Records Authority 2011/00275285

Cultural Collections
Collection Development and Management
Commercial Services Management
Exhibition Development and Management
Preservation Management
Public Program Management

25 October 2011

This is an accurate reproduction of the authorised records authority content, created for accessibility purposes.

Introduction


Application of this authority

Contact information

For assistance with this authority or for advice on other recordkeeping matters, please contact National Archives' Agency Service Centre.

Queen Victoria Terrace
Parkes ACT 2600

PO Box 7425
Canberra Mail Centre ACT 2610

Email: recordkeeping@naa.gov.au

Website: www.naa.gov.au

Authorisation

Person to whom notice of authorisation is given:

Heads of Commonwealth institutions responsible for the cultural collections of:
Australian Institute of Aboriginal and Torres Strait Islander Studies;
National Gallery of Australia;
National Library of Australia;
National Portrait Gallery;
Reserve Bank of Australia;
and other institutions to whom the Archives subsequently issues this Authority.

Purpose:

Authorises arrangements for the disposal of records in accordance with Section 24(2)(b) of the Archives Act 1983.

Application:

All core business records relating to:
Collection Development and Management, Commercial Services Management, Exhibition Development and Management, Preservation Management and Public Program Management.

This authority gives permission for the destruction, retention or transfer to the National Archives of Australia of the records described. This authority will apply only with the consent of the agency currently responsible for the business documented in the records described.

Signature of Margaret Chalker, Assistant Director-General, Government Information Management, National Archives of Australia, dated 25 October 2011

Margaret Chalker
Assistant Director-General
Government Information Management
National Archives of Australia

Classes

Collection Development and Management

The core business of managing the acquisition and control of collection items. Includes building frameworks for acquiring and managing items such as developing policies, procedures and establishing intellectual control systems. Also includes selecting, purchasing, receiving through donation and commissioning collection items, researching, registering, cataloguing and documenting items brought into the collection and managing digitisation programs to support access. Covers managing a public reference service to the collection and de-accessioning activities. Excludes preservation activities.
Activities undertaken to develop collection development management frameworks include:

  • developing policies and procedures;
  • developing long term strategic plans;
  • developing control mechanisms for managing the collection (eg registration, accessioning and catalogue systems); and
  • reviewing, evaluating and reporting on the overall performance of the core business.

Activities undertaken to acquire collection items include:

  • identifying items for purchase or commissioning;
  • receiving donations, transfers, commissioning or purchasing items;
  • acknowledging receipt of items;
  • researching provenance;
  • assessing significance and relevance of items against the collection policy;
  • valuing items;
  • managing incentive programs (eg Cultural Gifts Program);
  • preparing submissions to support a major acquisition;
  • preparing justification reports;
  • returning material assessed as unsuitable; and
  • transferring ownership including intellectual property rights.

Activities undertaken to manage collection items include:

  • accessioning, registering, cataloguing items into the collection;
  • updating the history of items in the collection (eg damage to items from security breaches);
  • labelling and storing items;
  • complying with regulatory requirements (eg obtaining permits, licences relating to some collection items);
  • undertaking stocktakes or surveys;
  • undertaking digitisation programs;
  • providing a special reference/access service to collection items;
  • reproducing copies of collection items for reference purposes;
  • managing intellectual property rights issues;
  • valuing collections; and
  • undertaking de-accessioning activities (eg by transfer, gift, exchange, sale).

General activities include:

  • preparing and presenting addresses;
  • providing and receiving advice;
  • auditing;
  • managing committees and meetings;
  • attending conferences;
  • delegating powers and authorising actions;
  • planning;
  • reporting, evaluating and reviewing; and
  • managing risks.

For meetings of heads of cultural institutions to develop strategic approaches to national collection activities, and meetings of the Australian Registrars Committee to cooperate on registration and collection management practices, use AFDA/AFDA Express – Government Relations.
For governing boards, use Governing Bodies.
For advisory councils, use Advisory Bodies.
For restoration, preservation and conservation of collection items, use Preservation Management.
For the selection and use of collection items in exhibitions, including loans, use Exhibition Development and Management.
For raising donations or sponsorship to acquire collection items, use Commercial Services Management.
For reproducing collection items for commercial purposes, use Commercial Services Management.
For the publication of articles and books using collection material written by agency staff, use AFDA/AFDA Express – Publication.
For placing digitised collection items on the agency's website, use AFDA/AFDA Express – Publication.
For the handling of collection material considered hazardous, use AFDA/AFDA Express – Occupational Health and Safety.
For managing library material held in research libraries of collection institutions, use AFDA/AFDA Express –  Information Management.

