State Records Authority of New South Wales
Functional Retention and Disposal
Authority: DA201
Approved: 15 June 2005
Independent Commission Against
Corruption
This authority covers records documenting the
function of corruption prevention
State Records Authority of New South Wales
Functional Retention and Disposal Authority
DA no
DA201
Public office
SR file no 97/0445
Independent Commission Against Corruption
Scope
This functional retention and disposal authority
covers records documenting the function of
corruption prevention.
Authority
This functional retention and 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.
Authorised
15/6/2005
Date
David Roberts
Director
State Records Authority of New South Wales
State Records Authority of New South Wales
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How to use the Functional Retention and Disposal Authority
The disposal process
Disposing of State records involves assessing the value of records for future use,
identifying those State records that have continuing value as State archives and
identifying how soon the remainder can be destroyed or otherwise disposed of. Disposal
can also involve transfer of ownership or custody of records and the alteration of records.
This functional retention and disposal authority is issued 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.
This authority has been prepared as part of the records disposal program of the agency.
Two primary objectives of this program are to ensure that records are kept for as long as
they are of value and to enable the destruction or other disposal of records once they are
no longer of value. State Records’ decisions take into account both the administrative
requirements of the public office in discharging its functional responsibilities and the
potential research use of the records by the NSW Government and the public. It is the
duty of a public office, in submitting a draft functional retention and disposal authority for
approval, to disclose to State Records any information which affects the retention of the
records covered by the authority.
Purpose of the authority
This functional retention and disposal authority authorises the destruction or other
disposal of State records as required by the State Records Act.
Using the authority
This functional 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 is to be used to sentence records. Sentencing is the examination of records in
order to identify the disposal class to which they belong. This process enables the
sentencing officer to determine the appropriate disposal action for the records. Advice on
sentencing can be obtained from State Records.
Where the format of records has changed (for example, from paper-based to electronic)
this does not prevent the disposal classes from being used to sentence records which
perform the same function. The information 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 Disposal
Authority – Records of short term value that have been imaged). Public offices will need
to ensure that any software, hardware or documentation required to gain continuing
access to technologically dependent records is available for the periods prescribed.
Disposal action
Records that are identified as being required as State archives should be stored in
controlled environmental conditions. Control of these records should be transferred to
State Records when they cease to be in use for official purposes.
State Records Authority of New South Wales
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Records that have been identified as being authorised for destruction may only be
destroyed once a public office has ensured that all requirements for retaining the records
are met. Retention periods set down in this authority are minimum periods only and a
public office may 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, FOI requests)
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.
In some cases State Records may withhold authorisation for the disposal of a particular
disposal class or possibly a whole function or activity. This would be used where records
have been identified as having some immediate short term requirements for retention
such as pending legal action. These records will need to be re-appraised at the end of a
designated period. This re-appraisal process is necessary as the circumstances which
instigate the need for the records to be retained for a longer period may also affect the
‘value’ of the records.
Regardless of whether a record has been authorised 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 authorisation of State Records.
Custody
The custody column in the functional retention and disposal authority is designed to
assist public offices in identifying storage requirements for records prior to destruction or
transfer. The directions in this column are recommendations only and are not mandatory.
The type of information includes directions on how long records should be retained in the
office and how long they should be kept in off-site/ secondary storage. A
recommendation to retain records in the agency for more than 25 years does not imply
that a still in use determination has been approved by State Records (see Part 4, Section
28 of the State Records Act 1998).
Administrative change
This functional 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 functional retention and disposal authority that is less affected by administrative
change. The movement of specified functions between branches or units within the public
office does not require the authority to be resubmitted to State Records for approval.
However, when functions move from one public office to another State Records should be
notified. The public office that inherits the new function will need the approval of State
Records to use any existing functional retention and disposal authority to sentence the
records that document the function/s.
Amendment and review of this authority
State Records must approve any amendment to this authority. Public offices that use the
authority should advise State Records of any proposed changes or amendments to the
authority.
State Records recommends a review of this authority after five years to establish
whether its provisions are still appropriate. Either the public office or State Records may
propose a review of the authority at any other time, particularly in the case of change of
administrative arrangements or procedures which are likely to affect the value of the
records covered by this authority.
State Records Authority of New South Wales
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In all cases the process of review will involve consultation between State Records and the
public office. If the process of review reveals that this authority requires amendment, the
necessary amendments will be made and authorised.
Contact Information
State Records
PO Box 516 Kingswood NSW 2747
Telephone: (02) 8247 8627
Facsimile: (02) 8247 8626
E-mail: [email protected]
State Records Authority of New South Wales
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Functional Retention and Disposal Authority
Independent Commission Against Corruption
DA no: DA201
No
1.0.0
1.1.0
Dates of coverage: 1988 +
Function/Activity
CORRUPTION
PREVENTION
Advice
Description
Disposal Action
The function of minimising opportunities for corruption
by advising and working with the public sector on
improvements to procedures and work systems.
