AFDA Express Version 2 – Publication

2019/00252500

Publication

2019

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

Introduction

The National Archives of Australia (National Archives) has developed this records authority to set out the requirements for keeping or destroying records for the general administrative function of Publication.

This records authority is based on the identification and analysis of the Publication function. This records authority sets out those records that need to be retained as national archives and specifies the minimum length of time that temporary records need to be kept. This records authority gives agencies permission under the Archives Act 1983, for the destruction of the temporary records described after the minimum retention period has expired. Retention periods for these temporary records are based on: an assessment of business needs; broader organisational accountability requirements; and community expectations.

As changes in circumstances may affect future records management requirements, this records authority may occasionally be amended by the addition of new classes and the variation of existing classes. The National Archives will notify agencies of any such changes.

Application of this Authority

The superseded records classes cannot be used to sentence records after the date of issue of this authority.

  1. This authority supersedes:
    • classes 1887-1893, 1895-1908, 1910, 1912-1932, 1934-1936, 1938-1950, 21002, 21003, 21188 and 21189 in the PUBLICATION function of the Administrative Functions Disposal Authority (2010); and
    • classes 20329-20337 in the PUBLICATION function of AFDA Express (March 2010).
  2. This authority should be used in conjunction with records authorities issued to agencies for their core business and other General Records Authorities issued by the National Archives.
  3. This records authority is to be used to determine how long records must be kept. Records are matched to the relevant function or core business and records class in the records authority.
    • Where the minimum retention period has expired and the records are not needed for agency business they should be destroyed as authorised in this records authority.
    • Records that have not reached the minimum retention period must be kept until they do.
    • Records that are identified as Retain as National Archives (RNA) are to be transferred to the National Archives of Australia for preservation.
  4. The Normal Administrative Practice (NAP) provision of the Archives Act 1983 gives agencies permission to destroy certain types of records without formal authorisation. This usually occurs where records are duplicated, facilitative or for short-term use only. NAP does not replace arrangements in this records authority but can be used as a tool to assist in identifying records for destruction together with this records authority and other records authorities specifically issued to an agency. The National Archives recommends that agencies develop and implement a Normal Administrative Practice policy. Advice and guidance on destroying records as a normal administrative practice and on how to develop a NAP policy is available from the National Archives' website at www.naa.gov.au.
  5. Records that are reasonably likely to be needed as evidence in a current or future judicial proceeding or are subject to a request for access under the Archives Act 1983, the Freedom of Information Act 1982 or any other relevant act must not be destroyed until the action has been completed.
  6. Records subject to a disposal freeze must not be destroyed until the freeze has been lifted. Further information about disposal freezes and whether they affect the application of this authority is available from the National Archives website at www.naa.gov.au.
  7. Where the method of recording information changes (for example from a manual system to an electronic system, or when information is migrated from one system to a new system) this records authority can still be applied, provided the records document the same core business. The information must be accessible for the period of time prescribed in this records authority. There is a need to maintain continuing access to the information, including digital information, for the periods prescribed in this records authority or until the information is transferred into the custody of the National Archives.
  8. In general, retention requirements indicate a minimum period for retention. Agencies may extend minimum retention periods if there is an administrative need to do so, without further reference to the National Archives. Where an agency believes that its accountability will be substantially compromised because a retention period or periods are not adequate, it should contact the National Archives for review of the retention period.
  9. Records coming within 'retain as national archives' classes in this authority have been determined to be part of the archival resources of the Commonwealth under section 3C of the Archives Act 1983. The determination of Commonwealth records as archival resources of the Commonwealth obliges agencies to transfer the records to the National Archives when they cease to be current and, in any event, within 15 years of the records coming into existence, under section 27 of the Archives Act 1983.
  10. Records in the care of agencies should be appropriately stored, managed and preserved. Agencies need to meet this obligation to ensure that the records remain authentic and accessible over time. Under Section 31 of the Archives Act 1983, access arrangements are required for records that become available for public access including those records that remain in agency custody.
  11. Appropriate arrangements must be made with the National Archives when records are to be transferred into custody. The National Archives accepts for transfer only those records designated as national archives, and in line with an approved transfer schedule.
  12. Advice on how to use this authority is available from your agency’s information manager. If there are problems with the application of the authority that cannot be resolved, please contact the National Archives.

Contact Information

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

Authorisation

RECORDS AUTHORITY 2019/00252500

Person to whom notice of authorisation is given:

Heads of Commonwealth institutions under the Archives Act 1983.

Purpose:

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

Determines records classed as 'Retain as national archives' in this records authority to be part of the archival resources of the Commonwealth under section 3C of the Archives Act 1983.

Application:

All records relating to the following general administrative business area: Publication.

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 if these actions take place with the consent of the agency responsible for the business documented in the records.