Class no Description of records Disposal action
28889

The following significant framework records which guide and direct the overall management of the core business:

  • policies (eg acquisition, de-accessioning, digitisation, registration or cataloguing policies; subject thesauri);
  • long term strategic planning documents;
  • core business evaluations, reviews and reports resulting in changes to framework policies and strategic planning;
  • and the following significant records of activities relating to the acquisition, management and control of collection items:
  • assessments and acquisition justifications;
  • acquisition documents (eg negotiations, agreements, transfers of ownership, sale documents, cultural gift arrangements, acknowledgements);
  • descriptive information (eg contextual, provenance, physical details);
  • control records (eg catalogues, acquisition registers, finding aids);
  • deaccessioning records; and
  • item history updates (eg records of security breaches where items are damaged).
Retain as national archives
53176 Acquisitions that do not proceed. Destroy 15 years after action completed.
28893 Records documenting collection valuations. Destroy 10 years after action completed.
54457 Records documenting intellectual property rights over collection items. Destroy 7 years after rights lapse.
28894 Digitised copies of collection items. Transfer to new owner when item is deaccession-ed or destroy if item is destroyed.
28896

Records documenting temporary access to collection items such as movement records.

[For updating the history of collection items, use RNA Class 28889.

For loans of collection items for display in exhibitions hosted by other organisations ie outward loans, use EXHIBITION DEVELOPMENT & MANAGEMENT – Class 53178].

Destroy 1 year after item has been returned.
28898

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • core business activities, other than those covered in classes 28889, 53176, 28893, 54457, 28894 and 28896.
Destroy 7 years after action completed.

Commercial Services Management

The core business of managing commercial services undertaken to increase the profile of the organisation and improve revenue generation. Includes developing policies and strategies, producing merchandise, monitoring and evaluating customer services, managing sales and controlling stock, marketing, franchising, licensing and hiring out facilities. Also includes seeking sponsorships and monetary donations. Covers both on-site and on-line commercial activities. Excludes the preparation of publications, but includes selling publications.

Activities undertaken in carrying out commercial services management include:

  • developing policies and strategies;
  • planning;
  • undertaking market and product research;
  • designing merchandise;
  • developing products (includes reproducing collection items);
  • managing intellectual property;
  • setting fees and charges;
  • managing retail services;
  • marketing and distribution;
  • facilities hire;
  • managing franchising, licensing and agreements;
  • collaborating and seeking partnerships;
  • managing joint venture agreements;
  • granting of licences;
  • seeking feedback;
  • undertaking surveys;
  • responding to enquiries about commercial products and services;
  • seeking monetary donations and sponsorships; and
  • stocktaking.

General activities include:

  • providing and receiving advice;
  • auditing;
  • managing committees and meetings;
  • delegating powers and authorising actions;
  • managing enquiries;
  • managing insurance and claims;
  • developing procedures;
  • reviewing, evaluating and reporting (including statistical reporting); and
  • managing risks.

For governing boards, use Governing Bodies.

For advisory councils, use Advisory Bodies.

For seeking sponsorships for exhibitions and developing and managing exhibitions, use Exhibition Development and Management.

For developing and managing public programs including Members/Friends programs, use Public Program Management.

For donation of collection items, including items donated using incentive programs such as the Cultural Gifts Program, use Collection Development and Management.

For reproducing collection items for reference purposes, use Collection Development and Management.

For managing financial transactions associated with commercial activities, use AFDA/AFDA Express – Financial Management.

For producing publications for sale, use AFDA/AFDA Express – Publication.

For the procurement of services of consultants and contractors and goods to support commercial activities, use AFDA/AFDA Express – Procurement.

For legal advice on commercial services issues, including intellectual property, use AFDA/AFDA Express – Legal Services.

For establishing on-line commercial facilities, use AFDA/AFDA Express – Technology and Telecommunications.

Class no Description of records Disposal action
53177 Sponsorship policy. Retain as national archives.
29005

Signed agreements and contracts under seal prior to 15 November 2005 and supporting records: Western Australia.

[For agreements and contracts not signed under seal use, COMMERCIAL SERVICES – Class 29067].