Refer to General Disposal Authority – Administrative
Records (GDA2) entry 6.0.0 - Conferences - for all
matters dealing with ICAC initiated forums, seminars
and conferences.
The activity of providing advice on ways to prevent
corruption.
1.1.1
Significant advice to Government Departments
involving substantial input/work by the ICAC.
Required as State
archives.
1.1.2
Routine advice not involving substantial input/work
by the ICAC. Includes - telephone based advice
and internal advice to other areas of the Commission.
Retain minimum
of 10 years after
action completed,
then destroy.
1.1.3
Advice to areas outside NSW Government (ie - Private
Sector, General Public and Overseas / International),
which is outside purvey of ICAC jurisdictional powers.
Retain minimum
of 10 years after
action completed,
then destroy.
1.2.0
1.2.1
Liaison
Custody
Transfer 10 years
after action completed.
The activity of liaising with Government agencies and
other organisations regarding corruption prevention.
Records relating to liaison with other Government
agencies / departments, the private sector, other
organisations and overseas designed to facilitate
general exchange of information.
State Records Authority of New South Wales
Retain minimum
of 3 years after
last action, then
destroy.
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Independent Commission Against Corruption
DA no: DA201
No
1.3.0
Dates of coverage: 1988 +
Function/Activity
Education
Description
Disposal Action
The activity of educating both the general public and the
public sector about the detrimental effects of corruption
and the benefits which emanate and flow from actions
taken to minimise corruption. Includes - organising and
hosting events, exhibitions, country visits and producing
brochures, promotional materials, videos & advertising.
Can be in the form of programs, campaigns and projects.
1.3.1
Master copies of promotional material illustrative
of educational campaigns and projects.
Required as
State archives.
1.3.2
Records relating to educational projects and campaigns
designed to raise awareness of corruption prevention.
Includes - rural community education (RAROS), field
days and country visits.
Records relating to the Commission's participation in
and contribution towards events held by various interest
groups, associations & organisations i.e. Youth Week,
Law Week, the Royal Easter Show, annual conferences,
regional shows and field days in the context of educating
the public about activities of the ICAC and promoting the
work and image of the Commission.
Retain minimum
of 15 years after
last action, then
destroy.
Retain minimum
of 10 years after
last action, then
destroy.
Collected miscellaneous information and resources
used to facilitate and support educational activities.
Includes – Education working files.
Retain minimum
of 10 years after
last action, then
destroy.
1.3.3
1.3.4
Custody
State Records Authority of New South Wales
Transfer when
reference use ceases.
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Independent Commission Against Corruption
DA no: DA201
No
1.4.0
Dates of coverage: 1988 +
Function/Activity
Research
Description
Disposal Action
Custody
The activity of conducting research to enquire and
investigate into matters associated with corruption in
order to discover facts, principles and areas of interest.
Used to support and facilitate the development of
projects, standards and guidelines.
1.4.1
Records relating to research projects and substantive
surveys. Includes – research rationale & proposals,
preliminary scope & outline of research projects,
research reports and summarised survey results.
Required as
State archives.
1.4.2
Records relating to development and conduct
of routine surveys and questionnaires.
1.4.3
Raw data, response forms and materials
originating from surveys and questionnaires.
Retain minimum
of 15 years after
last action, then
destroy.
Retain minimum
of 5 years after
data analysed,
then destroy.
1.4.4
Records relating to internal research work performed
for other ICAC business units. Includes – consultation
and evaluations.
1.4.5
Collected miscellaneous information and resources
used to facilitate and support various research activities.
Includes – research working files.
State Records Authority of New South Wales
Transfer when
reference use ceases.
Retain minimum
of 5 years after
last action, then
destroy.
Retain minimum
of 10 years after
last action, then
destroy.
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Independent Commission Against Corruption
DA no: DA201
No
2.0.0
2.1.0
2.1.1
Dates of coverage: 1988 +
Function/Activity
COMPLAINTS
ASSESSMENT
Enquiries
Description
Disposal Action
Custody
The function of assessing complaints and allegations
about corrupt behaviour and misconduct.
SEE – 3.0.0 where a Preliminary Inquiry or Formal
Investigation has been initiated.
The activity of evaluating complaints and allegations
and determining further action to be taken. Legacy
“old system” and NSW Police complaint files should
be sentenced according to the categories hereunder.
Includes – records of protected disclosures.
