Disposal Authority: DA48 - State Records NSW · State Records Authority of New South Wales Disposal Authority: DA48 NSW Fair Trading This authority covers records documenting the

State Records Authority of New South Wales

Disposal Authority: DA48

NSW Fair Trading

This authority covers records documenting the functions

of consumer protection, business and cooperative registration and regulation.

© State of New South Wales through the State Records Authority of New South Wales 2010. This work may be freely reproduced for personal, educational or government purposes. Permission must be received from State Records Authority for all other uses.

First published April 2000/Revised February 2014/Revised April 2016

STATE RECORDS AUTHORITY OF NEW SOUTH WALES 1 OF 57

STATE RECORDS AUTHORITY OF NEW SOUTH WALES

DISPOSAL AUTHORITY

DA no DA48 SR file no 00/0166;

10/0038

Public office Department of Fair Trading

Scope

This disposal authority covers records documenting the

functions of consumer protection, cooperative and

business registration and regulation.

Authority This disposal authority is issued under Section 21(2)(c) of

the State Records Act 1998. It has been approved by the

Board of the State Records Authority in accordance with

Section 21(3) of the State Records Act 1998.

Authorised

David Roberts 19/4/2000

Director

State Records Authority of New South Wales

Approval of

amendments

Jenni Stapleton 27/02/2014

A/Director

State Records Authority of NSW

Inclusion of additional classes to permit the destruction of

certain records relating to Business Registration processes

(entry 1.1.1.8 and 1.1.1.9) and amendment to clarify

scope of records required as State archives (entry

1.1.1.0).


Approval of

amendments

Geoff Hinchcliffe 26/04/2016

Director

State Records Authority of NSW

Inclusion or amendment of entries to clarify or extend the

scope of current coverage for records relating to the

regulation and registration of incorporated associations,

cooperatives and boarding houses (entries 1.1.3.1,

1.1.3.2, 1.3.1.0, 1.4.0.0, 1.4.1.1, 2.1.1.1 - 2.1.1.3,

2.1.3.1, 2.1.4.1, 2.2.1.1, 6.1.2.1, 6.1.2.2, 6.1.2.5,

6.1.2.7, 6.1.4.5 - 6.1.4.7, 6.2.1.0).


About the Retention and Disposal Authority

Purpose of the authority

The purpose of this retention and disposal authority is to identify those records created

and maintained by NSW public offices which are required as State archives and to

provide approval for the destruction of certain other records created and maintained by

NSW public offices, after minimum retention periods have been met.

The approval for disposal given by this authority is given under the provisions of the

State Records Act 1998 only and does not override any other obligations of an

organisation to retain records.

The retention and disposal of State records

The records retention and disposal practices outlined in this authority are approved under

section 21(2)(c) of the State Records Act 1998 (NSW). Part 3 (Protection of State

Records) of the Act provides that records are not to be disposed of without the consent of

State Records with certain defined exceptions. These exceptions include an action of

disposal which is positively required by law, or which takes place in accordance with a

normal administrative practice (NAP) of which State Records does not disapprove. Advice

on the State Records Act can be obtained from State Records.

The authority sets out how long the different classes of records generated by an

organisation must be kept to meet its legal, operational and other requirements, and

whether the records are to be kept as State archives. The State Records Authority ('State

Records') reviews and approves organisations' retention and disposal authorities under

the State Records Act.

This authority is the product of an appraisal process conducted in accordance with State

Records’ Standard on the appraisal and disposal of State records.

State Records’ decisions take into account both the administrative requirements of public

offices in discharging their functional responsibilities and the potential research use of the

records by the NSW Government and the public. One of State Records’ functions is to

identify and preserve records as State archives. These are records which document the

authority and functions of Government, its decision-making processes and the

implementation and outcomes of those decisions, including the nature of their influence

and effect on communities and individual lives. Criteria for the identification of State

archives are listed in Building the Archives: Policy on records appraisal and the

identification of State archives. The Policy also explains the roles and responsibilities of

State Records and of public offices in undertaking appraisal processes and disposal

activities.

Implementing the authority

This retention and disposal authority covers records controlled by the public office and

applies only to the records or classes of records described in the authority. The authority

should be implemented as part of the records management program of the organisation.

Two primary objectives of this program are to ensure that records are kept for as long as

they are of value to the organisation and its stakeholders and to enable the destruction

or other disposal of records once they are no longer required for business or operational

purposes.

The implementation process entails use of the authority to sentence records. Sentencing

is the examination of records in order to identify the disposal class in the authority to

which they belong. This process enables the organisation to determine the appropriate

retention period and disposal action for the records. Advice on sentencing can be

obtained from State Records. See Implementing a retention and disposal authority.

Where the format of records has changed (for example, from paper-based to electronic)

this does not prevent the disposal decisions in the authority from being applied to records

which perform the same function. The information contained in non paper-based or


technology dependant records must be accessible for the periods prescribed in the

classes. Where a record is copied, either onto microform or digitally imaged, the original

should not be disposed of without authorisation (see also the General Retention and

Disposal Authority – Imaged records). Public offices will need to ensure that any

software, hardware or documentation required to gain continuing access to technology

dependent records is available for the periods prescribed.

Disposal action

Records required as State archives

Records which are to be retained as State archives are identified with the disposal action

'Required as State archives'. Records that are identified as being required as State

archives should be stored in controlled environmental conditions and control of these

records should be transferred to State Records when they are no longer in use for official

purposes.

The transfer of control of records as State archives may, or may not, involve a change in

custodial arrangements. Records can continue to be managed by the public office under a

distributed management agreement. Public offices are encouraged to make

arrangements with State Records regarding the management of State archives.

Transferring records identified as State archives and no longer in use for official purposes

to State Records’ control should be a routine and systematic part of a public office's

records management program. If the records are more than 25 years old and are still in

use for official purposes, then a 'still in use determination' should be made.

Records approved for destruction

Records that have been identified as being approved for destruction may only be

destroyed once a public office has ensured that all other requirements for retaining the

records are met. Retention periods set down in this authority are minimum periods only

and a public office should keep records for a longer period if necessary. Reasons for

longer retention can include legal requirements, administrative need, and government

directives. A public office must not dispose of any records where the public office is

aware of possible legal action (including legal discovery, court cases, formal applications

for access) where the records may be required as evidence.

Once all requirements for retention have been met, destruction of records should be

carried out in a secure and environmentally sound way. Relevant details of the

destruction should be recorded. See Destruction of records: a practical guide.

Regardless of whether a record has been approved for destruction or is required as a

State archive, a public office or an officer of a public office must not permanently transfer

possession or ownership of a State record to any person or organisation without the

explicit approval of State Records.

Administrative change

This retention and disposal authority has been designed to link records to the functions

they document rather than to organisational structure. This provides for a stable

retention and disposal authority that is less affected by administrative change. However,

when functions move from one public office to another the public office that inherits the

new function should contact State Records to discuss use of any existing retention and

disposal authority approved for use by a predecessor organisation.

Contact Information

State Records

PO Box 516 Kingswood NSW 2747

Telephone: (02) 9673 1788

Facsimile: (02) 9623 9320

E-mail: [email protected]

mailto:[email protected]

Functional Disposal Authority

Department of Fair Trading

DA No: DA48 Dates of coverage: 1924+

No Function/Activity Description Disposal Action Custody

THE STATE RECORDS AUTHORITY OF NEW SOUTH WALES 5 OF 57

1.0.0.0 BUSINESS

REGULATION

Relates to regulation of business activities in NSW. Includes

consumer protection, business registration, fair trading and

real estate investigations and prosecutions, trade

measurement, product safety, registration of encumbered

vehicles and administration of the Motor Dealers

Compensation Fund.

