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Appendix 4 - Relevant records in National Archives of Australia Administrative functions disposal authority, February 2000

Note that this page is under review. It has not yet been updated to reflect changes to the Public Service Act 1999 and Public Service Regulations 1999, or contained in the Australian Public Service Commissioner's Directions 2013, or in relevant legislation that impacts upon this guideance such as the Privacy Act 1988. Agencies may continue to use the guidance for reference, but should be aware that it may not reflect current legislative requirements.

Records relating to Code of Conduct cases—Administrative functions disposal authority 24


PERSONNEL—Counselling

'The activities associated with giving advice or guidance to an employee for various reasons'.
Entry No Description of records Disposal Action
1702

Records documenting general counselling of staff . Includes

  • personal counselling
  • work performance counselling
  • counselling for minor breaches to the Code of Conduct

[For counselling relating to disciplinary action use PERSONNEL—discipline]

Destroy 2 years after action completed
PERSONNEL—Performance management

Sometimes minor conduct issues are dealt with in performance management contexts. Also conduct issues can be taken into account in assessing performance and related decisions such as salary advancement or the payment of pay bonuses etc.
Entry No Description of records Disposal Action
1734 Performance agreements with individual employees. Includes final version of agreement, notes from meetings with employees and assessment and review reports. Destroy 2 years after agreement is superseded
PERSONNEL—Discipline

'The activities and actions associated with the disciplinary process. Includes investigation, charges, formal inquiries, punishment and appeals'
Entry No Description of records Disposal Action
1704 Records documenting investigations of misconduct (e.g. a breach of the Code of Conduct) by either the agency or an external body, which result in disciplinary action being taken Destroy 5 years after action completed
1705 Records documenting allegations into misconduct where no follow-up investigation is made (i.e. where allegations are proved to be frivolous or vexatious). Destroy 18 months after action completed
1706 Records documenting investigations of misconduct which are investigated, either by the agency or by an external authority, and where allegations are proved to be unfounded and the employee has requested the retention of the records. Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later, or when requested by the employee
1707 Records documenting investigations of misconduct which are investigated, either by the agency or by an external authority, and where allegations are proved to be unfounded and the employee has not requested the retention of the records Destroy 18 months after investigation completed
PERSONNEL—Reviews (Decisions)
Entry No Description of records Disposal Action
1759 Records documenting reviews of actions, other than reviews of promotion decisions, either carried out within the agency or by an external authority. Destroy 5 years after action completed
LEGAL SERVICES—Litigation
Entry No Description of records Disposal Action
1585 Records documenting litigation matters where legal precedents are set Retain as national archives
1586 Records relating to litigation matters that do not set legal precedents Destroy 7 years after action ceases
LEGAL SERVICES—Advice
Entry No Description of records Disposal Action
1570 Records documenting all other advice [i.e. than re interpretation of an agency's own legislation etc ] received from an internal or external legal service provider Destroy 5 years after action completed.

Records of matters that might trigger a Code of Conduct investigation

Agencies may keep a variety of records on matters that may sometimes give rise to formal Code of Conduct investigations. Such records include records of investigations of grievances and allegations by whistleblowers, infringements of rules, security or privacy breaches.

PERSONNEL—Employment conditions
Entry No Description of records Disposal Action
1719 Attendance records for employees where agency agreements or individual employee agreements do not allow for the payment of overtime .. Destroy 2 years after action completed
PERSONNEL—Grievances

‘The activities associated with the handling and resolution of grievances. Includes handling complaints over perceived discrimination… or those arising over work environment, …peers, supervisors or subordinates.'
Entry No Description of records Disposal Action
1722 Records documenting formal grievances lodged by an individual employee and considered either internally within the organisation and/or by an external body. Includes notes of meetings, reports and recommendations. For records covering disciplinary action resulting from a grievance use PERSONNEL—discipline Destroy 5 years after action completed

PERSONNEL—Infringements

‘The activities associated with handling breaches of rules. Includes driving or traffic infringements and infringements of an organisation's intellectual property.'
Entry No Description of records Disposal Action
1723 Records documenting infringements by an employee.

[For infringements that lead to disciplinary action use PERSONNEL—discipline]
Destroy 18 months after action completed
LEGAL SERVICES—Infringements
Entry No Description of records Disposal Action
1581 Records documenting infringements or breaches of mandatory standards, rules or statutory requirements that do not proceed to litigation. Includes notifications of breaches and investigations and negotiations. Destroy 7 years after action ceases

Alleged Privacy and Security breaches

The retention of records relating to alleged privacy breaches, security breaches etc is dealt with other sections of AFDA e.g. the sections on information management, property management, equipment and stores and technology and communications.

In broad terms, records relating to minor security incidents or breaches or alleged privacy breaches can be destroyed after a period ranging from 5 years after an incident to 7 years after action is completed.

[Records relating to minor security breaches or incidents relating to property can be destroyed 5 years after the incident; records relating to alleged privacy breaches can be destroyed after 5 years after the investigation and records relating to breaches relating to classified material can be destroyed 5 years after the last action; reports on leaks and investigation into alleged security breaches relating to technology and communications and referral of those breaches to law enforcement authorities to law enforcement authorities— destroy 7 years after action is completed.]

However, records of major security breaches or incidents (e.g. which result in the laying of charges), including records of referral to law enforcement authorities, are retained as national archives.

Records kept for the duration of an employee's career

PERSONNEL—Security

‘The activities associated with measure taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks'.
Entry No Description of records Disposal Action
1766 Records documenting security checks (vetting) carried out as part of pre-engagement and preemployment checks, or periodic reviews. Destroy 5 years after separation from the APS or 6 years after the date of the last clearance on file, whichever is sooner.
PERSONNEL—Employment conditions

‘The activities associated with managing the general conditions of employment for personnel'
Entry No Description of records Disposal Action
1709

Records documenting the consolidated employment history of all ongoing employees…and SES employees from initial appointment and subsequent promotions and details of higher duties undertaken. Includes:

  • details of assigned duties (initial and subsequent variations)
  • probation reports
  • declarations of pecuniary interests
  • undertakings to preserve official secrets.
Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later
1711 Records documenting the appointment of non- ongoing employees Destroy 7 years after termination of appointment
1715 Records documenting the reduction in classification of an APS employee either with or without the employees consent Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later
PERSONNEL—Salaries

Employee pay history records may document the carrying out of sanctions on an employee whom it has been determined has breached the Code of Conduct and/or contain information about periods of suspension if this was not on full pay.
Entry No Description of records Disposal Action
1761

Records documenting the payment of employee's salaries. Includes:

  • Employee pay history records
Destroy 75 years after date of birth or 7 years after last action, whichever is later
PERSONNEL—Separations
Entry No Description of records Disposal Action
1767

Records documenting the separation of ongoing employees and SES employees. Includes:

  • resignation
  • dismissal
Destroy 75 years after date of birth or 7 years after last action, whichever is later
1768 Records documenting the termination of a non- ongoing employee before the completion of a specified term of engagement Destroy 7 years after termination

Footnotes

24http://www.naa.gov.au/recordkeeping/disposal/authorities/gda/AFDA/summary.html

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