Records Retention and Disposal Handbook .4 1. Overview The QPS Records Retention and Disposal Handbook

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  • Queensland Police

    Service

    Records Retention and

    Disposal Handbook

    Enquiries to: Administration Branch

    Queensland Police Service Level 6 Police Headquarters

    200 Roma St Brisbane Qld 4000 Ph. 07 3364 3694

    Version 2.1

    14 September 2004

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    Table of Contents 1. Overview ...........................................................................................4 2. Purpose.............................................................................................4 3. Scope.................................................................................................5 4. Definitions.........................................................................................5 5. Accountabilities................................................................................8 6. Policy Source....................................................................................8 7. Reference Material ...........................................................................8 8. Appraisal, Sentencing, Retention and Disposal of Records ........9

    8.1 Summary .......................................................................................................9 8.2 Procedures ..................................................................................................10

    8.2.1 Identification and Appraisal of Records..............................................................10 8.2.2 Current Use ........................................................................................................10 8.2.3 Sentencing Records ...........................................................................................10 8.2.4 Retention Periods...............................................................................................10 8.2.5 Storage of Inactive Records ...............................................................................11 8.2.6 Authority for Disposal of Records.......................................................................11 8.2.7 Additional Arrangements for the Disposal of Financial Records ........................11 8.2.8 Additional Arrangements for the Disposal of Human Resource Records...........12 8.2.9 Destruction of Records.......................................................................................12 8.2.10 Transfer of legal ownership of a record to another agency.............................13 8.2.11 Transfer of Records to Queensland State Archives........................................13 8.2.12 Records Over 25 Years Old ............................................................................13 8.2.13 Technology-Dependent Records ....................................................................13 8.2.14 Retention of Imaged Records and Their Originals ..........................................14 8.2.15 Webpages and Websites ................................................................................15

    8.3 Standards ....................................................................................................15 8.3.1 General Standards for Appraisal and Sentencing of Records............................15 8.3.2 Value of Records................................................................................................15 8.3.3 Primary or Source Value ....................................................................................16 8.3.4 Secondary Value ................................................................................................16 8.3.5 Potential Value ...................................................................................................16 8.3.6 Types of Business Values ..................................................................................16 8.3.7 Management / Administrative Value...................................................................16 8.3.8 Financial value ...................................................................................................17 8.3.9 Legal value .........................................................................................................17 8.3.10 Operational Value ...........................................................................................17 8.3.11 Informational / Historical / Archival Value........................................................18 8.3.12 Disposal Triggers ............................................................................................18 8.3.13 Retention for a Further Period.........................................................................18 8.3.14 Organising Inactive Physical Records.............................................................19 8.3.15 Transfer of Custody or Ownership ..................................................................19 8.3.16 Copies of Records...........................................................................................19 8.3.17 Destruction Methods .......................................................................................20 8.3.18 Using a Contractor for Records Destruction ...................................................21

    8.4 Guidelines ...................................................................................................21 8.4.1 When to Appraise and Sentence........................................................................21 8.4.2 Disposal of Records ...........................................................................................21

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    9. Records Retention and Disposal Committee.................................23 9.1 Role of the Retention and Disposal Committee .......................................23 9.2 Membership.................................................................................................23

    10. Conducting a Retention and Disposal Project ..............................25 10.1 Planning the Project ................................................................................25 10.2 Organising Resources................................................................................25

    10.2.1 Staffing............................................................................................................25 10.2.2 Dedicate a Work Area.....................................................................................25 10.2.3 Access to Work Tools .....................................................................................25

    10.3 Develop a Work Plan ................................................................................26 10.3.1 Strategies........................................................................................................26 10.3.2 Identify your Record Holdings .........................................................................26 10.3.3 Formulate an Action Plan................................................................................26

    10.4 Appraising and Sentencing the Records..................................................27 10.4.1 Organising the Records ..................................................................................27 10.4.2 Sentencing the Records..................................................................................27 10.4.3 Handle with Care.............................................................................................28 10.4.4 Filling in the Disposal Registers......................................................................28 10.4.5 Control Records ..............................................................................................29 10.4.6 Boxing Records...............................................................................................29 10.4.7 Transferring Records to Queensland State Archives......................................30

    Appendix 1 - Sample Appraisal Questions............................................31 Appendix 2 - Project Action Template / Checklist ................................32 Appendix 3 - Schedule Extract - Common Retention Periods for Stations, District and Regional Offices (as at 29-04-04).......................34 Appendix 4 - Disposal Register Column Definitions ............................35 Appendix 5 - Disposal Register Handling Procedures (Flowchart).....36 Appendix 6 - Standard Box Reference...................................................37

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    1. Overview The QPS Records Retention and Disposal Handbook forms part of the Corporate Records Management System framework of policies, procedures, standards and guidelines, designed to help QPS members meet their obligations under the Public Records Act 2002.

    The Handbook is divided into two parts. Part A details the procedures, standards and guidelines associated with appraisal, sentencing, retention and disposal of records. Part B contains work instructions and other helpful information to assist business areas with culling of records. This handbook is to be used in conjunction with the QPS Records Retention and Disposal Schedule and the QPS Location, Storage and Disaster Management Handbook to ensure that all QPS records are lawfully disposed of in accordance with legislation, standards and accountability requirements.

    For advice on any aspect of retention and disposal, contact the Corporate Archivist on (07) 3364 3694.

    Part A Procedures, Standards and Guidelines 2. Purpose Each public authority must keep and manage records of continuing value to meet the business, accountability and cultural needs of government. QPS, in consultation with Queensland State Archives, is responsible for appraising the records it holds, identifying records of continuing value, and setting appropriate retention periods for those records. As a government agency, QPS is impacted by a number of regulatory requirements governing the retention and disposa

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