See also CO-OPERATIVES (2.0.0.0), HOME BUILDING

(5.0.0.0) and PROPERTY SERVICES (6.0.0.0)

1.1.0.0 Business registration Relates to registration of business names, incorporation of

associations and registration of solicitors’ corporations,

limited partnerships, miscellaneous bodies corporate and

funeral funds.

See also 1.2.0.0 Business Licensing.

1.1.1.0 Business registration Registered business names and details (including history of

the proprietor/s, place of operation and status of the

registration) and associated documents supporting the

registration.

This includes:

Required as State

archives

1.1.1.1

1.1.1.2

1.1.1.3

Records maintained in electronic imaging systems such as

the Business Registration Imaging System (BRIS) showing

applications for and allocation of business registrations,

changes to particulars, and associated documentation

relating to registered business names in NSW.

Electronic registration records relating to business names.

Microfilm or microfiche copies of records relating to dead

business names, defunct corporations, restricted names,

Description amended February 2014





1.1.1.4

including update cards, indexes, etc.

Microfilm or microfiche copies of records relating to business

names not incorporated into imaged systems, including

update cards, indexes, Ministerial Consents, etc.

1.1.1.5 Original hard copies of records converted to electronic

system through imaging or data input. Includes application

forms, Ministerial Consents and associated documentation.

Retain a minimum

of 1 year after data

verified, then

destroy.

Retain in office.

1.1.1.6 Original hard copies of rejected applications for business

names and reconsideration requests converted to electronic

system.

Retain a minimum


in electronic system

verified, then

destroy.

Retain in office.

1.1.1.7 Copies of applications and associated forms relating to

business name registration held in Service Centres.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

1.1.1.8 Transactional information and records relating to the

processing of successful business name registration

applications (e.g. name check data), renewals, changes to

particulars, etc.

Retain minimum of

1 year after action

completed, then

destroy

1.1.1.9 Records relating to unsuccessful applications for registration

of a business name.

Retain minimum of

5 years after action

completed, then

destroy

Entry added February 2014





1.1.2.0 Business name

searches

1.1.2.1 Records relating to the investigation of business names,

including applications for search, copies of business names

details, complaints about use of business names, letters of

appeal against decisions, etc.

Retain a minimum

of 5 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.1.2.2 Copies of applications for business names search held in

Service Centres.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.





1.1.3.0 Incorporation of

associations

Includes registration of solicitor corporations, limited

partnerships, miscellaneous bodies corporate and funeral

funds.

1.1.3.1 Registration records of associations, solicitor corporations,

limited partnerships, miscellaneous bodies corporate and

funeral funds. May include manual registers and information

in electronic control systems such as the Register of

Incorporated Organisations (RIO) or Vision.

Required as State

archives.

1.1.3.2 Documents relating to the registration of associations,

solicitor corporations, limited partnerships, miscellaneous

bodies corporate and funeral funds. Includes forms,

registration certificates, returns, annual reports, audit

certificates, balance sheets, annual statements, insurance

statements, constitutions, etc.

Retain a minimum

of 7 years after

deregistration, then

destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

1.1.3.3 For hard copy originals of microfilmed or imaged records

see General retention and disposal authority: source or

original records that have been copied.

1.1.3.4 Hard copy originals of correspondence with solicitor

corporations, limited partnerships, miscellaneous bodies

corporate and funeral funds and other records which have

not been microfilmed or imaged. Includes annual reports,

annual statements, budgets, affidavits, cancellation forms,

Law Society reports, etc. (Relates to a small quantity of

older records).

Required as State

archives.

Retain for 7 years

after deregistration

- in office 2 years,

thence off-site.

Description amended April 2016

Entry replaced by reference to General retention and disposal authority: source records that have been copied April 2016





1.1.3.5 Copies of applications, correspondence, affidavits, etc.,

relating to the incorporation of associations held in Service

Centres.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

1.2.0.0 Business licensing Relates to the licensing of credit providers, finance brokers,

motor dealers, travel agents, weighbridge operators, private

employment agents, pawnbrokers and second-hand dealers.

See 5.5.0.0 for licensing of home builders, contractors,

plumbers and electrical contractors.

See 6.1.4.0 for licensing of real estate agents, stock and

station agents, auctioneers and valuers.

1.2.1.0 Business licensing

1.2.1.1 Registration records relating to the administration and

control of business licences, including manual registers, and

electronic control systems such as the Business Licensing

Information System (BLIS).

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain in office,

migrating data as

necessary.

1.2.1.2 Records relating to the licensing of credit providers, finance

brokers, motor dealers, travel agents, weighbridge

operators, private employment agents, pawnbrokers and

second-hand dealers. Includes application forms and

associated documentation, copies of licences, and

correspondence, etc.

Retain a minimum

of 7 years after

expiry of licence,

then destroy.

Retain in office 2

years, thence off-

site.

1.2.1.3 Routine correspondence, enquiries, provision of information,

form letters, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.





1.2.2.0 Business licensing -

other jurisdictions

1.2.2.1 Records relating to the licensing of businesses in the

Australian Capital Territory, including printouts of licence

details, audit information, correspondence, etc.

Note that NSW no longer carries out this function.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.2.2.2 Records relating to business licences issued by other

agencies such as dangerous goods licences, petroleum and

tobacco retailer’s licences, etc. Includes correspondence with

other agencies and jurisdictions, enquiries, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

1.2.3.0 Business licensing

investigations

1.2.3.1 Records re licence investigations including investigation

report forms, working papers, documentation received from

licensee and copy of final reports.

Retain a minimum

of 7 years after

expiry of licence,

then destroy.

Retain in office 2

years, thence off-

site.

1.2.3.2 Records relating to Weighbridge Servicing licence

investigations, including applications, assessment of

application and environmental impact report.

Retain a minimum

of 7 years after

expiry of licence,

then destroy.

Retain in office 2

years, thence off-

site.





1.3.0.0 Compliance See 1.2.3.0 for business licensing investigations.

1.3.1.0 Complaints and

breaches

Complaints and breaches relating to consumer protection

(includes product safety, trade measurement and Y2K

issues) and in relation to incorporated associations, limited

partnerships, solicitors corporations, miscellaneous bodies

corporate and funeral funds.

See 1.3.2.0 for Investigation Management.

1.3.1.1 Complaint registration records including manual registers,

cards and electronic Complaint Management Systems

(CMS).

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain in office,

migrating data as

necessary.

1.3.1.2 Records relating to the investigation of breaches or

compliance issues of a significant nature which set an

operational or procedural precedent or resulted in major

changes in policy.

See also 1.5.3.0 - Litigation.

Required as State

archives.

Retain for 7 years

after action

completed - in

office 2 years,

thence off-site.

1.3.1.3 Records relating to the investigation of routine complaints,

breaches or compliance issues, including complaint forms,

working notes, routine investigation reports, inspectors’

reports, mediation notes, correspondence, etc. Includes

Ministerials and original copies of records re complaints

investigated locally and retained in local office.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.3.1.4 Exhibits seized or obtained from companies and individuals

by Departmental officers in the course of investigations.

Includes original records, pre-packed articles, packages,

toys, and other items of physical evidence.

Retain a minimum

of 6 months after

completion of

investigation, then

Retain in office.






return to owner.

