standards.	Destroy 7 years after last action	
*188.057.002*			
Installation
Activities involved in placing equipment in position and connecting and adjusting it for use.

Entry No.	Description of Records	Disposal Action	
188.058.001	Records relating to the installation of permanent equipment.	Retain as Territory Archives	
*188.058.001*			
188.058.002	Records relating to the installation of temporary equipment, including signs and traffic control devices, (e.g. traffic lights).	Destroy 7 years after disposal	
*188.058.002*			
188.058.003	Records relating to creating an opening in a road reserve to allow the installation of utility services, including the restoration of road openings.	Destroy 7 years after last action	
*188.058.003*			
Insurance
The process of taking out premiums to cover loss or damage to property or premises, and to cover customers and staff against injury or death resulting from incidents on the agency's premises or whilst engaged during employment.

Entry No.	Description of Records	Disposal Action	
188.059.001	Records relating to insurance policies arranged for road and rail infrastructure and associated projects, including renewal notices.	Destroy 7 years after policy expires	
*188.059.001*			

Liaison
The activities associated with maintaining regular general contact between the agency and professional associations, professionals in related fields, other private sector organisations and community groups. Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects that are not joint ventures.

Entry No.	Description of Records	Disposal Action	
188.067.001	Records of participation in professional and industry groups relevant to roads, railways, bridges and pathways.	Destroy 7 years after last action	
*188.067.001*			
Maintenance
The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external conditions of premises, equipment, vehicles, etc.

Entry No.	Description of Records	Disposal Action	
188.069.001	Records documenting the maintenance of road, railway, bridge, pathway and horticultural assets with heritage or territory significance.	Retain as Territory Archives	
*188.069.1*			
188.069.002	Records documenting the maintenance of road, railway, bridge, pathway and horticultural assets with no heritage or territory significance.  Includes maintenance of signage and traffic control devices, (e.g. road control signs, traffic lights, etc.).	Destroy 7 years after last action	
*188.069.002*			
188.069.003	Records relating to the allocation of responsibility for maintenance of roads classified as State, local, arterial, etc. as a result of the establishment and management of a road hierarchy.	Destroy 2 years after last action	
*188.069.003*			

Meetings
The activities associated with regular or ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the function. Includes staff meetings, arrangements, agenda, taking of minutes, etc. Excludes committee meetings.

Entry No.	Description of Records	Disposal Action	
188.072.001	Minutes, agendas and discussion papers for meetings with national bodies on road and rail infrastructure matters.	Retain as Territory Archives	
*188.072.001*			
188.072.002	Final versions of minutes and supporting documents tabled at meetings with local or state bodies held to support the provision of road and rail infrastructure in the Territory. Includes meetings with external agencies.	Destroy 7 years after last action	
*188.072.002*			
188.072.003	Working papers documenting the conduct and administration of managers meetings, staff meetings of business units held to support the provision of road and rail infrastructure in the Territory. Includes agendas and notices.	Destroy 6 months after last action	
*188.072.003*			
Planning
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.

Entry No.	Description of Records	Disposal Action	
188.079.001	Records documenting the planning of long term strategies for high quality and sustainable road and rail infrastructure for the ACT.	Retain as Territory Archives	
*188.079.001*			
188.079.002	Records documenting the development of plans to meet short term road and rail infrastructure objectives.  Includes:
•	working papers;
•	reports analysing issues;
•	comments received from other areas of the agency;
•	final versions of plans.	Destroy 7 years after strategies or plans are superseded	
*188.179.002*			

Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.

Entry No.	Description of Records	Disposal Action	
188.080.001	Records documenting the development and establishment of road and rail infrastructure policies with Territory or National significance or were the subject of high public or political interest.  Includes:
•	policy proposals;
•	results of consultations;
•	supporting reports;
•	major drafts;
•	permanent road closures;
•	final policy documents.	Retain as Territory Archives	
*188.080.001*			
188.080.002	Records documenting the development and establishment of regular or routine road and rail infrastructure policies that do not have Territory or National significance or were not the subject of high public or political interest.  Includes: 
•	policy proposals;
•	results of consultations;
•	supporting reports;
•	temporary road closures;
•	major drafts;
•	final policy documents,
•	working papers.	Destroy 7 years after policy is superseded	
*188.080.002*			

Procedures
Standard methods of operating laid down by the agency according to formulated policy.