Allegations relating to matters involving misconduct
and public sector corruption that do not proceed
to a Formal Investigation. Includes legacy protests
against enquiry decisions.
Retain minimum
of 10 years after
action completed,
then destroy.
2.1.2
Complaints outside the jurisdiction of the ICAC and
unsubstantiated allegations of a minor, insignificant or
unspecified nature.
Retain minimum of
5 years after action
completed, then
destroy
2.1.3
Records relating to basic routine advice regarding
corruption and logging of interim notes of telephone
enquiries. Includes - Telephone Register Logbooks
(red covers) used by Assessment Officers; notes in
corporate case note system (ICS) and telephone
enquiry tally sheets (statistics).
Retain minimum
of 2 years after
last action, then
destroy.
State Records Authority of New South Wales
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Independent Commission Against Corruption
DA no: DA201
No
Dates of coverage: 1988 +
Function/Activity
Description
Disposal Action
2.1.4
Legacy records relating to the management
and handling of frivolous or vexatious complaints.
Includes - procedures and guidelines associated
with this activity.
Retain minimum
of 10 years after
action completed,
then destroy.
2.1.5
Legacy records relating to the hand-over from ICAC to
Police Integrity Commission (PIC) of responsibility for
handling complaints against NSW Police Officers.
Retain minimum
of 15 years after
action completed,
then destroy.
2.2.0
Reporting
(Notifications)
The activity of receiving information about alleged
corrupt conduct from complainants and other
Government agencies reporting under Section 10
and Section 11 of the ICAC Act.
2.2.1
Records relating to schedule notifications to the ICAC of
possible corrupt conduct within the NSW Public Sector
under sections 10 and 11 of the ICAC Act.
2.2.2
Summary reports / schedules of complaints against
NSW Police under sections 10 & 11 of the ICAC Act
(formerly an ICAC responsibility and now handled
by the Police Integrity Commission). Legacy records.
3.0.0
INQUIRIES
3.1.0
Investigations
Custody
Retain minimum
of 15 years after
last action, then
destroy.
Retain minimum
of 15 years after
last action, then
destroy.
The function of conducting Preliminary Inquiries and
Formal Investigations into alleged serious or systemic
public sector corruption or misconduct.
The activity of exposing significant misconduct and
corrupt conduct in the public sector. Involves the
exercise of formal statutory powers under the ICAC Act.
State Records Authority of New South Wales
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Independent Commission Against Corruption
DA no: DA201
No
Dates of coverage: 1988 +
Function/Activity
Description
Disposal Action
Custody
3.1.1
Records relating to Terms of Reference,
including – scope and purpose of preliminary
investigations and subsequent hearings.
Required as
State archives.
Transfer 10 years
after action completed.
3.1.2
Records relating to specific Inquiry and Investigation
cases. Includes - Formal Powers, Tasking, Financial
Analysis, Surveillance, Profiles, ORC Reports, Final
Reporting, Witnesses, Briefs, Statements,
Summons and Public Comment. Includes –
legacy old system Enquiry records documenting
other substantial Inquiries and Investigations.
Records relating to matters referred to another agency
in accordance to sections 53 and 54 of the ICAC Act for
separate action to the main Inquiry file. Includes –
responses and liaison with all interested parties.
Required as
State archives.
Transfer 10 years
after action completed.
Official diaries of ICAC Investigators recording
the hours at which duties are performed, the nature
and time spent on each duty, places visited in the course
of an inquiry and the names of the persons interviewed
or seen.
Notebooks created by ICAC Investigators detailing
information obtained and events having occurred
whilst an Officer is performing official duties.
Retain minimum
10 years after
last action, then
destroy.
Official diaries and notebooks of ICAC Investigators
where the inquiry involves the investigation of a public
official in relation to allegations of misconduct or
illegality towards or involving a child.
Retain minimum of
10 years after last
action, or until child
attains or would
have attained the
age of 25 years,
3.1.3
3.1.4
3.1.5
3.1.6
State Records Authority of New South Wales
Retain minimum
of 15 years after
action completed,
then destroy.
Retain minimum
10 years after
last action, then
destroy.
10 of 28
Independent Commission Against Corruption
DA no: DA201
No
Dates of coverage: 1988 +
Function/Activity
Description
Disposal Action
whichever is the
longer, then
destroy
Retain in agency.
3.1.7
Indemnity Protection for witnesses and informants,
as provided by the Attorney-General’s Department.
3.1.8
Highly confidential and sensitive records dealing
with ICAC relations and liaison with informants.
Retain in agency.
3.1.9
Records relating to the administration of seized
documents and other evidential materials / exhibits.
There is one property working file for every Formal
Investigation.
Retain until
reference use
ceases, then
destroy.
Records relating to general Task Force administration.
