1. Purpose and scope
These notes describe general administrative conventions for the orderly maintenance of records. They address identification, custody and review of documents rather than the substantive rights or obligations recorded in them.
A record may include a signed instrument, an attachment, a dated communication or an entry in a maintained register. Its classification should reflect its administrative function and relationship to the relevant matter. A filename or storage location alone is not a reliable statement of a document's status.
2. Document custody and version control
For routine administration, it is useful to distinguish an authoritative record from working material and convenience copies. This distinction assists retrieval and reduces uncertainty when several versions circulate.
| Description | Administrative treatment |
|---|---|
| Record copy | The copy designated for the relevant file, with its associated approvals and attachments. |
| Working draft | Material under review, identified by a revision date or version reference. |
| Convenience copy | A reproduction retained for access or reference, without a separate designation as the record copy. |
| Superseded version | An earlier version marked with its relationship to the replacement document. |
A change to a document should be traceable through a short revision entry stating the date, the nature of the change and the version affected. An editorial correction should be distinguished from a change to operative wording.
3. Correspondence and acknowledgement
Incoming correspondence is easier to administer when its date of receipt, sender, subject and related file reference are recorded consistently. Where an enclosure is mentioned but absent, the file should preserve that fact rather than silently assume that the enclosure was received.
For clarity, administrative acknowledgements should state whether they confirm receipt only or also communicate a decision. The intended effect of a communication should be expressed in its wording and assessed in the context of the applicable instrument and rules.
Routine file entries
- Use a stable matter reference throughout the correspondence sequence.
- Keep attachments associated with the communication that introduced them.
- Distinguish the date of a document from the date it was received or filed.
- Record corrections without obscuring the original administrative entry.
4. Retention and periodic review
A retention schedule is an administrative tool for determining when a category of records should be reviewed. The review date should not be treated as an automatic instruction to destroy the record. Applicable requirements, continuing business needs and any preservation restriction should first be considered.
Where a matter remains unresolved, or a document is subject to a preservation instruction, routine disposal should be referred for review. A disposal entry should identify the record category, the basis for the decision, the date and the person responsible for authorising the action.
No universal retention period is proposed here. Appropriate periods depend on the jurisdiction, the nature of the record and the circumstances in which it is held.
5. Terminology and interpretation
The expressions “record copy”, “working draft” and “administrative file” are used descriptively in these notes. They do not determine admissibility, evidential weight, privilege, ownership or the enforceability of an instrument.
References to review, approval and acknowledgement describe separate administrative steps. Completion of one step should not be recorded as completion of another unless the underlying procedure expressly provides for that result.
Headings and reference numbers support navigation. They should be read with the associated text, including any qualification or exception stated in the relevant document.