Entry No.	Description of Records	Disposal Action	
188.082.001	Master set of agency manuals, handbooks, etc., detailing procedures supporting the provision of road and rail infrastructure in the Territory.	Destroy 7 years after procedures are superseded	
*188.082.001*			
188.082.002	Records documenting the development of agency procedures supporting the provision of road and rail infrastructure in the Territory.	Destroy 1 year after production of procedures	
*188.082.002*			
Public Reaction
The process of handling public reaction to an agency's policies or services.  Includes anonymous letters, letters of complaint and letters of congratulations or appreciation received from the public.

Entry No.	Description of Records	Disposal Action	
188.084.001	Records documenting complaints from members of the community about road and rail infrastructure development with Territory or National significance, were the subject of high public or political interest or resulted in significant changes to policies.
[For letters of appreciation received by the agency, use COMMUNITY RELATIONS – Public Reaction.]	Retain as Territory Archives	
*188.084.001*			
188.084.002	Records documenting complaints from members of the community about road and rail infrastructure with no Territory or National significance, were not the subject of high public or political interest or did not result in significant changes to policies.
[For letters of appreciation received by the agency, use COMMUNITY RELATIONS – Public Reaction.]	Destroy 7 years after last action	
*188.084.002*			

Reporting
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies, regulation, or legislation, e.g. Annual Report). Includes statistics and returns.
Note: Reports resulting from a routine activity, e.g. inspection reports, form part of that activity, i.e. reports resulting from an inspection are part of the inspection and not the activity of Reporting. Reports of these types should be classified as part of the greater activity generating the report.
[For the Annual Report drafting process, use PUBLICATIONS - Drafting.
For submissions of annual reports to the Portfolio Minister, use GOVERNMENT RELATIONS - Compliance.]

Entry No.	Description of Records	Disposal Action	
188.088.001	Final versions of formal internal and external reports relating to road and rail infrastructure issues significant to the Territory or have national impact or significant public or political interest.	Retain as Territory Archives	
*188.088.001*			
188.088.002	Final versions of formal internal and external reports relating to road and rail infrastructure issues without significance to the Territory or that do not have national impact or significant public or political interest.  Includes working papers documenting the development of all reports, including routine monthly reports.	Destroy 7 years after last action	
*188.088.002*			

Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles, etc. used to support development of projects, standards, guidelines, etc. and business activities in general. Includes following up enquiries relating to programs, projects, working papers, literature searches, etc.

Entry No.	Description of Records	Disposal Action	
188.091.001	Records documenting major research carried out to support the provision of road and rail infrastructure in the Territory that resulted in major policy changes, innovative infrastructure, road and rail designs or strategies.	Retain as Territory Archives	
*188.091.001*			
188.091.002	Records documenting major research carried out to support the provision of road and rail infrastructure in the Territory that did not result in major policy changes, innovative infrastructure, road and rail designs or strategies.	Destroy 7 years after last action	
*188.091.002*			
188.091.003	Records documenting minor research carried out to support the provision of road and rail infrastructure in the Territory.	Destroy 6 months after last action	
*188.091.003*			
Risk Management
The process involving identification of risks, likelihood and consequences of those risks and implementation of appropriate practice and procedures to treat the risks.

Entry No.	Description of Records	Disposal Action	
188.095.001	Records documenting the analysis of risk and the development of associated risk management plans relating to road and rail infrastructure, (e.g. roads, bridges, pathways and railways, etc.).	Destroy 7 years after plan is superseded	
*188.095.001*			

Service Provision
The activities relating to services provided by an agency on a long term basis or by other agencies. Includes requests and applications for services, assessment of eligibility and entitlements, liaison with other agencies regarding the provision of services. Also includes activities to lobby for services and to increase service provision. Also includes the installation, operation and removal of temporary facilities in parks and reserves, such as water, electricity, temporary toilets, etc. for special outdoor events.

Entry No.	Description of Records	Disposal Action	
188.169.001	Records relevant to the provision of road management services.	Destroy 7 years after last action	
*188.169.001*			
Standards
The process of implementing industry or agency specific benchmarks for services and processes to enhance quality and efficiency of an organisation.