Includes – working files.
Retain minimum
of 5 years after
last action, then
destroy.
3.1.10
USE – 3.1.2 for records dealing with a specific Formal
Inquiry or Investigation.
Records relating to media matters. Includes –
media strategies, reports and updates; responses
to journalist queries & reactions; briefing papers
for journalists and other external persons; media
correspondence, statements and action plans.
3.1.11
3.2.0
Information Access
Custody
Retain minimum
of 5 years after
last action, then
destroy.
The activity of receiving information from
other Government bodies. Includes - the rights
and agreements permitting access by the ICAC.
State Records Authority of New South Wales
11 of 28
Independent Commission Against Corruption
DA no: DA201
No
Dates of coverage: 1988 +
Function/Activity
Description
Disposal Action
3.2.1
Records relating to requests, reasons and permissions
for ICAC to access other databanks eg. Eaglenet, RTA,
REVS, AUSTRAC, CRIMTRAC. Includes - proposals and
liaison, authorised staff access, external database
connections / computer parameters and agreements /
memoranda of understanding (MOU's).
Retain minimum
of 5 years after
last action, then
destroy.
3.2.2
Records relating to information and database searches –
eg. IPND and CCR requests - where there are no results.
Retain minimum
5 years after last
action, then destroy.
USE – 3.1.2 where results are obtained.
3.3.0
Witnesses
The activity of collecting and collating evidential based
information from individuals associated with particular
Enquiries and Investigations. Includes - records related
to the management of witnesses.
3.3.1
Records relating to witness administration and
procedures. Includes - reviews and working files,
serving NSW Police Officers, witness management
and use of statements and administrative matters.
Retain minimum
of 10 years after
last action, then
destroy.
3.3.2
Records relating to witness summons matters under
section 35 of the ICAC Act.
Retain minimum
of 10 years after
last action, then
destroy.
USE – 3.1.2 if related to a specific Formal Investigation.
3.3.3
Custody
Records relating to the forms of oaths to be used in
hearings for the swearing of witnesses according to
religious beliefs or their absence. Includes - procedures
and general working files.
State Records Authority of New South Wales
Retain minimum
5 years after last
action, then destroy.
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Independent Commission Against Corruption
DA no: DA201
No
Dates of coverage: 1988 +
Function/Activity
3.3.4
Description
Videotape recordings of witness interviews.
Note: These recordings can be part of a Enquiry,
Preliminary Inquiry, Formal Investigation or Hearing.
3.3.5
Sealed audiocassette masters of recorded witness
statements, includes - name and signature of the
witness. Also known as Records of Interviews.
SEE – 3.1.2 for transcript of specific witness statements.
3.3.6
Approvals to copy audiocassette witness
statement recordings. Legacy records.
3.3.7
Records relating to the formulation, implementation
and promulgation of witness expense policy. Includes –
general working files.
Records relating to all matters associated with
applications for reimbursement of expenses
incurred from witnesses attending ICAC hearings.
3.3.8
3.4.0
3.4.1
Prisoners
Disposal Action
Custody
Retain minimum
of 5 years after
conclusion of the
matter, then
destroy.
Retain minimum
of 15 years after
last action, then
destroy.
Retain minimum
of 2 years after
conclusion of the
matter, then
destroy.
Retain until
superseded,
then destroy.
Retain minimum
of 6 years after
last action, then
destroy.
The activity of instigating and managing access
to prisoners attending at ICAC hearings.
Records relating to custodial arrangements
for prisoners attending at the ICAC.
State Records Authority of New South Wales
Retain minimum
of 10 years after
last action, then
destroy.
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Independent Commission Against Corruption
DA no: DA201
No
Function/Activity
3.4.2
3.5.0
3.5.1
Dates of coverage: 1988 +
Hearings
Description
Disposal Action
Records relating to access to prisoners. In accordance
with section 39 of the ICAC Act, the Commissioner can
direct a Gaol Governor to produce a prisoner before the
Commission. Includes - requests to interview inmates
in relation to Inquiries / Formal Investigations.
The activity of examining and making determinations
of evidential information and matter.
Retain minimum of
10 years after last
action, then
destroy.
Audio and Elfin cassette recordings
of evidence heard in ICAC hearings.
Retain minimum of
5 years after
conclusion of the
matter, then
destroy.
Retain minimum of
5 years after
conclusion of the
matter, then
destroy
Retain minimum of
10 years after last
action or, where the
hearing relates to
allegations of
misconduct or
illegality towards or
involving a child,
until the child
attains or would
have attained the
SEE – 3.6.1 for transcriptions of specific hearing sittings.
3.5.2
Records relating to administration, management
and co-ordination of hearing and transcript activities.