Authorised by:

Linda Macfarlane
Assistant Director-General (Acting)
National Archives of Australia

28 June 2019

Classes

Publication

The function of having works, irrespective of format, created or commissioned and issued for sale or distribution internally or to the public. Includes manual or electronic production (design, layout, typesetting, proofreading, printing, web publishing etc), and promotion and supply of publications by the organisation. Includes external publications (such as agency public websites, technical and issues papers, articles for professional journals, online reports) and publications which aim to promote the services and public image of the organisation, and internal publications (such as newsletters, circulars, procedure manuals etc), which are not produced for public distribution.

Includes publications in all formats, such as books, booklets, online publications, brochures, agency public websites and internal websites (intranets), conference proceedings, pamphlets, programs, newsletters, published reports (eg annual reports), published training material, multimedia (eg CD ROM), maps, plans and charts, posters, calendars, information sheets, serials and published articles, DVDs, CDs, video, audio tapes, film and other audio-visual publications.

Note: Where the production of published content is central to the core business of an agency (such as the creation of audio-visual productions by the Australian Broadcasting Corporation), specific coverage will be required within the agency’s own records authority.

The core activities include:

  • developing, managing and implementing corporate style, including creating agency style manuals and designing logos, letterheads and other stationery;
  • managing publication production, including design, layout, desktop publishing, proofreading, mark-up, printing and binding etc (includes paper, electronic, film, video and audio publications);
  • undertaking consultation with internal and external stakeholders;
  • negotiating, establishing, maintaining and reviewing agreements and contracts to support the publication function;
  • establishing and managing joint venture arrangements for publishing;
  • managing sales and pricing of publications, including liaising with retailers and undertaking market research to support publication development;
  • handling complaints, including complaints from the public about agency publication decisions;
  • distributing publications, including through sales (includes generating client address lists);
  • marketing and promotion of publications within the agency;
  • fulfilling compliance requirements, including relevant fiscal, legal, regulatory or quality standards and requirements (eg lodging legal deposit copies of publications; attaching privacy statements to agency websites; allocating ISBN and ISSN numbers and URL addresses);
  • managing intellectual property applications received seeking permission to reproduce material in which the agency holds copyright, including deciding on and implementing copyright licensing decisions;
  • managing applications made by the agency to reproduce material held under copyright by another agency, organisation or individual;
  • planning, conducting and facilitating audits, creating inventories and stocktaking; and
  • disposing of publications, including surplus and duplicate copies and those that are no longer current.

The performance of the function is supported by general activities such as:

  • developing and implementing policies and procedures;
  • providing and receiving advice;
  • receiving and handling publication related enquiries;
  • establishing, managing and participating in committees and meetings;
  • planning and reporting;
  • reviewing and evaluating; and
  • identifying, assessing and managing risks

Cross references to AFDA Express records authority

For establishing and managing the agency’s social media presence (eg agency Twitter, Facebook and Youtube accounts), including interactions with stakeholders via social media services, use EXTERNAL RELATIONS.

For agency branding campaigns and marketing, and advertising and information awareness campaigns that promote agency publications to external audiences, including promotional displays, official launches and similar events, use EXTERNAL RELATIONS.

For documenting compliance with freedom of information legislation, including compliance with the Information Publication Scheme (or equivalent), use TECHNOLOGY AND INFORMATION MANAGEMENT.

For managing publications and other information sources forming part of the agency library collection, including the disposal of non-agency publications, use TECHNOLOGY AND INFORMATION MANAGEMENT.

For managing the acquisition of goods and services to support the publication function, including tendering and contracting-out arrangements, use PROCUREMENT.

For managing financial transactions supporting publication activities, including the sale of publications and payment of royalties, use FINANCIAL MANAGEMENT.

For the establishment and general management of intellectual property, including handling infringements of an organisation’s intellectual property, use LEGAL SERVICES.

For developing and executing contracts under seal or deeds, including signed joint venture contracts under seal, use CONTRACTS UNDER SEAL/DEEDS.

Cross references to other records authorities

For researching, drafting and editing publication content, use the relevant function in an agency-specific records authority or an appropriate general records authority that corresponds with the topic of the publication.

Class no

Description of records

Disposal action

62613

Records documenting:

  • published copies of agency publications produced or commissioned by the agency before 1968 (ie before the commencement of legal deposit under the Copyright Act 1968);

  • master versions (ie final approved pre-publication version) of publications produced or commissioned by the agency, that:

    • document the agency’s responsibilities or obligations, or demonstrate processes by which the agency conducts business;

    • illustrate the implementation of government policies, initiatives and programs, or otherwise define the functions of government, have whole-of-government implications, or relay the government’s official position on a given topic;

    • are controversial in nature or relate to topics of public interest;

    • contain information of social, economic, environmental, cultural, scientific, research, technical or historical significance to the broader community;

    • support major publicity and community awareness campaigns in relation to the agency’s core business;

    • mark major anniversaries or significant events, celebrations or ceremonies, such as official openings of new buildings; or

    • were published only in electronic format on an agency’s public website prior to 17 February 2016 (ie prior to commencement of amendments to the Copyright Act 1968 permitting legal deposit of online publications).