Entry No.	Description of Records	Disposal Action	
188.100.001	Records documenting the implementation of agency standards for road and rail infrastructure, (e.g. roads, bridges, pathways and rail assets).	Destroy 7 years after standards are superseded	
*188.100.001*			
188.100.002	Records documenting the agency’s contribution to the development of industry standards for road and rail infrastructure by others.	Destroy 1 year after publication	
*188.100.002*			

Tendering
The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services.

Entry No.	Description of Records	Disposal Action	
188.104.001	Final versions of signed contracts under seal with government bodies or private organisations that:
•	have major significance to the agency;
•	have implications for major liabilities or obligations for the agency;
•	establish a precedent;
•	involved significant political or public interest.	Retain as Territory Archives	
*188.104.001*			
188.104.002	Final versions of signed contracts under seal resulting from tenders that do not:
•	have major significance to the agency;
•	have implications for major liabilities or obligations for the agency;
•	establish a precedent;
•	involve significant political or public interest.	Destroy 12 years after last action	
*188.104.002			
188.104.003	Records documenting the development, issue and evaluation of tenders, including simple contracts and agreements, unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued.  Records may include:
•	draft contract;
•	due diligence checks;
•	evaluation and final reports;
•	Expression of Interest;
•	post-offer negotiations;
•	public notices;
•	recommendations;
•	Request for Proposals;
•	Request for Tender (RFT);
•	Statement of Requirements.	Destroy 7 years after last action	
*188.104.003*			
188.104.004	Contract and Tender registers	Destroy 7 years after last action	
*188.104.004*			

RETAIN AS TERRITORY ARCHIVES

ROAD & RAIL MANAGEMENT
The provision of design, construction and maintenance of roads, streets and railways. Includes the design, construction and maintenance of associated infrastructure such as bus stations, rail platforms and stations, kerbing, guttering and footpaths and associated services to property owners. Also includes the acquisition and installation of street furniture, decorations, signs and traffic control devices, (e.g. traffic lights).
Acquisition
The process of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions.
[For the acquisition of equipment and stores through a tender process, use EQUIPMENT & STORES - Tendering.
For managing financial transactions supporting acquisition activities, use FINANCIAL MANAGEMENT- Accounting and/or FINANCIAL MANAGEMENT - Payments.
For entry of equipment and stores into the agency's Asset Register, use FINANCIAL MANAGEMENT - Asset Register.]

Entry No.	Description of Records	Disposal Action	
188.003.001	All records associated with the purchase or other acquisition of land to permit the construction or maintenance of a road, railway, bridge or pathway.	Retain as Territory Archives	
*188.003.001*			
Agreements
The processes associated with the establishment, maintenance, review and negotiation of agreements. Includes records associated with preparing agreements/contracts and settling those agreements/contracts. Includes contracts, memoranda of understanding (MOU), deeds, leases, licences and mortgages.
[For agreements with other governments, including international governments, use GOVERNMENT RELATIONS - Agreements.]

Entry No.	Description of Records	Disposal Action	
188.006.001	Records documenting the negotiation, establishment, maintenance and review of  agreements and memorandums of understanding, including final versions, relating to the provision of road and rail infrastructure that are significant to the Territory or have national impact or high public or political interest.	Retain as Territory archives	
*188.006.001*			

Authorisation
The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action.

Entry No.	Description of Records	Disposal Action	
188.014.001	Records relating to the authorisation of permanent road closures.	Retain as Territory archives	
*188.014.001*			
Committees
The activities associated with the establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agendas, etc. of committees and task forces.
[For audit committees, use STRATEGIC MANAGEMENT - Committees.
For the establishment of advisory councils or governing boards with decision making responsibility for agency policy and/or planning, use STRATEGIC MANAGEMENT - Committees.]

Entry No.	Description of Records	Disposal Action	
188.020.001	Records documenting high-level corporate, inter-agency or inter-government committees with overall responsibility for making major decisions in the area of providing road and rail infrastructure in the Territory. Includes:
•	documents establishing the committee;
•	final versions of minutes;
•	reports;
•	recommendations;
•	supporting documents such as briefing and discussion papers;
•	working papers.	Retain as Territory Archives	
*188.020.001*			
Construction
The process of making or building something.