Includes - Associate working files.
3.5.3
Commissioner’s Bench Book containing ad hoc notes and
interim remarks made by the sitting Commissioner as
he/she presides over a hearing.
State Records Authority of New South Wales
Custody
14 of 28
Independent Commission Against Corruption
DA no: DA201
No
Dates of coverage: 1988 +
Function/Activity
Description
Disposal Action
Custody
age of 25 years,
whichever is the
longer, then
destroy.
3.5.4
Associate's Books maintained for each hearing.
Information recorded by the Associate includes –
hearing details; names of the sitting Commissioner,
Legal Associate, Counsel Assisting, lawyers; witness
details; s.112 Suppression Orders; s.138 Declarations
and Applications; Adjournment and Leave applications.
Retain minimum
10 years after
last action, then
destroy.
3.5.5
Legacy records relating to general non-specific matters
dealing with rural sittings, country hearings and trips.
Includes – working files.
Retain minimum
10 years after
last action, then
destroy.
3.5.6
Press notifications, law listings and internal staff
notices that a hearing is to be held. Legacy files.
3.5.7
Records relating to managing and administering
Suppression Orders and variations of, as applied
to hearings transcript.
3.5.8
Copies of briefs of evidence that are prepared and
sent to the Director of Public Prosecutions (DPP).
Retain minimum
6 months after
last action, then
destroy.
Retain in agency,
until reference
use ceases, then
destroy.
Retain minimum
of 10 years after
last action, then
destroy.
Retain minimum
of 10 years after
3.5.9
USE – 3.1.2 if related to a specific Formal Investigation.
Working files documenting the processes associated with
drafting, preparing and administering briefs of evidence.
State Records Authority of New South Wales
15 of 28
Independent Commission Against Corruption
DA no: DA201
No
Dates of coverage: 1988 +
Function/Activity
Description
Disposal Action
Custody
last action, then
destroy.
3.6.0
3.6.1
Transcript
The activity of managing and producing a written
copy of all evidence examined at Commission Hearings.
Unsuppressed transcripts of Formal Investigation hearing
sessions.
3.6.2
Suppressed media and public copies
of transcripts for general use. Legacy files.
3.6.3
Working files relating to transcription. Includes – logs
and details of recordings, notes and receipts (Auscript),
ad hoc corrections, network transfers, ISYS retrieval,
mail despatch, providing copies and reports to the
public, appearances, providing credit, Legal Associate's
task completion summaries ("Q" Forms).
3.6.4
Records relating to transcription administration and
documentation provided by the contracted service agent
together with audiocassette tapes containing recorded
evidence from each hearing session. Information
contained on the log sheets includes – date, name
and status (public / private) of the hearing; presiding
Commissioner and monitor; starting times of each side
of every tape used; names of witnesses & corresponding
tape numbers and hearing adjournment details.
State Records Authority of New South Wales
Required as
State archives.
Transfer 10 years
after completion of
Formal Operation.
Retain minimum of
12 months or when
administrative uses
ceases, whichever
is the longer, then
destroy.
Retain minimum
of 5 years after
conclusion of the
matter, then
destroy.
Retain minimum
of 5 years after
conclusion of the
matter, then
destroy.
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Independent Commission Against Corruption
DA no: DA201
No
Dates of coverage: 1988 +
Function/Activity
Description
3.6.5
Records relating to fees and charges for providing copies
of transcripts to the public on request. Legacy records.
3.6.6
Records relating to Elfin tape recordings. Includes verifications and checks, Legal Associate certification and
countersigning and other information such as the date of
the recording; time commenced and concluded; name of
recording monitor and service agent (eg Auscript).
3.6.7
Transcript working files. Includes - hearing profiles,
daily work sheets, client lists and witness lists.
3.7.0
3.7.1
Intelligence and
Operations Support
Disposal Action
Custody
Retain minimum
of 6 years after
last action, then
destroy.
Retain minimum
of 5 years after
conclusion of the
matter, then
destroy.
Retain minimum of
2 years after
conclusion of the
matter, then
destroy.
The activity of gathering, collating and analysing
information and undertaking associated technical
functions which serve to assist the Commission in
its investigation and corruption prevention role.
SEE - 3.1.2 for Operations debriefings.
Records relating to the collection, collation, access,
dissemination, exchange and sharing of general
intelligence with other law enforcement agencies.
Includes – persons of interest and intel profiles.
State Records Authority of New South Wales
Retain until no
longer needed
for Operational
or Investigative
purposes, then
destroy.
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Independent Commission Against Corruption
DA no: DA201
No
Dates of coverage: 1988 +
Function/Activity
Description
Disposal Action
3.7.2
General background information, issues and liaison
dealing with non-specific intelligence matters,
including – newsletters, bulletins, urine sampling,
profiling, working files, intel methodology and
resource materials.