    Includes publications in all formats, including audio-visual productions (eg agency produced films and video, including final versions of postproduction scripts and transcripts) and digital publications. Excludes agency public websites and intranets.

Note: Duplicates of agency publications (ie publication stock) may be disposed of when no longer required in accordance with Department of Finance guidance for the disposal of assets.

[For researching, drafting and editing publication content, use the relevant function in an agency-specific records authority or an appropriate general records authority that corresponds with the topic of the publication.

For published versions of agency publications produced from 1968, use class 62614.

For agency public websites, use classes 62615 and 62616.

For decommissioned internal websites (ie intranets), use class 62619.]

Retain as national archives

62614

Published copies of agency publications produced from 1968 (ie after commencement of legal deposit with the National Library of Australia under the Copyright Act 1968, which was extended to include the Commonwealth Library and Free Issues Scheme in 1970). Excludes agency public websites and intranets.

Note: Duplicates of agency publications (ie publication stock) may be disposed of when no longer required in accordance with Department of Finance guidance for assets disposal.

[For published versions of agency publications produced before 1968, use class 62613.

For master versions of agency publications (ie final approved prepublication versions), use class 62613.

For researching, drafting and editing publication content, use the relevant function in an agency-specific records authority or an appropriate general records authority that corresponds with the topic of the publication.]

Lodge copies with NLA and other deposit libraries as required by legal deposit legislation and the Commonwealth Library Deposit and Free Issue Scheme

62615

Agency public websites that are not harvested by the National Library of Australia.

[For decommissioned internal websites (ie intranets), use class 62619.

For researching, drafting and editing agency website content, including updates to agency websites, use the relevant function in an agency specific records authority or an appropriate general records authority that corresponds with the topic of the website.

For system logs recording changes to agency public websites and intranet sites, use TECHNOLOGY AND INFORMATION MANAGEMENT.

For contracts relating to the creation and maintenance of agency websites, use PROCUREMENT.

For the content of transactional business systems that are accessed through agency websites, use the relevant function in an agency-specific records authority or an appropriate general records authority.]

(1) Retain as national archives. Transfer copy in accordance with National Archives guidelines and advice; and (2) destroy when no longer needed for business use (decommissioned) after confirming transfer

62616

Agency public websites harvested by the National Library of Australia.

Destroy when no longer needed for business use (decommissioned) after confirming capture

62617

Records documenting agreements made when an agency vests Crown copyright in another author or person/organisation.

Destroy 50 years after date of agreement or after the expiry date as specified in the agreement

62618

Records documenting:

  • developing and implementing procedures supporting the publication function (eg agency manuals, handbooks, directives etc). Includes final versions;

  • internal and external committees formed to consider matters relating to the publication function. Includes establishment documentation, agenda, final versions of minutes, reports and tabled papers;

  • implementation and administration of the approved corporate style for agency documents, stationery and publications. Includes agency style manuals;

  • distribution of agency publications, through sales deliveries or other customer services. Includes address lists;

  • developing and implementing plans in support of the publication function, including agency-wide publication plans, publication-specific marketing plans and project plans for specific products or publications;

  • production processes for agency publications (regardless of format), including agency websites and audio-visual productions. Includes publication design, layout, mark-up, printing, binding, producing electronic media products and preparation of source files.

[For researching, drafting and editing publication content, use the relevant function in an agency-specific records authority or an appropriate general records authority that corresponds with the topic of the publication.

For documenting compliance with production related standards and statutory requirements, such as requirements for the assignment of identifiers (eg ISSN and ISBN numbers), use class 62619.

For master versions of agency publications (ie final approved prepublication versions), use classes 62613.

For final published copies of agency publications, use classes 62613 and 62614.

For published versions of agency public websites, use classes 62615 and 62616.

For decommissioned internal websites (ie intranets), use class 62619.]

  • receiving and responding to enquiries in relation to the agency’s publications;

  • stocktakes of agency publications (eg stocktake lists); and

  • working papers documenting the development of agency reports and reviews supporting the publication function. Includes drafts and stakeholder feedback.

[For final versions of agency reports and reviews supporting the publication function, use class 62619.]

Destroy 3 years after action completed

62619

Records documenting:

  • routine operational administrative tasks supporting the function; and

  • publication activities, other than those covered in classes 62613 to 62618.

Destroy 7 years after action completed