Destroy 21 years after completion or other termination of contract.
29006

Signed agreements and contracts under seal and supporting records: Victoria and South Australia.

[For agreements and contracts not signed under seal use, COMMERCIAL SERVICES – Class 29067].

Destroy 15 years after completion or other termination of contract.
29060

Signed agreements and contracts under seal and supporting records: New South Wales, Western Australia (from 15 November 2005), Queensland, Australian Capital Territory, Northern Territory and Tasmania.

[For contracts and agreements not signed under seal use, COMMERCIAL SERVICES – Class 29067].

Destroy 12 years after completion or other termination of contract.
29062

Commercial services records which guide and direct the overall management of the core business:

  • policies not covered in Class 53177 (eg setting the scope of services, product development, monetary donations management, advertising, pricing); and
  • reports and evaluations of commercial activities.
Destroy 10 years after action completed.
29064

The following commercial services management short term temporary records:

  • customer survey forms from which data has been summarised;
  • dispatch records; and
  • enquiries and responses about products and services.
Destroy 1 year after action completed.
29067

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • core business activities, other than those covered in classes 53177, 29005, 29006, 29060, 29062 and 29064.
Destroy 7 years after action completed.

Exhibition Development and Management

The core business of developing exhibitions, both permanent and temporary, including in-house, online and travelling exhibitions, and participating in other institutions' exhibitions with the aim of promoting, interpreting and providing access to collection items. Includes developing long term exhibition policies and strategic plans. Also includes planning and creating an exhibition, entering into partnerships, agreements and joint management arrangements and managing and evaluating the exhibition. Covers the management of inward and outward loans. Excludes organising launches, promoting exhibitions and managing visitors.

Activities undertaken to develop exhibition development management frameworks include:

  • developing and reviewing policies;
  • exhibition long term strategic plans; and
  • reviewing, evaluating and reporting on the overall performance of the core business.
Activities undertaken to develop and manage exhibitions include:
  • holding stakeholder consultations;
  • deciding on a theme;
  • developing an exhibition plan;
  • developing a design concept;
  • identifying and entering collaborative joint venture/partnerships;
  • finding sponsors;
  • undertaking research;
  • identifying collection objects for the exhibition;
  • arranging loans;
  • developing exhibition models and layouts;
  • constructing exhibition infrastructure;
  • preparing labels;
  • setting up the exhibition;
  • arranging travelling programs;
  • maintaining and repairing; and
  • evaluating and reporting on the exhibition.

General activities include:

  • providing and receiving advice;
  • establishing and managing agreements and joint ventures;
  • managing committees and meetings;
  • delegating powers and authorising actions;
  • planning;
  • managing risks; and
  • reporting, evaluating and reviewing.

For meetings of heads of cultural institutions to develop strategic approaches to collection operational issues and for meetings of other government and inter government committees (Australia and overseas), use AFDA/AFDA Express – Government Relations.

For governing boards, use Governing Bodies.

For advisory councils, use Advisory Bodies.

For organising exhibition openings, publicity, visitor attendance and feedback and education programs relating to exhibitions, use Public Program Management.

For seeking general sponsorships, use Commercial Services Management.

For seeking grant funding to support agency exhibitions (eg Visions of Australia grants), use AFDA/AFDA Express – Community Relations.

For publishing exhibition programs and catalogues and on-line exhibitions, use AFDA/AFDA Express – Publication.

For procuring the services of contractors and consultants to develop the exhibition, use AFDA/AFDA Express – Procurement.

For OH&S issues associated with mounting an exhibition, use AFDA/AFDA Express – Occupational Health and Safety.

Class no Description of records Disposal action
30125

The following significant framework records which guide and direct the overall management of the core business:

  • policies (eg Exhibition Policy, Loans Policy);
  • exhibition long term strategic planning documents;
  • core business evaluations, reviews and reports resulting in changes to framework policies and strategic planning;
  • strategic exhibition committee records;
and records of major or controversial exhibitions, including travelling exhibitions, (eg those attracting wide public appeal, located in prime gallery space, displaying objects recognised for their historic, artistic and social significance) including:
  • stakeholder consultations;
  • final designs, layouts and concept documents;
  • joint venture agreements;
  • research;
  • captions;
  • list of exhibits
  • ;
  • photographs of the exhibition;
  • summary record of sponsors;
  • final evaluation reports.