Retain minimum of
5 years after last
action date, then
destroy.
3.7.3
Records relating to matters dealing with financial
analysis methodology conducted by ICAC Investigators.
Retain minimum of
5 years after last
action date, then
destroy.
Retain minimum of
7 years after action
completed, then
destroy.
3.7.4
3.7.5
3.7.6
3.7.7
USE – 3.1.2 if related to a specific Formal Investigation.
Records relating to forensic handwriting analysis,
including the organisations used for this function.
USE – 3.1.2 - if related to a specific Preliminary Inquiry
or Formal Investigation.
Records relating to background research and
development for provision of equipment and facilities
to support the intelligence function. Includes - working
files and matters dealing with SIRG/SOD/SRAU projects,
reports and administration / liaison matters.
Records of all matters dealing with Strategic Intelligence
Research Group (SIRG) tasking and projects. Legacy
records. Includes – general working files.
Records relating to codenames for Formal Investigations
and Preliminary Inquiries. Includes – working files.
State Records Authority of New South Wales
Custody
Retain minimum of
5 years after last
action date, then
destroy.
Retain minimum of
5 years after last
action date, then
destroy.
Retain until
reference use
ceases, then
destroy.
18 of 28
Independent Commission Against Corruption
DA no: DA201
No
Dates of coverage: 1988 +
Function/Activity
Description
Disposal Action
3.7.8
Records relating to Operations reports and projects.
Includes - working files dealing with technical testing,
counter measures, software, training, use of powers etc.
Retain minimum of
5 years after last
action date, then
destroy.
3.7.9
Operations Support Manual. Includes - documentation
relating to procedures, proposals for the Investigations
Manual; use of coercive powers; information for
witnesses; handling Commission documents; property
movement and control; official diary instructions;
informants & assumed identities; witness statements
policy; indemnities; witness expenses policy; complaints
against staff; natural justice; use of tape recordings in
interviews; periodic reviews and reporting to the
Operations Review Committee (ORC).
Required as
State archives
Records dealing with review of
the Operations Support Manual.
Retain minimum of
10 years after last
action date, then
destroy.
3.7.10
3.8.0
3.8.1
Surveillance
The activity of observing, gathering and recording
evidence using covert and overt methodologies.
Legacy records relating to matters dealing
with internal service applications & approvals
to conduct operational surveillance activities.
USE - 3.1.2 if related to a specific Formal Investigation.
State Records Authority of New South Wales
Custody
Transfer when
reference use ceases.
Retain until no
longer needed
for ongoing
Operational or
Investigative or
legal purposes,
then destroy.
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Function/Activity
3.8.2
Description
Photographic records, negatives and images
detailing various field activities & operations.
Note: Copies of specific photographs are held
on the relevant Formal Investigation files.
3.8.3
Records relating to Covert Operations. Includes working files, covert team instructions, resource
deployment, surveillance requests and group tasking,
arrangements for provision of vehicles from the
Premier's Department and reports of any accidents
or infringements.
Operational reports relating to the management of
surveillance operations & activities. Includes – routine
management reports relating to overall operations to
facilitate ongoing costings, resource management etc.
3.8.4
USE – 3.1.2 for reports detailing outcomes of
surveillance activities related to a specific Inquiry
or Formal Investigation.
Records relating to technical aspects of telephone
interceptions and listening devices. Includes - MOU's,
working files, procedures, movement reports and liaison.
3.8.5
4.0.0
COMMITTEES
Disposal Action
Custody
Retain until no
longer needed
for Operational
or Investigative
purposes, then
destroy.
Retain minimum of
5 years after last
action date, then
destroy.
Retain minimum of
5 years after last
action date, then
destroy.
Retain minimum of
5 years after last
action date, then
destroy.
The function of forming and making determinations and
decisions through a formal committee structure. Includes
management and administration of Committees.
State Records Authority of New South Wales
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4.1.0
Dates of coverage: 1988 +
Function/Activity
Operations Review
Committee (ORC) &
Assessment Panel
Description
Disposal Action
Custody
The Operations Review Committee (ORC) oversees the
investigative function of the ICAC. It receives reports
and recommendations from ICAC (primarily the
Assessment Panel and Commissioner) and
determines whether Enquiries & Investigations
should continue, be discontinued or be escalated.
4.1.1
Records of meetings of the Committee. Includes agenda, minutes, reports, briefings and submissions
from the Assessment Panel on individual Enquiry matters
and NSW Police complaints reports and schedules.
Required as
State archives.
Transfer 10 years
after action completed.
