Records Authority 2012/00086171

Australian Criminal Intelligence Commission
Criminal Activity Investigation
Criminal Activity Research
Criminal Intelligence Management
Education and Awareness

11 December 2013

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

Introduction

The Australian Criminal Intelligence Commission (ACIC) and the National Archives of Australia have developed this Records Authority to set out the requirements for keeping or destroying records for the core business areas of Criminal Activity Investigation, Criminal Activity Research, Criminal Intelligence Management and Education and Awareness. It represents a significant commitment on behalf of the ACC to understand, create and manage the records of its activities.

This Authority is based on the identification and analysis of the business of the ACC. It takes into account the agency's legal and organisational records management requirements, and the interests of stakeholders, the agency and the National Archives of Australia.

The 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 Authority gives the ACC 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, and are approved by the National Archives of Australia on the basis of information provided by the agency.

As changes in circumstances may affect future records management requirements, the periodic review of this Authority is recommended. All amendments must be approved by the National Archives of Australia.

Application of this authority

  1. This Authority supersedes Records Authority 946 (1993).The superseded Authority cannot be used by the ACIC after the date of issue of this Authority.
  2. This Authority is to be used to determine how long records must be kept. Records are matched to the relevant core business and records class in the 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 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.
  3. This Authority should be used in conjunction with general records authorities such as:
    • AFDA Express issued by the National Archives to cover business processes and records common to Australian Government agencies;
    • General Disposal Authority 21 (GDA 21) for records relating to the intelligence function in any Commonwealth Agency;
    • General Records Authority 31 (GRA 31) for source (including original) records that have been copied, converted or migrated.
  4. The Normal Administrative Practice (NAP) provision of the Archives Act 1983 gives agencies permission to destroy certain records without formal authorisation. This usually occurs where records are duplicated, facilitative or for short-term use only. NAP does not replace arrangements agreed to in this Authority but can be used as a tool to assist in identifying records for destruction together with an agency's Records Authority or Authorities, and with AFDA Express. 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 an agency 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 Authority can still be applied, providing the records document the same core business. The information must be accessible for the period of time prescribed in this Authority. The ACIC will 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. The ACIC may extend minimum retention periods if it considers that there is an administrative need to do so, without further reference to the National Archives. Where the ACIC 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 should 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.
  12. Advice on how to use this Authority is available from the ACIC's records 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 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:

Paul Jevtovic APM
Acting Chief Executive Officer
Australian Criminal Intelligence Commission
44 Mort Street
Braddon ACT 2601

Purpose:

Authorises arrangements for the disposal of records in accordance with Section 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 core business records relating to Criminal Activity Investigation, Criminal Activity Research, Criminal Intelligence Management, and Education and Awareness.

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.

Len Marsden
Acting Director-General
National Archives of Australia

11 December 2013

Classes

Criminal Activity Investigation

The core business of investigating federally relevant serious and organised criminal activity in Australia.
Includes the agency's criminal activity investigations, joint investigations conducted collaboratively with the agency's partners, and special investigations into individuals or organisations suspected of serious or organised criminal activity, using the agency's coercive powers. Also includes the agency's investigation of serious and organised criminal activity under State or Territory Government legislation.
Serious and organised crime includes: theft; fraud; tax evasion; money laundering; currency violations; illegal drug dealings; illegal gambling; obtaining financial benefit by vice engaged in by others; extortion; violence; bribery or corruption of, or by, an officer of the Commonwealth or an officer of a State or Territory; perverting the course of justice; bankruptcy and company violations; harbouring of criminals; forging of passports; firearms; armament dealings; illegal importation or exportation of fauna into or out of Australia; and cybercrime.
The core activities include:

  • conducting examinations as part of special investigations, using the agency's coercive powers;
  • providing advice and recommendations;
  • negotiating and establishing joint investigations agreements with agency partners;
  • authorisations and determinations for investigations;
  • conducting investigations and undertaking post-investigations reviews;
  • producing or contributing to briefs of evidence for criminal/confiscation proceedings and/or their referral;
  • establishing and managing committees and working groups;
  • managing externally acquired documentation supporting investigations and confiscation proceedings;
  • legal support, including obtaining warrants, summonses, court orders and issue of notices;
  • meetings and liaison as part of investigations;
  • developing and reviewing policies and procedures;
  • planning criminal activity investigations;
  • evaluating and reviewing;
  • psychometric assessments supporting investigations;
  • establishing and managing investigations registers;
  • managing the exhibits registry;
  • preparing criminal activity investigations reports;
  • criminal activity investigation referrals; and
  • witness protection.

Cross references to other areas of this records authority

For criminal information and intelligence activities, use Criminal Intelligence Management.

For research not considered intelligence collection, use Criminal Activity Research.

For addresses, presentations, or attendance at relevant conferences, use Education and Awareness.

Cross references to AFDA Express records authority

For whole of government agreements, use Government Relations.

For responses to high-level external committees, use Government Relations.

For legal advice, use Legal Services.

For staffing matters, use Personnel.

For tendering and contracting arrangements, use Procurement.

For internal training, use Staff Development.

For quality assurance audits, use Strategic Management.

