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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).
STATE RECORDS AUTHORITY OF NEW SOUTH WALES 2 OF 57
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).
STATE RECORDS AUTHORITY OF NEW SOUTH WALES 3 OF 57
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
STATE RECORDS AUTHORITY OF NEW SOUTH WALES 4 OF 57
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]
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
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 6 OF 57
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
of 1 year after data
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
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 7 OF 57
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.
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 8 OF 57
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
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 9 OF 57
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.
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 10 OF 57
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.
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 11 OF 57
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.
Description amended April 2016
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 12 OF 57
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
of 1 year after data
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.
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 13 OF 57
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
2 years after action
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
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 14 OF 57
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.
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 15 OF 57
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.
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 16 OF 57
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.
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 17 OF 57
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.
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 18 OF 57
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.
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 19 OF 57
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
of 1 year after data
entered and
verified, then
Retain in office.
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 20 OF 57
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
of 1 year after data
entered and
verified, then
Retain in office.
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 21 OF 57
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.
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 22 OF 57
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.
Use General retention and disposal authority: administrative
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.
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 23 OF 57
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.
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 24 OF 57
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
Use General retention and disposal authority: administrative
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.
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 25 OF 57
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.
Description amended April 2016
Department of Fair Trading
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No Function/Activity Description Disposal Action Custody
THE STATE RECORDS AUTHORITY OF NEW SOUTH WALES 26 OF 57
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
deregistration, then
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
2 years after action
completed, then
destroy
Entry added April 2016
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 27 OF 57
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
after dissolution of
co-operative - in
Description amended April 2016
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 28 OF 57
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
after dissolution of
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.
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 29 OF 57
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
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 30 OF 57
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.
Use General retention and disposal authority: administrative
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.
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 31 OF 57
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.
Use General retention and disposal authority: administrative
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.
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 32 OF 57
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
Use General retention and disposal authority: administrative
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.
Department of Fair Trading
DA No: DA48 Dates of coverage: 1924+
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THE STATE RECORDS AUTHORITY OF NEW SOUTH WALES 33 OF 57
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.
Use General retention and disposal authority: administrative
records for payment records.
Retain a minimum
of 7 years after
action completed,
then destroy.
Retain in office 2
years, thence off-
site.
Department of Fair Trading
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THE STATE RECORDS AUTHORITY OF NEW SOUTH WALES 34 OF 57
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-
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 35 OF 57
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.
Department of Fair Trading
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THE STATE RECORDS AUTHORITY OF NEW SOUTH WALES 36 OF 57
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.
Use General retention and disposal authority: administrative
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.
Use General retention and disposal authority: administrative
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.
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 37 OF 57
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.
Use General retention and disposal authority: administrative
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
information on selected recipients and Ministerial briefings re
Required as State
archives
Retain for 7 years
after action
completed - in
office 2 years,
thence off-site.
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 38 OF 57
distribution of monies.
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.
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 39 OF 57
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
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.
4.3.1.2 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.
4.3.1.3 Enquiries, provision of information, form letters, routine
correspondence re credit counselling, etc.
Retain a minimum
of 1 year after
action completed,
then destroy.
Retain in office.
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 40 OF 57
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
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.
4.3.2.2 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.
4.3.2.3 Enquiries, provision of information, form letters, routine
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.
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 41 OF 57
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.
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 42 OF 57
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.
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 43 OF 57
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.
Use General retention and disposal authority: administrative
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.
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 44 OF 57
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
claim finalised, then
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
claim finalised, then
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
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 45 OF 57
visits, field books, sketches and plans, photographs, etc. of 7 years after
claim finalised, then
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
of 1 year after data
Retain in office.
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 46 OF 57
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.
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 47 OF 57
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.
Description amended April 2016
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 48 OF 57
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.
6.1.2.3 Exhibits seized or obtained from companies and individuals
by Departmental officers in the course of investigations.
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.
6.1.2.4 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.
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.
Description amended April 2016
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 49 OF 57
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
2 years after action
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.
Entry added April 2016
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 50 OF 57
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
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 51 OF 57
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
deregistration, then
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
2 years after action
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.
Entry added April 2016
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 52 OF 57
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.
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 53 OF 57
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.
6.2.1.3 Exhibits seized or obtained from companies and individuals
by Departmental officers in the course of investigations.
Includes original records and other items of physical
evidence.
Retain a minimum
of 6 months after
action completed,
then return to
Retain in office.
Description amended April 2016
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 54 OF 57
owner.
6.2.1.4 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.
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,
Department of Fair Trading
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No Function/Activity Description Disposal Action Custody
THE STATE RECORDS AUTHORITY OF NEW SOUTH WALES 55 OF 57
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
of 1 year after data
converted and
verified, then
destroy.
Retain in office.
6.2.3.0 Tenancy advice See 4.2.1.0 – Funding Programs.
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 56 OF 57
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.
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 57 OF 57
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.