4.1.2
Records of reports to the Committee and advice
provided by the Committee regarding ICAC operations.
Required as
State archives.
Transfer when
reference use ceases.
4.1.3
Records documenting formulation, implementation and
promulgation of policy and procedures relating to the
Commission.
Required as
State archives.
Transfer when
reference use ceases.
4.1.4
Records relating to Committee administration,
support and facilitation. Includes - general working files,
correspondence, guidelines, routine liaison and monthly
statistics.
Retain minimum
of 10 years after
last action, then
destroy.
State Records Authority of New South Wales
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Function/Activity
4.1.5
4.2.0
Dates of coverage: 1988 +
Description
Records held by ICAC relating to routine reviews
and audits of information and reports provided by
the Committee. Includes – implementation of
Committee advisings and statutory accountabilities.
Parliamentary Joint
Committee on the
ICAC (PJC)
Disposal Action
Custody
Retain minimum
of 10 years after
last action, then
destroy.
The activity of liaising with and reporting to the
Parliamentary Joint Committee which oversights
Commission activities, examines trends in corrupt
conduct and through which ICAC reports to Parliament.
4.2.1
Records created and held by the ICAC relating
to Committee decisions and advisings regarding
Commission activities and jurisdictional powers
and reports to or from the Committee. Includes –
records of meetings and submissions between ICAC
and the Committee, responses to questions on notice,
discussion papers, joint briefings, findings,
determinations and related documentation.
Required as
State archives.
4.2.2
Records created and held by the ICAC relating to routine
liaison with the Committee and implementation of
Committee decisions and advisings. Includes –
questions on notice.
Retain minimum
of 10 years after
last action, then
destroy.
State Records Authority of New South Wales
Transfer 10 years
after action completed.
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Independent Commission Against Corruption
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Dates of coverage: 1988 +
Function/Activity
4.2.3
Description
Records documenting formulation, implementation and
promulgation of policy and procedures relating to ICAC
relations with the Committee. Includes – copies of
Committee reports and documents.
5.0.0
PROTECTIVE
SERVICES
The function of identifying and managing situations
which have the potential to be harmful or dangerous.
5.1.0
Risk Management
The activity of managing and implementing risk
minimisation strategies, involving identification,
remediation and communication.
Disposal Action
Retain until
reference use
ceases, then
destroy.
5.1.1
Records relating to serious incidents of unauthorised
disclosures and leaks, building access, theft, intruders,
bomb threats, event register, loss reports, staff / witness
protection and threat / risk assessment which have
substantial impact on ICAC operations and policies.
Required as
State archives.
5.1.2
Records relating to management of other incidents of
unauthorised disclosures and leaks, building access,
theft, intruders, bomb alerts, event register, loss
reports, staff / witness protection and threat / risk
assessment. Includes - working files, projects,
procedures etc.
Legacy records relating to on-site accommodation
arrangements and physical security for protected
witnesses, persons of interest and prisoners.
Retain minimum of
7 years after action
completed, then
destroy.
5.1.3
State Records Authority of New South Wales
Custody
Transfer when
reference use ceases.
Retain minimum of
5 years after action
completed, then
destroy.
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Function/Activity
5.1.4
5.2.0
5.2.1
5.2.2
Dates of coverage: 1988 +
Description
Records documenting all procedures and activities
dealing with managing and handling of emergencies and
evacuations. Includes - security awareness briefings, fire
safety certification and warden inspections.
Security
Management
The activity of protecting personnel, premises,
equipment and information against deliberate
damage, sabotage or observation.
Records dealing with all activities associated with
building and perimeter security. Includes - monitoring,
incidents, access to premises, patrols, inspections,
incident reports and working files.
Exception reports of alarms and perimeter violations
and electronic access (EAC) security reports.
USE - GDA2 - section 23.20.0 - for security systems.
5.2.3
5.2.4
5.2.5
Records in all formats dealing with electronic access
control systems / cards and permissions to access and
enter controlled areas of premises. Includes – matters
relating to EAC cards and DKS keys.
Service Register / Log Books for security and fire
system faults and routine periodic maintenance.
Records relating to security services provided by NSW
Police Special Constables. Includes – service agreements
and MOU's, visitor escorts, rosters, issues, reports.
State Records Authority of New South Wales
Disposal Action
Custody
Retain minimum of
5 years after action
completed, then
destroy.
Retain minimum of
5 years after last
action, then
destroy.
Retain minimum
of 1 year after
last action date,
then destroy.
Retain minimum
of 5 years after
action completed,
then destroy.
Retain minimum
of 2 years after
action completed,
then destroy.
Retain minimum
of 7 years after
action completed,
then destroy.