Entry No.	Description of Records	Disposal Action	
188.024.001	Records detailing the design and construction of roads, railways, bridges, pathways and horticultural assets in road reserves, etc. with heritage or territory significance and work carried out for permanent road closures.	Retain as Territory Archives	
*188.024.001*			

Contracting out
The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing.

Entry No.	Description of Records	Disposal Action	
188.025.001	Records documenting contract management relating to the provision of road and rail infrastructure in the Territory. Includes: minutes of meetings with contractors and performance and evaluation reports that are significant to the Territory or have national impact or high public or political interest.	Retain as Territory Archives	
*188.025.001*			
Installation
Activities involved in placing equipment in position and connecting and adjusting it for use.

Entry No.	Description of Records	Disposal Action	
188.058.001	Records relating to the installation of permanent equipment.	Retain as Territory Archives	
*188.058.001*			
Maintenance
The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external conditions of premises, equipment, vehicles, etc.

Entry No.	Description of Records	Disposal Action	
188.069.001	Records documenting the maintenance of road, railway, bridge, pathway and horticultural assets with heritage or territory significance.	Retain as Territory Archives	
*188.069.1*			
Meetings
The activities associated with regular or ad hoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to the function. Includes staff meetings, arrangements, agenda, taking of minutes, etc. Excludes committee meetings.

Entry No.	Description of Records	Disposal Action	
188.072.001	Minutes, agendas and discussion papers for meetings with national bodies on road and rail infrastructure matters.	Retain as Territory Archives	
*188.072.001*			

Planning
The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.

Entry No.	Description of Records	Disposal Action	
188.079.001	Records documenting the planning of long term strategies for high quality and sustainable road and rail infrastructure for the ACT.	Retain as Territory Archives	
*188.079.001*			
Policy
The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making.

Entry No.	Description of Records	Disposal Action	
188.080.001	Records documenting the development and establishment of road and rail infrastructure policies with Territory or National significance or were the subject of high public or political interest.  Includes:
•	policy proposals;
•	results of consultations;
•	supporting reports;
•	major drafts;
•	naming of streets and roads;
•	permanent road closures;
•	final policy documents.	Retain as Territory Archives	
*188.080.001*			
Public Reaction
The process of handling public reaction to an agency's policies or services.  Includes anonymous letters, letters of complaint and letters of congratulations or appreciation received from the public.

Entry No.	Description of Records	Disposal Action	
188.084.001	Records documenting complaints from members of the community about road and rail infrastructure development with Territory or National significance, were the subject of high public or political interest or resulted in significant changes to policies.
[For letters of appreciation received by the agency, use COMMUNITY RELATIONS – Public Reaction.]	Retain as Territory Archives	
*188.084.001*			
Reporting
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies, regulation, or legislation, e.g. Annual Report). Includes statistics and returns.
Note: Reports resulting from a routine activity, e.g. inspection reports, form part of that activity, i.e. reports resulting from an inspection are part of the inspection and not the activity of Reporting. Reports of these types should be classified as part of the greater activity generating the report.
[For the Annual Report drafting process, use PUBLICATIONS - Drafting.
For submissions of annual reports to the Portfolio Minister, use GOVERNMENT RELATIONS - Compliance.]

Entry No.	Description of Records	Disposal Action	
188.088.001	Final versions of formal internal and external reports relating to road and rail infrastructure issues significant to the Territory or have national impact or significant public or political interest.	Retain as Territory Archives	
*188.088.001*			
Research
The activities involved in investigating or enquiring into a subject or area of interest in order to discover facts, principles, etc., used to support development of projects, standards, guidelines, etc. and business activities in general. Includes following up enquiries relating to programs, projects, working papers, literature searches, etc.

Entry No.	Description of Records	Disposal Action	
188.091.001	Records documenting major research carried out to support the provision of road and rail infrastructure in the Territory that resulted in major policy changes, innovative infrastructure or road and rail designs and strategies.	Retain as Territory Archives	
*188.091.001*			

Tendering
The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services.

Entry No.	Description of Records	Disposal Action	
188.104.001	Final versions of signed contracts under seal with government bodies or private organisations that:
•	have major significance to the agency;
•	have implications for major liabilities or obligations for the agency;
•	establish a precedent;
•	involved significant political or public interest.	Retain as Territory Archives	
*188.104.001*