1.3.1.5 Copies of records seized or obtained from companies and

individuals by Departmental officers in the course of

investigations.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

1.3.1.6 Copies of records re complaints, breaches and mediation

held in local offices (Service Centres) where originals

forwarded to Head Office.

Retain a minimum

of 1 year after

receipt in Head

Office, then

destroy.

Retain in office.

1.3.2.0 Investigation

management

See also 1.5.3.0 - Litigation

1.3.2.1 Investigation registration or management records including

manual registers, cards and electronic registration systems

such as System for Case Management (SCAM).

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating data as

necessary.

1.3.2.2 Data entry sheets, batches, etc. Retain a minimum


entered and

verified, then

destroy.

Retain in office.

1.3.2.3 Manual or local office duplicate investigation control records. Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.





1.4.0.0 Enquiries

1.4.1.0 Enquiries General enquiries relating to consumer protection or

business/industry regulation issues.

1.4.1.1 Records of enquiries relating to consumer protection or

business/industry regulation issues including product safety,

trade measurement, incorporated associations, limited

partnerships, solicitor corporations, miscellaneous bodies

corporate and funeral funds. Includes:

records relating to requests for information or

applications for searches of registers

form letters, routine correspondence,

records kept for reference to answer routine enquiries

records kept for statistical purposes in relation to

provision of routine information.

Retain minimum of


completed, then

destroy.

Retain in office.

1.5.0.0 Legal Relates to legal action taken by the Department of Fair

Trading in relation to consumer protection and fair trading

issues.

Use General retention and disposal authority: administrative

records for records relating to the formulation of legislation.

1.5.1.0 Advisings

1.5.1.1 Legal advisings by the Department of Fair Trading’s legal

officers or by external parties on all aspects of

administration of the Department of Fair Trading, Acts,

investigations, procedures, etc.

Required as State

archives

Retain for 10 years

after action

completed - in

office 2 years,

Description amended April 2016 Description amended and retention period increased from 1 year to 2 years April 2016





thence off-site.

1.5.2.0 Legal assistance The Department of Fair Trading may, with the Minister’s

approval, provide assistance to individuals or bodies to

undertake legal action in relation to consumer protection

matters.

1.5.2.1 Legal assistance registration, control or management

records including manual registers, cards and electronic

registration systems.

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

1.5.2.2 Records relating to the provision of legal assistance which

set policy precedents, or relate to legal cases of major

significance.

Required as State

archives

Retain for 7 years

after action

completed - in

office 2 years,

thence off-site.

1.5.2.3 Records relating to the provision of legal assistance for

routine matters.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.





1.5.3.0 Litigation Relates to prosecutions under various Acts, such as the

Motor Dealers Act, Fair Trading Act, Trade Measurement Act,

Credit Act, etc.

See also General retention and disposal authority:

administrative records.

1.5.3.1 Case management and control records including manual

registers, cards and electronic registration systems.

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

1.5.3.2 Files re legal action instituted by or on behalf of the

Department of Fair Trading which set legal precedents or

resulted in significant changes in policy.

Required as State

archives

Retain for 7 years

after action

completed - in

office 2 years,

thence off-site.

1.5.3.3 All other records relating to litigation or legal action,

including legal opinions, copies of investigations

(compliance) reports, court documents, correspondence with

solicitors and traders, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.





1.6.0.0 Motor dealers

compensation

Relates to the administration of the Motor Dealers

Compensation Fund which provides compensation in cases

where motor dealers go out of business with warranty work

outstanding.

1.6.1.0 Motor dealers

compensation

1.6.1.1 Records re the payment of compensation, including

successful applications for compensation, administration of

Trust Funds, correspondence between parties involved,

determinations, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.6.1.2 Unsuccessful or inappropriate claims for compensation,

enquiries, provision of routine information, etc.

Retain a minimum

of 2 years after

action completed,

then destroy.

Retain in office.

1.7.0.0 Product safety See also 1.9.0.0 Trade Measurement

1.7.1.0 Approval/ certification

1.7.1.1 Approval/certification registration or management records

including manual registers, cards and electronic registration

systems such as the Electrical Equipment Approval (EEA)

database. Includes registers of approved articles.

Retain a minimum

of 20 years after

expiry of approval,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

1.7.1.2 Records re product approval, including electrical items and

non-declared items. Includes applications, supporting test

results, assessment sheets, copies of certificate,

correspondence, etc.

Retain a minimum

of 10 years after

expiry of approval,

then destroy.

Retain in office 2

years, thence off-

site.





1.7.1.3 Records re brand approval including records prescribing the

manner and form of marking on packaging and products.

Retain a minimum

of 10 years after

expiry of approval,

then destroy.

Retain in office 2

years, thence off-

site.

1.7.1.4 Enquiries, requests for information, routine correspondence

re approval and certification of products.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

1.7.2.0 Banned products Use 1.7.4.0 – Compliance for investigations and assessment.

1.7.2.1 Index or register of products which are totally or

conditionally banned.

Required as State

archives.

Retain hard copies

for 10 years after

action completed -

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

1.7.2.2 Enquiries, requests for information, routine correspondence

re banned products, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.





1.7.3.0 Children’s toy surveys Department of Fair Trading conducts annual surveys into

popular Christmas toys and Royal Easter Show show bags.

1.7.3.1 Records relating to cases which resulted in legal action,

withdrawal of products or significant changes to policy or

procedures.

Required as State

archives

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

1.7.3.2 Records relating to routine aspects of the surveys,

investigations where no action was taken, summaries of

findings, etc.

Retain a minimum

of 10 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.7.3.3 Enquiries, routine correspondence, requests for information,

form letters, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

1.7.4.0 Compliance Includes investigations relating to the safety of electrical

equipment, meter boxes, etc.

1.7.4.1 Product safety compliance registration or management

records including manual registers, cards and electronic

registration systems. Includes complaints and investigation

registration systems.

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

1.7.4.2 Product safety investigations which resulted in major policy

change, major withdrawal of product, or where faulty

product lead to death or serious injury. Includes inspector’s

reports, complaints, scientific reports, correspondence and

policy documents

Required as State

archives

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.





1.7.4.3 Records re investigating and policing compliance of products

to regulatory standards, including electrical products and

equipment. Includes investigation of complaints.

Retain a minimum

of 10 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.7.4.4 Enquiries, routine correspondence, requests for information,

etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

1.7.5.0 Electrical fatalities The Department of Fair Trading has a statutory requirement

to report fatal accidents resulting from electrocution.

1.7.5.1 Summary register relating to electrical fatalities occurring in

NSW. Includes electronic register.

Required as State

archives.

Retain in office for

20 years after

action completed.

1.7.5.2 Records re electrical fatalities in NSW including initial

advisement, report from supplier, coroner’s report,

Departmental report, etc.

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain in office 5

years, thence off-

site.

1.7.6.0 Product testing

1.7.6.1 Product testing databases, including statistical database

which lists number of products tested in relation to each

regulation, and results of the test.

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

1.7.6.2 Test results, data sheets, data entry forms, etc. Retain a minimum


entered and

verified, then

Retain in office.





destroy.

1.8.0.0 Register of

Encumbered Vehicles

Computerised public record system showing any financial

interest held over any registered motor vehicle in NSW.

1.8.1.0 Certification Retrospective certification, in the form of a Search

Certificate, is issued when an historical search of vehicle is

required.