[For records of other exhibitions, use EXHIBITION DEVELOPMENT & MANAGEMENT – Class 30128

For openings of major or controversial exhibitions, use PUBLIC PROGRAM MANAGEMENT – Class 29131].

Retain as national archives.
53178

Records documenting outward loans of items including:

  • loan agreements;
  • handling instructions; and
  • pre and post loan condition reports.

[For the conservation treatment of collection items included in an exhibition, or damaged in a security breach, use PRESERVATION MANAGEMENT].

Transfer to new owner when item is deaccession-ed or destroy if item is destroyed.
30127

Records documenting inward loans of items for an exhibition including:

  • loan agreements;
  • handling instructions; and
  • pre and post loan condition reports.

[For the conservation treatment and for conservation management of items lent, and received on loan, use PRESERVATION MANAGEMENT].

Destroy 10 years after loan completed and details are recorded on collection item's control record.
30128

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • core business activities, other than those covered in classes 30125, 53178 and 30127.
Destroy 7 years after action completed.

Preservation Management

The core business of managing activities aimed at preserving cultural collections. Includes developing policies, devising strategies, planning and setting standards to preserve the ongoing integrity of collection items. Covers carrying out research and developing new techniques, providing preservation advice, undertaking conservation treatments to restore and repair damaged items and managing preservation copying. Includes monitoring collection items and carrying out preventive measures. Covers consulting with stakeholders on the meaning and interpretation of the item to determine the most appropriate conservation strategy. Also includes liaising with conservation associations, professional organisations and conservators in other agencies, including attending conferences, delivering and writing professional papers and holding workshops.

Activities undertaken to develop preservation management frameworks include:

  • developing policies and procedures;
  • developing standards; and
  • reviewing, evaluating and reporting on the overall performance of the core business.

Activities undertaken in carrying out preventive conservation activities include:

  • undertaking research;
  • developing strategies, policies and procedures (eg disaster preparedness strategies);
  • implementing strategies, policies and procedures;
  • undertaking collection surveys and risk assessments;
  • assessing outgoing and incoming loans; and
  • reporting, evaluating and reviewing.

Activities undertaken in carrying out treatment conservation activities include:

  • identification and assessment of collection objects requiring conservation treatment;
  • undertaking research to determine conservation approach;
  • consulting stakeholders (eg curators);
  • planning the treatment and carrying out the work;
  • reporting on treatment undertaken; and
  • carrying out periodic condition checks after treatment.

General activities include:

  • preparing and presenting addresses;
  • providing and receiving advice;
  • establishing and managing agreements and joint ventures;
  • auditing;
  • managing committees and meetings;
  • attending conferences;
  • delegating powers and authorising actions;
  • planning;
  • reporting, evaluating and reviewing;
  • managing risks; and
  • arranging preservation/conservation workshops and visits to conservation facilities.

For meetings of heads of cultural institutions to develop strategic approaches to collection operational issues, the National Collections Preservation Committee and for meetings of other government and inter government committees (Australia and overseas), use AFDA/AFDA Express – Government Relations.

For governing boards, use Governing Bodies.

For advisory councils, use Advisory Bodies.

For organising loans of material from and to other organisations, use Exhibition Development and Management.

For managing digitisation programs, use Collection Development and Management.

For the acquisition of conservation equipment and employing the services of contract conservators, use AFDA/AFDA Express – Procurement.

For health and safety management of conservation staff, use AFDA/AFDA Express – Occupational Health and Safety.

Class no Description of records Disposal action
29092

The following significant records documenting the preservation management core business:

  • scientific and technical research reports and investigations on specialist preservation issues;
  • framework preservation policies;
  • long term preservation plans;
  • specialist standards;
  • master set of manuals, handbooks detailing procedures to support specialists preservation activities; and
  • core business evaluations, reviews and reports resulting in changes to framework policies and strategic planning.
Retain as national archives.
29093 Records documenting conservation treatment on individual collection items. Transfer to new owner when item is deac-cessioned or destroy if item is destroyed.
29095

Records documenting implementation of preventive conservation activities applied to the whole collection including:

  • monitoring the condition of the collection (eg surveying);
  • rehousing of items;
  • pest control management activities; and
  • summaries of environmental monitoring.

[For records of daily monitoring of environmental conditions use class 29098].