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5.2.6
5.2.7
5.2.8
5.2.9
Dates of coverage: 1988 +
Function/Activity
Description
Reports, notes and messages made by Special
Constables relating to security issues and incidents
occurring during duty shifts. Includes - Incidence and
Patrol Log Sheets and shift hand-over Duty Log Books.
Legacy Records relating to personal security protection
arrangements for the Commissioner, Management
and ICAC Officers. Includes - VIP transport, chauffeur
services, etc.
Records relating to scoping and mapping of all security
protection measures for Formal Investigations, including
witnesses, visitors, attendees, staff, premises and
operation plans.
Security camera (CCT) images of hearing
attendees, persons of interest and witnesses.
5.2.10
Register of keys, access permissions and combinations
for safes / strong rooms etc. Includes - access control
bars, briefcases, locks and cabinets.
5.2.11
Records relating to details of ICAC visitors provided
on arrival to the Commission. Includes – information
on the purpose and nature of visit, date, time and
name of visitor and ICAC Officer visited, number
of visitor's pass and/or number of EAC access card.
Disposal Action
Custody
Retain minimum
of 5 years after
action completed,
then destroy.
Retain minimum
of 5 years after
action completed,
then destroy.
Retain minimum
of 5 years after
action completed,
then destroy.
Retain minimum
of 1 year after
last action, then
destroy.
Retain until
reference use
ceases, then
destroy.
Retain minimum
of 12 months after
action completed,
then destroy.
USE - GDA2 section 3.15.0 - for records relating
to tours by persons of interest and official visitors
to the Commission.
State Records Authority of New South Wales
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Independent Commission Against Corruption
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Dates of coverage: 1988 +
Function/Activity
Description
Disposal Action
5.2.12
Legacy records dealing with shredding/destruction
of confidential papers and materials. Includes –
service provider information, sourcing and
proposals and internal practices / guidelines.
Retain minimum
of 2 years after
action completed,
then destroy.
5.2.13
Records documenting all procedures and
activities dealing with staff identification.
Includes - fingerprinting, ID badges and
security passes.
Retain until
reference use
ceases, then
destroy.
5.3.0
Firearms
The activity of managing and issuing side-arms to
protect Commission Officers performing field work.
5.3.1
Records relating to procedures and policies dealing
with firearm usage and issuance. Includes - formulation,
implementation and promulgation of policy, procedures,
proposals, drafting and liaison.
Retain until
superseded,
then destroy.
5.3.2
Records relating to firearm licensing, training and
testing. Includes - procedures, guidelines, liaison,
ad hoc reports and working files.
Retain until
reference use
ceases, then
destroy.
5.3.4
Register of firearms officially signed in and out.
Includes - accoutrements / appointments register
of weapons accessories and ammunition.
Retain in agency
Records relating to protective equipment such as
bulletproof vests, batons, handcuffs, CS sprays. Includes
records relating to appraisal, evaluation, acquisition,
usage, allocation, disposal, procedures and guidelines.
Retain minimum
of 7 years after
action completed,
then destroy.
5.3.5
Custody
State Records Authority of New South Wales
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5.4.0
Dates of coverage: 1988 +
Function/Activity
Vetting / Probity
Assessment
Description
Disposal Action
Custody
The activity of conducting criminal record checks and
assessing potential interest conflicts and probity risks to
establish security classification of all Commission staff.
This is a set condition of employment as stipulated by
the ICAC Act (1988).
5.4.1
Pre-appointment security clearance checking,
probity assessments and periodic reviews for
all successful applicants, including - staff,
secondees, consultants and contractors.
Retain minimum of
5 years after last
day of duty, then
destroy.
5.4.2
Pre-appointment security checking and probity
assessment for all unsuccessful and withdrawn
applications. Includes - all vetting matters and
associated liaison/contacts with this activity.
Retain 12 months
after action
completed, then
destroy.
5.4.3
All processes associated with vetting support,
procedures and reporting. Includes – statistics, ad hoc
reports, external requests, datalogs, integrity checks,
liaison, security checks, reviews and working files.
Retain until
superseded or until
administrative use
ceases, then
destroy.
State Records Authority of New South Wales
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6.0.0
Dates of coverage: 1988 +
Function/Activity
CHRONOLOGICAL
CORRESPONDENCE
Description
Disposal Action
Custody
A set of legacy ‘day files’ that is no longer maintained.
NOTE: Original external correspondence and internal
memoranda should be disposed of in accordance with
other classes of this retention and disposal authority and
the general disposal authorities.
6.1.1
Duplicate copies of external correspondence and internal
memoranda arranged in date order dealing with
administrative and functional matters.
State Records Authority of New South Wales
Retain minimum of
2 years after last
action, then
destroy.
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