1.8.1.1 Records relating to retrospective certification, including copy

of Search Certificate, correspondence with client, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.8.1.2 Records relating to cases where no interest is believed to

exist, including Show Cause Notices, correspondence, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.8.1.3 Copies of applications, certificates and associated

documentation retained in Service Centres. Includes copies

and printouts of transactions and vehicle histories.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

1.8.2.0 Registration of

financial interest

Financial interest in a vehicle can include a mortgage (bill of

sale), lease or hire purchase agreement.

1.8.2.1 Computerised register of financial interest. Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office,

migrating data as

necessary.

1.8.2.2 Records relating to registration, variation or cancellation of

an interest, including application forms, data entry sheets,

etc.

Retain a minimum


entered and

verified, then

Retain in office.





destroy.

1.8.2.3 Correspondence re financial interest matters, requests for

information, enquiries, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

1.8.2.4 Copies of applications, correspondence retained in Service

Centres for reference. Includes copies and printouts of

transactions and vehicle histories.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.





1.9.0.0 Trade measurement Relates to the Department of Fair Trading’s function of

ensuring that measurement devices are correct and that

packaging correctly states the measurement or quantities of

consumer items.

See also 1.7.0.0 Product Safety and 3.4.0.0 Research.


records for records re the levying and payment of fees and

charges.

1.9.1.0 Certification Servicing Licences are issued to companies and individuals

who certify measuring instruments.

Use 1.2.2.0 Business Registration – Licensing for records re

licensing activities.

1.9.1.1 Records re the registration and management of certification

information. Includes certification database, employees of

Servicing Licensees database and restricted persons (those

not to be employed to certify measuring instruments)

database.

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

1.9.1.2 Copies of certification and non-compliance forms forwarded

to Department of Fair Trading by licensee. Includes forms

returned to Department of Fair Trading when licensee ceases

business.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.9.1.3 Enquiries, routine correspondence, provision of information,

form letters, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.





1.9.2.0 Compliance Relates to inspection for compliance of measurement

devices such as service station equipment, flow metres,

supermarket scanners, weighbridges, etc. and also to

compliance of consumer items such as packaged food stuffs.

1.9.2.1 Master set of technical directions issued to inspectors. Required as State

archives

Retain for 7 years

after superseded -

in office 5 years,

thence off-site.

1.9.2.2 Records relating to inspections leading to legal action which

set legal precedents, resulted in major changes in policy, or

significant procedural change.

Required as State

archives.

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

1.9.2.3 Records relating to inspections resulting in routine legal

action, including inspector’s working papers, breach reports,

rejection or rectification certificates, correspondence, etc.

Retain a minimum

of 10 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.9.2.4 Records relating to routine inspections including inspector’s

working papers, notebooks, breach reports, rejection or

rectification certificates, correspondence, warnings, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.9.2.5 Records re the verification of Inspector’s standards,

including certificates, applications, correspondence, etc.

Retain a minimum

of 7 years after

expiry of certificate,

then destroy.

Retain in office 2

years, thence off-

site.

1.9.2.6 Records re testing of measuring equipment, including the

registration of owners of certified testing equipment, tests

and calibration results, issue of certificates of approval under

national Measurement Regulations, etc.

Retain a minimum

of 7 years after

registration lapses,

then destroy.

Retain in office 2

years, thence off-

site.





1.9.2.7 Records relating to the compliance of packaging to

legislation.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

1.9.3.0 Equipment -

Departmental


records for the purchase, maintenance and disposal of

equipment.

1.9.3.1 Records re the design and manufacture of equipment

designed by Department of Fair Trading including

specifications and photographs of equipment.

Required as State

archives.

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

1.9.3.2 Equipment calibration and performance registration

systems.

Retain a minimum

of 7 years after

disposal of

equipment, then

destroy.

Retain hard-copy in

office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

1.9.3.3 Records re equipment issued to inspectors, including

computerised register of information re testing, verification

& replacement.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain hard-copy in

office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

1.9.3.4 Test results relating to Department of Fair Trading’s own

equipment, data entry sheets, hard-copy versions of

electronic data, equipment transfer advice forms, routine

correspondence re issue and use of equipment.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.





1.9.4.0 Equipment - testing See 1.9.2.0 - Compliance for records re the testing of

measuring equipment owned externally.

See 1.9.3.4 for test results of Department of Fair Trading-

owned equipment.

2.0.0.0 CO-OPERATIVES Relates to registration of and development of policy for co-

operatives, Starr-Bowkett societies and co-operative housing

societies.

2.1.0.0 Compliance Relates to the monitoring co-operatives, Starr-Bowkett

societies and co-operative housing societies.

2.1.1.0 Inspection Relates to the inspection of co-operatives, Starr-Bowkett

societies and co-operative housing societies, to assess

viability and legislative compliance.

2.1.1.1 Records relating to the inspection of co-operatives, Starr-

Bowkett societies and co-operative housing societies which

result in legal action, deregistration of society, or significant

policy or procedural change.

Required as State

archives.

2.1.1.2 Records relating to the routine inspection of co-operatives,

Starr-Bowkett societies and co-operative housing societies.

Includes correspondence, inspector’s reports, accounts and

other documentation provided by co-operative, etc.

Retain a minimum

of 7 years after de-

registration, then

destroy.

Retain in office 5

years, thence off-

site.

2.1.1.3 Routine correspondence relating to the inspection of co- Retain a minimum Retain in office.






operatives, Starr-Bowkett societies and co-operative housing

societies, including provision of information, form letters,

enquiries, etc.

of 2 years after

action completed,

then destroy.

2.1.1.4 Records re interstate co-operatives. Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

2.1.2.0 Policy

2.1.2.1 Records re the formulation of policy regarding the

administration, registration, monitoring and assessment of

co-operatives.

Required as State

archives

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

2.1.3.0 Complaints and

breaches

See also 2.1.1.0 CO-OPERATIVES – Compliance – Inspection

for inspection records relating to assessing viability and

legislative compliance.

2.1.3.1 Records relating to complaints or reported breaches of the

operations of co-operatives, Starr-Bowkett societies and co-

operative housing societies.

Retain minimum of

7 years after


destroy

2.1.4.0 Enquiries

2.1.4.1 General enquiries relating to the operations of co-operatives,

Starr-Bowkett societies and co-operative housing societies.

records relating to requests for information or

Retain minimum of


completed, then

destroy

Entry added April 2016





applications for searches of registers

form letters, routine correspondence,

records kept for reference to answer routine enquiries

records kept for statistical purposes in relation to

provision of routine information.

2.2.0.0 Registration Maintenance of the public register of co- operatives, Starr-

Bowkett societies and co-operative housing societies.

2.2.1.0 Registration

2.2.1.1 Registration records of co-operatives, Starr-Bowkett

societies and co-operative housing societies. May include

manual registers and information in electronic control

systems such as the Register of Incorporated Organisations

(RIO) or Vision.

Required as State

archives.

Retain for 20 years

after dissolution of

co-operative. Retain

hard copies in office

2 years, thence off-

site. Retain

electronic data in

office, migrating as

necessary.

2.2.1.2 Electronic images or microfilmed copies of records which

have been lodged, furnished, registered or approved in

relation to a co-operative society. Includes disclosure

statements, removal of names, dissolution, appointment of

receivers, annual returns, balance sheets, memoranda of

satisfaction of charges, etc.

Required as State

archives

Retain in office for

20 years after

dissolution of co-

operative. Migrate

electronic data as

necessary.