Destroy 20 years after last action.
29098

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • core business activities, other than those covered in classes 29092, 29093, and 29095.
Destroy 7 years after action completed.

Public Program Management

The core business of developing and implementing public outreach and education programs to promote collections and managing visitor services. Includes creating management frameworks, including policies and procedures, and managing specific activities such as exhibition and publication launches, public events, education services, visits and tours, conferences, workshops, forums, seminars and lectures, liaising with the media and advertising. Also includes organising volunteers, supporting Friends and Member programs, participating in collaborative events and undertaking research to support activities. Excludes developing exhibitions and publishing material to support public program activities.

Activities undertaken to develop public program management frameworks include:

  • developing policies;
  • strategic planning; and
  • reviewing, evaluating and reporting on the overall performance of the core business.

Activities undertaken to develop public program activities include:

  • planning particular activities;
  • undertaking consultations with stakeholders;
  • undertaking research and market surveys;
  • arranging sponsorships, entering agreements, joint ventures and partnerships;
  • making funding applications;
  • managing visitors and arranging visits and tours;
  • organising and managing events (eg launches, openings, seminars, lectures, conferences and special events);
  • preparing and delivering speeches;
  • developing education resources and programs;
  • project management;
  • organising rosters;
  • liaising with the media;
  • marketing;
  • seeking visitor comments and feedback; and
  • complaint handling.

Activities undertaken to manage volunteer programs include:

  • managing recruitment and engagement;
  • managing probation programs;
  • organising induction and training programs;
  • managing performance; and
  • managing exit strategies.

Activities undertaken to support Friends and member programs include:

  • liaising with Friends groups;
  • overseeing benefit schemes; and
  • managing membership programs and events.

General activities include:

  • preparing and presenting addresses;
  • providing and receiving advice;
  • auditing;
  • managing committees and meetings;
  • delegating powers and authorising actions;
  • developing procedures;
  • planning;
  • reviewing, evaluating and reporting (including statistical reporting); and
  • managing risks.

For meetings of heads of cultural institutions to develop strategic approaches to collection operational issues and for meetings of other government and inter government committees (Australia and overseas), use AFDA/AFDA Express – Government Relations.

For governing boards, use Governing Bodies.

For advisory councils, use Advisory Bodies.

For developing and managing an exhibition, including final evaluation and reviews, use Exhibition Development and Management.

For seeking sponsorships for events, use Commercial Services Management.

For administering a grant management/scholarship/Fellowship programs, use Grant Management.

For procuring the services and contractors and consultants to carry out public programs activities, and for acquiring goods and services to support public programs, use AFDA/AFDA Express – Procurement.

For publishing material to support public programs activities, including developing and managing an agency website, use AFDA/ AFDA Express – Publication.

For developing an agency service charter, use AFDA/AFDA Express – Strategic Management.

For accidents involving volunteers, use AFDA/AFDA Express – Compensation and Occupational Health and Safety.

For security arrangements for public program events and managing security, use AFDA/AFDA Express – Property Management.

Class no Description of records Disposal action
29131

The following significant framework records which guide and direct the overall management of the core business:

  • policies (eg events and education policies, Friends/members and volunteers policies);
  • strategic planning documents;
  • consultations with user groups (eg educators, Indigenous people) that influenced the overall direction of the core business;
  • core business evaluations, reviews and reports resulting in changes to framework policies and strategic planning;
and records of openings of major or controversial exhibitions and public events (eg those attracting wide public appeal, located in prime gallery space, displaying objects recognised for their high historic, artistic and social significance) including:
  • programs;
  • opening speeches;
  • guest lists;
  • photographs;
  • advertising material;
  • visitor books;

and following other significant public program management records:
  • unpublished addresses given at lectures, seminars etc by well known public figures and/or experts in their field; and
  • final reports evaluating public events and program activities.

[For openings of exhibitions and events not considered major, use PUBLIC PROGRAM MANAGEMENT – Class 29134

For published material created to support public programs and events, eg education kits, use AFDA/AFDA EXPRESS – PUBLICATION].

Retain as national archives.
29133

The following short term temporary records:

  • conference, seminar, lecture registrations;
  • enquiries about public program activities;
  • staff rosters;
  • visitor booking records; and
  • visitor survey forms from which data has been summarised.
Destroy 1 year after action completed.
29134

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • core business activities, other than those covered in classes 29131 and 29133.
Destroy 7 years after action completed.
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