2.2.1.3 Hard-copy records which have not been imaged or

microfilmed, relating to or affecting the rules of the co-

Required as State

archives

Retain for 15 years


co-operative - in






operative, including special resolutions. office 5 years,

thence off-site.

2.2.1.4 Hard-copy records which have not been imaged or

microfilmed, excluding accounts records, which have been

lodged, furnished, registered or approved in relation to a co-

operative society. Includes disclosure statements, removal

of names, dissolution, appointment of receivers, annual

returns, etc.

Required as State

archives

Retain for 15 years


co-operative - in

office 5 years,

thence off-site.

2.2.1.5 Records relating to charges and accounts, including balance

sheets, memoranda of satisfaction of charges, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

2.2.1.6 Originals of records which have been microfilmed, imaged or

other wise converted to an electronic system, including data

entry sheets, etc.

Retain a minimum

of 1 year after

conversion to

electronic system,

then destroy.

Retain in office.





3.0.0.0 CORPORATE

GOVERNANCE

Includes the central executive and corporate services

functions of the Department of Fair Trading and those

functions as carried out in all Divisional and functional areas.

3.1.0.0 Corporate Services Relates to the corporate services function of the Department

as a whole and that function as carried out in individual

Divisions.

3.1.1.0 Governing bodies,

Councils and Boards

Includes governing and statutory bodies relating to all

functions of the Department of Fair Trading, excluding

Tribunals.

3.1.1.1 Minutes, agendas and business papers of Boards,

Corporations and Councils whose functions have devolved to

the Department of Fair Trading, such as the Building

Services Corporation and predecessor agencies, Rental Bond

Board, Property Services Council and Real Estate Services

Council.

Required as State

archives.

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

3.1.1.2 Minutes, agendas and business papers of Councils for which

the Department has the secretarial or administrative

responsibility. Includes the Fair Trading Advisory, Motor

Trade Advisory, Home Building Advisory, Property Services

Advisory, Retirement Villages Advisory and Co-operative

Councils.

Required as State

archives.

Retain for 10 years

after action

completed - retain

in office 2 years,

thence off-site.

3.1.1.3 Minutes, agendas and business papers of high-level

Committees such as the Motor Dealers Disputes, Residential

Tenancies Consultative, retirement Villages Consultative,

Electrical Equipment Safety Advisory and Product Safety

Committees, where the Department has the secretarial or

administrative function.

Required as State

archives.

Retain for 10 years

after action

completed - retain

in office 2 years,

thence off-site.

3.1.1.4 Records re appointments to Boards, Councils, Committees,

governing bodies, etc.

Required as State

archives.

Retain for 10 years

after action

completed - in





office 2 years,

thence off-site.

3.1.1.5 Records re payment of fees to members and routine

administrative correspondence re membership, etc.

Retain a minimum

of 6 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

3.1.1.6 Records re routine matters such as meeting dates, times

and venues.

Retain a minimum

of 2 years after

action completed,

then destroy.

Retain in office.

3.1.2.0 Ministerial liaison See 1.3.1.3 and 6.2.1.5 for Ministerial correspondence

relating to consumer complaints and tenancy matters.


records for all other ministerial correspondence, and

ministerial and parliamentary liaison.

3.1.3.0 Minutes See 3.1.1.2 for minutes of governing bodies, Councils,

Corporations and Boards whose functions have devolved to

the Department of Fair Trading.

3.1.3.1 Minutes, agendas and business papers of Senior

Management Committees, meetings of Department of Fair

Trading’s executives, etc.

Required as State

archives.

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

3.1.3.2 Minutes of Advisory Committees, Examination Boards, inter-

governmental committees, etc., where Department of Fair

Trading undertakes the secretarial function

Required as State

archives.

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.





3.1.3.3 Minutes of routine meetings of officers of the Department of

Fair Trading, minutes of other agencies and organisations

where the Department of Fair Trading does not have

secretarial function, minutes forwarded for information

purposes, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

3.1.4.0 Quality management Use General retention and disposal authority: administrative

records for records relating to Quality Assurance, quality

management or quality systems.

3.1.5.0 Reporting Use General retention and disposal authority: administrative

records for reporting records.

3.1.6.0 Year 2000 (Y2K)

management

See 1.3.1.0 for consumer complaints relating to Y2K issues.

3.2.0.0 Policy development Relates to strategic policy and planning.


records for records relating to the formulation of legislation.

3.2.1.0 Fees and charges Use General retention and disposal authority: administrative

records for records relating to the levying and payment of

fees and charges.

3.2.1.1 Records re the formulation of high level policy relating to

fees and charges.

Required as State

archives.

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

3.2.1.2 Records re the administration of charging policy, formulation

or adjustment of routine fees and charges, etc.

Retain a minimum

of 10 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.





3.2.1.3 Enquiries, provision of information, routine correspondence,

fees schedules, lists of charges, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

3.2.2.0 Strategic planning and

policy development


records for records relating to strategic planning and policy

development, including the development of access and

equity strategies.

3.3.0.0 Professional liaison Relates to liaison with agencies undertaking similar functions

in other government jurisdictions.

3.3.1.0 Correspondence

3.3.1.1 Correspondence with other government administrations,

NSW State government Departments, etc., which results in

policy change.

Required as State

archives

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

3.3.1.2 Routine correspondence, documents forwarded by other

agencies for information purposes, form letters, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.





3.3.2.0 Reciprocal agreements The Department of Fair Trading enters into legal Agreements

with other jurisdictions to recognise the licences and other

documents issued by those jurisdictions.

3.3.2.1 Agreements with other State and Territories to reciprocate

certificates and licences, and associated documentation.

Includes records relating to high-level negotiations and

formulation of policy re such Agreements.

Required as State

archives

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

3.3.2.2 Records detailing major issues of reciprocity, mutual

recognition, etc., with other States and Territories, including

determination of border anomalies.

Required as State

archives

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

3.3.2.3 Routine correspondence, enquiries, provision of information,

form letters, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

3.4.0.0 Research Relates to research commissioned by the Department of Fair

Trading and all its Divisions to aid in the provision of its

services and functions.

See also 4.4.0.0 - Publications

3.4.1.0 Commissioning of

research

3.4.1.1 Records re selection of agents or consultants to conduct

research, including specifications.


records for payment records.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.





3.4.2.0 Research results

3.4.2.1 Results, reports or statistical correlations, published or

unpublished, of major research conducted by or on behalf of

Department of Fair Trading.

Required as State

archives

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

3.4.2.2 Data, survey forms, completed questionnaires, etc., of

research conducted by or on behalf of Department of Fair

Trading.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

3.4.2.3 Copies of research results, reports, articles compiled by

other organisations and supplied to Department of Fair

Trading for information only.

Retain a minimum

of 2 years after

action completed,

then destroy.

Retain in office.

4.0.0.0 CUSTOMER SERVICES Includes community education and relations, grant funding

and marketing.

4.1.0.0 Community liaison Relates to educating the public in both the functions and

powers of the Department of Fair Trading and in their rights

as consumers.

4.1.1.0 Community education Use General retention and disposal authority: administrative

records for records relating to the payment of fees and

charges, or the purchase of materials.

4.1.1.1 One (1) copy of all Educational Kits prepared by the

Department of Fair Trading for schools and clients.

Required as State

archives

Retain in office for 1

year after action

completed.

4.1.1.2 Records re development, mounting and administration of

exhibitions, short courses, seminars, electronic

demonstrations, information nights, outreach services, etc.,

Retain a minimum

of 5 years after

action completed,

Retain in office 1

years, thence off-





developed by all Divisions of Department of Fair Trading and

Service Centres.

then destroy. site.

4.1.1.3 Records re attendees at courses, seminars, etc. Retain a minimum

of 5 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

4.1.1.4 Enquiries, routine correspondence, provision of information,

form letters re educational activity

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

4.1.2.0 Financial assistance In some instances assistance, such as negotiating reduced

loan payments, can be given to individuals experiencing

financial hardship.

4.1.2.1 Registration records relating to details of hardship

applications for financial assistance, including the Credit

Database Registration System.

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

4.1.2.2 Applications for financial assistance, both successful and

unsuccessful, or loan mediation cases which resulted in legal

action, significant changes in policy or procedures, or set

major precedents.

Required as State

archives

Retain for 7 years

after action

completed - in

office 2 years,

thence off-site.

4.1.2.3 Records re financial assistance and hardship cases of a

routine nature, routine loan mediation, correspondence with

credit providers and advocacy groups, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.





4.1.2.4 Enquiries, provision of information, form letters, routine

correspondence re financial assistance, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

4.1.3.0 Marketing

4.1.3.1 Records relating to the planning and design of special or

major advertising campaigns, such as those publicising new

Codes of Conduct.


records for all other records relating to marketing and

advertising.

Required as State

archives

Retain for 10 years

after action

completed. - in

office 2 years,

thence off-site.

4.1.4.0 Media relations

4.1.4.1 One (1) copy of the text of all media releases or media

items relating to Departmental functions.


records for all other records relating to media relations.

Required as State

archives.

Retain in office for 1

year after action

completed.

4.1.4.2 Press clippings relating to general issues relating to or

affecting the Department of Fair Trading, including such

subjects as consumer affairs, consumer protection, etc.

Use 5.3.0.0 Home Building - Investigations for clippings

relating to advertisements placed by builders and

tradesmen.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

4.1.5.0 Speeches Use General retention and disposal authority: administrative

records for copies of speeches and records relating to

addresses by Minister, CEO and officers.





4.2.0.0 Community Programs Relates to special community funding programs

administered by the Department.

4.2.1.0 Funding Programs Relates to the Tenancy Advice and Advocacy Program

(TAAP), Home Building Grants Program and Property

Services Grants Program.

Includes records of the former Tenancy Service of the

Department of Housing.


records for records re the payment, transfer, receipting of

monies, etc.

4.2.1.1 Records of high-level decision-making relating to funding of

the Tenancy Advice and Advocacy Program (TAAP), a

triennial program which provides funding to community-

based organisations to provide independent tenancy advice

and advocacy services. Includes policy, summary

information on selected recipients and Ministerial briefings re

distribution of monies.

Required as State

archives.

Retain for 7 years

after action

completed - in

office 2 years,

thence off-site.

4.2.1.2 Records relating to the routine administration of the Tenancy

Advice and Advocacy Program (TAAP), including copies of

the successful tenders and applications, associated

documentation, requests, correspondence with parties

involved, reports, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

4.2.1.3 Records of high-level decision-making relating funding

programs such as the Home Building Grants Program, an

annual program which funds industry-based organisations

providing education and research relating to the building

industry and consumers of that industry, and the Property

Services Grants Program, an annual program which funds

organisations providing education or research in the

property services industry. Includes policy, summary


Required as State

archives

Retain for 7 years

after action

completed - in

office 2 years,

thence off-site.






4.2.1.4 Records relating to the administration of the Home Building

Grants Program and the Property Services Grant Program.

Includes applications and supporting documentation, copy of

funding agreement, correspondence, etc.

Retain a minimum

of 7 years after

action completed,

then destroy

Retain in office 2

years, thence off-

site.

4.2.1.5 Records re the administration and disbursement of annual

grants such as those to the Tenants Housing Information

Unit and The Aged Care Rights Service.

Retain a minimum

of 7 years after

action completed,

then destroy

Retain in office 2

years, thence off-

site.

4.2.1.6 Records re unsuccessful tenders or applications for funding,

including Ministerial correspondence.

Retain a minimum

of 7 years after

action completed,

then destroy

Retain in office 2

years, thence off-

site.





4.3.0.0 Financial counselling Relates to the provision of specialised counselling in relation

to the credit issues, and assistance to individuals

demonstrating severe financial problems.

See 1.2.0.0 for licensing of Credit Providers.

4.3.1.0 Credit counselling Relates to the Credit Counselling Program (CCP), a State-

wide program providing funding for consumer credit legal

advice administered by the Department, chiefly to low

income and disadvantaged clients.

4.3.1.1 Records of high-level decision-making relating to funding for

Credit Counselling Program. Includes policy, summary



Required as State

archives.

Retain for 7 years

after action

completed - in

office 2 years,

thence off-site.

4.3.1.2 Records relating to the provision to individuals of credit

counselling services.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.


correspondence re credit counselling, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.





4.3.2.0 Financial counselling Relates to the Financial Counselling Trust Fund, a fund

providing monies for financial counselling administered by

the Department.

4.3.2.1 Records of high-level decision-making relating to the

Financial Counselling Trust Fund. Includes policy, summary



Required as State

archives.

Retain for 7 years

after action

completed - in

office 2 years,

thence off-site.

4.3.2.2 Records relating to the administration of the Financial

Counselling Trust Fund, including applications for grant

funding and associated reports, both successful and

unsuccessful, submissions and other documentation.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.


correspondence re credit counselling, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

4.4.0.0 Publications Use General retention and disposal authority: administrative

records for Department of Fair Trading’s publications and

records relating to publication.





5.0.0.0 HOME BUILDING Relates to the licensing and compliance of home builder’s in

N.S.W.

5.1.0.0 Board and Commission Relates to records of Fair Trading’s predecessor agencies,

the Building Services Corporation and the Builder’s Licensing

Board.

See 4.1.1.2 for minutes of Boards and Corporations.

5.1.1.0 Case records Relates to records of cases heard by former Building

Services Corporation and Builder’s Licensing Board.

5.1.1.1 Registration records of cases heard by the Board and

Corporation, including Registers of Determinations.

Required as State

archives

Retain for 10 years

after action

completed. Retain

hard copies in office

2 years, thence off-

site. Retain

electronic data in

office, migrating as

necessary.

5.1.1.2 Transcripts of hearings before Board or Corporation. Retain a minimum

of 10 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

5.1.1.3 Board or Corporation hearing tapes. Retain a minimum

of 20 years after

action completed,

then destroy.

Retain in office 5

years, thence off-

site.

5.1.1.4 Case files, and all other records relating to cases heard

before the Board and Commission, including correspondence

between parties involved, notifications of hearings, findings,

etc.

Retain a minimum

of 10 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.





5.2.0.0 Dispute management Relates to the mediation and management of disputes

between home building contractors and consumers.

5.2.1.0 Mediation

5.2.1.1 Dispute management and mediation registration and control

records, including cards, registers and electronic systems.

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain in office,

migrating data as

necessary.

5.2.1.2 Records relating to cases where mediation was unsuccessful

and led to legal action by or on behalf of the Department

which set legal precedents, or relating to major cases which

resulted in significant changes to policy or procedures.

Required as State

archives

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

5.2.1.3 Records relating to routine mediation, including unsuccessful

cases which led to routine legal action. Includes applications,

correspondence between parties, investigation reports, final

reports, etc.

Retain a minimum

of 10 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.





5.3.0.0 Investigation Relates to the investigation of complaints against home

building contractors, and of identified breaches of licence

conditions or statutory requirements.

5.3.1.0 Compliance Relates to complaints against builders; investigation of

breaches of licence conditions or legal requirements,

checking that contractors are currently licensed and ‘show

cause’ complaints.

See 5.4.1.0 for complaints which result in insurance claims.

5.3.1.1 Complaints and breach registration and control records,

including cards, registers and electronic systems such as the

Complaint Notification System.

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

5.3.1.2 Records re major breaches which resulted in legal action by

or on behalf of the Department which set legal precedents,

or which resulted in significant changes to policies or

procedures.

Required as State

archives

Retain for 10 years

after action

completed - in

office 2 years,

thence off-site.

5.3.1.3 Records re routine complaints and breaches, including cases

which led to routine legal action. Includes original complaint

or breach notifications, investigation reports,

correspondence between parties involved, etc.


records for records re the levying and payment of fines.

Retain a minimum

of 10 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

5.3.1.4 Inspector’s working papers, including diaries, field books,

etc.

Retain a minimum

of 7 years after

claim finalised, then

Retain in office 2

years, thence off-

site.





destroy.

5.3.1.5 Records used to check that contractors are currently and

correctly licensed, including press clippings and

advertisements from local papers.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

5.3.1.6 Copies of complaints, breach notifications, inspector’s

reports, etc., retained in Service Centres, including

electronic records.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

5.4.0.0 Insurance Relates to the insurance schemes which the Department of

Fair Trading and predecessor agencies have administered

since 1973 to protect consumers from defective building

work, or incomplete or uncommenced work. The insurance

function was outsourced to private sector 1 July 1997.

5.4.1.0 Claims Includes complaints which result in claims.

5.4.1.1 Registration and other control records relating to insurance

claims, including manual file registers, index cards and

electronic control systems.

Retain a minimum

of 20 years after


destroy.

Retain hard copy in

office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

5.4.1.2 Records re insurance claims including applications for,

inspection reports, photographs of work inspected,

correspondence between parties involved, determinations,

etc. Includes Trade Indemnity and Special Insurance claims,

owner-builder Contractor Insurance claims, house purchase

claims and claims against sub-contractors.

Retain a minimum

of 7 years after


destroy.

Retain in office 2

years, thence off-

site.

5.4.1.3 Inspector’s working papers, including diaries, details of site Retain a minimum Retain in office 2





visits, field books, sketches and plans, photographs, etc. of 7 years after


destroy.

years, thence off-

site.

5.4.1.4 Copies of records relating to insurance claims, including

applications, inspection reports, etc., carried out by Service

Centres. Includes these records retained electronically.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

5.4.2.0 Debt recovery Use General retention and disposal authority: administrative

records for records re payment or receipting of fines,

reconciliations, etc.

5.4.2.1 Records relating to legal action taken to recover fine monies

owed.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

5.4.2.2 Records administering debt recovery, including insurance

action sheets, adjustments of licence status, payment

instalment details, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

5.4.3.0 Payment of insurance See also General retention and disposal authority:

administrative records.

5.4.3.1 Records re the maintenance and control of insurance

payments, including electronic systems such as the

Insurance Maintenance System.

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

5.4.3.2 Manual records relating to insurance payments, from which

electronic system is maintained. Includes manual batch

Retain a minimum


Retain in office.





documents re individual payments received from Councils,

data entry sheets, applications for pre-payment, etc.

is captured and

verified, then

destroy.

5.4.3.3 Records re insurance premiums collected by local councils on

behalf of Department of Fair Trading, including monthly

returns, correspondence.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

5.4.3.4 Print-outs of payments and copies of other records relating

to insurance payments held in Customer Service Centres.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

5.5.0.0 Licensing Relates to the licensing of home builders, contractors,

electrical contractors, and plumbers.

5.5.1.0 Compliance See 5.3.1.0 for records re compliance with licence

conditions.

5.5.2.0 Licensing

5.5.2.1 Licensing registration and control records, including cards,

registers and electronic systems such as the Building

Services System (BSS).

Retain a minimum

of 20 years after

expiry of licence,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

5.5.2.2 Office copies of licences issued by predecessor agencies

prior to implementation of electronic licensing system,

including microfiche copies. Includes the microfilmed copies

of electrical contractor’s certificates issued by the

Department of Energy and its predecessors.

Retain a minimum

of 7 years after

expiry of licence

then destroy.

Retain in office 2

years, thence off-

site.





5.5.2.3 Records re the licensing of builders, contractors, plumbers,

electrical contractors and Qualified Supervisors, including

applications, office copy of licence, correspondence between

licensee and Department of Fair Trading, etc.

Retain a minimum

of 7 years after

expiry of licence

then destroy.

Retain in office 2

years, thence off-

site.

6.0.0.0 PROPERTY SERVICES Relates to real estate and renting services. Includes

boarding houses, records of former Strata Titles Office,

Rental Bond Board and Office of Real Estate Services.

6.1.0.0 Real estate services Relates to the monitoring and administration of real estate

dealings in N.S.W. Includes records of the former Real

Estate Services Council

6.1.1.0 Compensation Owners may make claims for compensation when managing

agents fail to forward rent, cease trading, etc.

6.1.1.1 Registration and control records relating to claims for

compensation, including cards, manual registers and

electronic systems.

Retain a minimum

of 20 years after

date of action

completed, then

destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

6.1.1.2 Records re the payment of compensation, including

successful applications for compensation, administration of

Trust Funds, correspondence between parties involved,

determinations, etc. Includes Section 15 certificates.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain 2 years,

thence off-site.

6.1.1.3 Unsuccessful or inappropriate claims for compensation,

enquiries, provision of routine information, etc.

Retain a minimum

of 2 years after

action completed,

Retain in office.






then destroy.

6.1.2.0 Compliance

6.1.2.1 Records relating to legal action taken against real estate

agents, boarding house proprietors, etc., by or on behalf of

the organisation or in which the organisation has major

involvement, which result in the setting of legal precedents

or major changes to policy.

Required as State

archives

Retain for 7 years

after action

completed - in

office 2 years,

thence off-site.

6.1.2.2 Records relating to routine legal action taken against real

estate agents, boarding house proprietors, etc., by or on

behalf of the organisation for non-compliance with terms of

licence or statutory requirements. Includes identified brief of

evidence.

Retain a minimum

of 7 years after

action completed,

then destroy

Retain in office 2

years, thence off-

site.



Includes original records and other items of physical

evidence.

Retain a minimum

of 6 months after

action completed,

then return to

owner.

Retain in office.



investigations.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

6.1.2.5 Records re the investigation of routine complaints against

real estate agents, valuers, auctioneers, proprietors of

retirement villages, boarding houses, etc. Includes records

re disputes in which the organisation has been called as an

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.






arbiter.

6.1.2.6 Enquiries, routine correspondence, provision of information

relating to the rights and duties of real estate agents,

valuers, auctioneers, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

6.1.2.7 Records of routine complaints or breaches in relation to

boarding houses and where those complaints or breaches

are referred to a local government council as the initial

investigating authority.

Retain minimum of


completed, then

destroy

6.1.3.0 Fees and commissions Includes records of the former Real Estate Review

Commission which governed changes in real estate agent’s

fees.

6.1.3.1 Official papers or findings of the former Real Estate Review

Commission.

Required as State

archives

Retain for 7 years

after action

completed - in

office 2 years,

thence off-site.

6.1.3.2 Records re the review of commissions and fees chargeable

by estate agents, auctioneers, etc., including hearing tapes

of the Real Estate Review Commission, correspondence,

case files, hearing lists, provision of official information, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.






6.1.4.0 Licensing &

Registration

Includes registration of boarding houses and licensing of real

estate agents, stock and station agents, auctioneers,

valuers, business agents and strata managing agents.

6.1.4.1 Records relating to the registration of Real Estate Agents,

Auctioneers, Stock and Station Agents, Business Agents,

Valuers and Strata Managing Agents. Includes control

records such as registers, cards and electronic licence

registration systems such as the Licensing Information

System (LIS).

Retain a minimum

of 20 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating where

necessary.

6.1.4.2 Records relating to the licensing of real estate companies,

real estate agents, valuers, auctioneers, business agents

and strata managing agents, etc. Includes applications for

licences or renewals, office copies of licences,

correspondence relating to issue of licences or renewals,

inspection reports, etc.

Retain a minimum

of 7 years after

expiry of licence,

then destroy.

Retain in office 2

years, thence off-

site.

6.1.4.3 Records re the certification of individuals who are employed

by licence holders.

Retain a minimum

of 7 years after

expiry of licence,

then destroy.

Retain in office 2

years, thence off-

site.

6.1.4.4 Inspector’s working papers including diaries, field notes,

input sheets, agency reports and short inspection reports.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

Activity term and description amended April 2016





6.1.4.5 Registration records of boarding houses. May include manual

registers and electronic information control systems.

Required as State

archives

6.1.4.6 Records relating to the receipt and processing of boarding

house registration applications and annual returns. Includes

submitted forms or returns, supporting documentation,

associated correspondence and requests for additional

information.

Retain minimum of

7 years after


destroy

6.1.4.7 Enquiries relating to boarding houses including requests for

information or searches of registers, form letters, routine

correspondence, etc. Includes records kept for reference, to

answer routine enquiries and records kept for statistical

purposes in relation to provision of routine information.

Retain minimum of


completed, then

destroy

6.1.5.0 Training

6.1.5.1 Records re accreditation of training courses for real estate

agents, valuers, stock & station agents, auctioneers, etc.

Retain a minimum

of 5 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

6.1.5.2 Routine correspondence, enquiries, provision of information

relating to training for real estate agents, etc.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.






6.1.6.0 Trust accounts Real estate businesses are required to forward audit

certificates of their trust accounts to the Department of Fair

Trading. When businesses close down, all unclaimed monies

in their Trust Accounts are forwarded to the Department of

Fair Trading.

6.1.6.1 Records re the administration, allocation and distribution of

unclaimed monies from the trust accounts of defunct real

estate businesses. Includes records relating to the audit of

Trust Accounts such as audit certificates and Statutory

Declarations.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.





6.2.0.0 Renting services Relates to the provision of rental bond lodgement, custody

and refund services; and provision of information and

complaint handling services in relation to tenancy

agreements in N.S.W.

Includes records of the former Rental Bond Board and

records relating to rent control transferred to the

Department of Fair Trading from the Department of Housing.

6.2.1.0 Information services Includes the provision of information on the rights and

obligations of landlords and tenants, actioning of complaints

and breaches of tenancy and rental bond legislation, and

assistance to resolve disputes between landlords and

tenants.

6.2.1.1 Registration and control records relating to the actioning of

complaints and breaches, mediation and provision of

information. Includes cards, manual registers and electronic

systems.

Retain a minimum

of 20 years after

date of action

completed, then

destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

6.2.1.2 Records re the investigation of complaints or breaches

against landlords or agents, including illegal evictions,

leading to legal action or prosecutions by or on behalf of the

Department, or in which Department has major

involvement.

Required as State

archives

Retain 7 years after

action completed -

in office 2 years,

thence off-site.



Includes original records and other items of physical

evidence.

Retain a minimum

of 6 months after

action completed,

then return to

Retain in office.






owner.



investigations.

Retain a minimum

of 1 year after

action completed,

then destroy.

Retain in office.

6.2.1.5 Records relating to the investigation of routine complaints,

breaches or compliance issues, including complaint forms,

working notes, routine investigation reports, inspectors’

reports, correspondence, etc. Includes Ministerials and

original copies of records re complaints investigated locally

and retained in local office.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

6.2.1.6 Routine correspondence re residential tenancy matters,

requests for information, enquiries, etc.

Retain a minimum

of 2 years after

action completed,

then destroy.

Retain in office.

6.2.2.0 Rental bonds Use General retention and disposal authority: administrative

records for records re payment, receipting, banking,

investing, transferring bond monies, etc.

6.2.2.1 Records relating to the registration and control of rental

bond monies, including registers, indexes and electronic

control systems.

Retain a minimum

of 20 years after

refund of bond

money, then

destroy.

Retain hard-copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating as

necessary.

6.2.2.2 Microfilm or microfiche copies and electronic system

containing imaged documents relating to the lodgement,

custody and refund of rental bonds, including lodgement

forms, claim forms, Change of Authorised Signatories forms,

etc.

Retain a minimum

of 7 years after

refund of bond

money, then

destroy.

Retain hard-copies

in office 2 years,

thence off-site.

Retain electronic

data in office,





migrating as

necessary.

6.2.2.3 Records relating to the lodgement of rental bond monies

which have not been microfilmed or imaged. Includes

authorised signatories forms, changes of particulars requests

and master agents files.

Retain a minimum

of 7 years after

refund of bond

money, then

destroy.

Retain in office 2

years, thence off-

site.

6.2.2.4 Records relating to the general administration and

maintenance of rental bonds which have not been

microfilmed or imaged. Includes enquiries, agent’s listings,

requests by other Government agencies to search for rental

bond information, information supplied to Residential

Tribunal, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

6.2.2.5 Records relating to the refund of rental bonds which have

not been microfilmed or imaged, including mail and counter

claim forms and refund cheques.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

6.2.2.6 Original paper copies of documents which have been

microfilmed or imaged.

Retain a minimum


converted and

verified, then

destroy.

Retain in office.

6.2.3.0 Tenancy advice See 4.2.1.0 – Funding Programs.





6.3.0.0 Strata and community

schemes

Relates to the provision of information and mediation

services for strata and community schemes in N.S.W.

6.3.1.0 Adjudication Relates to application to the former Strata Titles

Commissioner for adjudications of disputes relating to Strata

Titles.

6.3.1.1 Strata adjudication registration records Retain a minimum

of 20 years after

action completed,

then destroy.

Retain in office.

6.3.1.2 Adjudication records, including application for adjudication,

summary of determination, correspondence, etc.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.

6.3.2.0 Information services

6.3.2.1 Routine correspondence, requests for information and

enquiries regarding strata schemes and community land

legislation.

Retain a minimum 2

years after action

completed, then

destroy.

Retain in office.





6.3.3.0 Mediation Relates to disputes about such issues as keeping pets,

damage to common property, repairs & noise levels, etc.

6.3.3.1 Records relating to the scheduling and administration of

mediation sessions, including manual registers, and

electronic scheduling systems.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain hard copies

in office 2 years,

thence off-site.

Retain electronic

data in office,

migrating data as

necessary.

6.3.3.2 Applications for mediation relating to strata and community

schemes, including correspondence, records of negotiations

and mediated agreements.

Retain a minimum

of 7 years after

action completed,

then destroy.

Retain in office 2

years, thence off-

site.