Cross references to other records authorities

For administration of the agency's Board, use Governing Bodies.

Class no Description of records Disposal action
61210

Records documenting:

  • examinations as part of special investigations using the agency's coercive powers. Includes CEO's directions; examination proceedings and transcripts; issue of summonses and notices; and supporting documentation;
  • high-level advice and recommendations relating to national priorities, strategies and investigations, such as that provided to the Board or the Minister. Includes final versions of national Determination plans;
  • negotiation and establishment of high-level investigation agreements, such as joint investigations between the agency and its partners, where the agency is the lead agency or the  main representative of the Australian Government;
  • authorisations and determinations. Includes CEO approvals, Board authorisations and determinations related to investigations, joint investigations with agency partners and special investigations into serious and organised crime. Also includes the establishment of arrangements for the collection of material (exhibits) from State or Territory agencies and non-government agencies;
  • high-level committees or working groups where the agency is the Commonwealth's main representative, provides secretariat support, or plays a leading role in deliberations. Includes establishment, final minutes, agenda papers, briefing notes and recommendations made by the committee. Also includes records of high-level internal and external criminal activity investigations meetings;
  • investigation case files that set a precedent, or that have a high public profile and/or are subject to intense media interest. Includes post-investigations reviews, assessments and recommendations;

[For investigations where no offence is found, use class 61214.]

  • briefs of evidence referred to counsel or the Commonwealth Director of Public Prosecutions for opinion or prosecution. Includes briefs for civil recovery referred to the Australian Government Solicitor or briefing papers detailing proposed charges, committals, trials, proceeds of criminal actions and civil recovery. Also includes 'Failed to Appear' briefs, and briefs where the individual leaves the jurisdiction before finalisation of the case;
  • final versions of criminal activity investigation policies and procedures. Includes CEO's approvals and clearances;
  • establishing and maintaining registers, such as summons, notices, achievement, search warrant, document, exhibit and witness registers;
  • referrals from the Australian and/or State or Territory governments initiating an investigation; and

[For investigation case referrals to another agency, use class 61214.]

  • final versions of high-level investigation reports, such as to the CEO, the Board, heads of other agencies, or the Minister.
Retain as national archives.
61211

Records documenting:

  • psychometric assessments of targets and witnesses, conducted as part of criminal investigations or examinations; and
  • management of applications for witness protection.

[For the psychometric assessment of potential Covert Human Intelligence Sources (CHIS) registrants and case managers, use CRIMINAL INTELLIGENCE MANAGEMENT.]

Destroy 80 years after last action.
61212

Records documenting:

  • criminal investigation case files resulting in a guilty verdict that do not set a precedent or do not have a high public profile and are not subject to intense media interest. Includes post-investigation reviews of all criminal activity investigations, resulting assessments and recommendations; and proceeds of crime case files where prosecuted are found guilty;

[For investigations where no offence is found, use class 61214.]

  • investigation reports including information reports, surveillance reports supported by working copies of audio-visual and photographic material;
  • legal support for investigations, including search warrant applications and court orders.

[For issuing summonses and notices by examiners, use class 61210.]

  • liaison conducted as part of investigations. Includes the dissemination of investigation information with partner agencies;
  • meetings conducted as part of criminal investigations. Includes minutes and agenda;
  • development and review of criminal investigation policies and procedures;
  • reference material supporting investigation referrals to the agency by the Australian, State or Territory governments. Includes reference reviews, assessments and recommendations; and
  • externally acquired documentation used in investigations where the prosecution results in a guilty verdict. Includes copies of original material returned to the originating agency; or original documentation not wanted by the owner, or which the agency was unable to return to the owner after reasonable efforts were made.

[For the provision of telecommunications intercept warrants and surveillance devices warrants as part of intelligence operations, and the management of electronic intelligence product, use CRIMINAL INTELLIGENCE MANAGEMENT.]

[For investigations where no offence is found, use class 61214.]

Destroy 25 years after last action.
61213

Records documenting high-level planning for criminal activity investigations.

[For Determination sub-plans related to an individual investigation, use class 61212.]

Destroy 15 years after last action.
61214

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • criminal activity investigation tasks, other than those covered in classes 61210 to 61213.
Destroy 7 years after last action.

Criminal Activity Research

The core business of conducting or commissioning research into federally relevant Australian or international serious and organised criminal activity.

Includes joint research projects undertaken with agency partners.

The core activities include:

  • providing advice and recommendations following research;
  • developing and managing joint research project agreements;
  • obtaining authorisations for research, such as ethical clearances;
  • consulting with stakeholders;
  • distributing research to stakeholders;
  • evaluating research proposals;
  • developing policies and procedures;
  • planning research activities;
  • evaluating and reviewing research activities;
  • reporting on the progress of research and on research outcomes; and
  • research collected to support the core business.

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

  • administering contracted research;
  • receiving and responding to enquiries;
  • routine liaison with research participants, including letters of appreciation;
  • managing meetings; and
  • developing procedures for research.

Cross references to other areas of this records authority

For criminal information and intelligence activities, use Criminal Intelligence Management.

For the conduct of criminal investigations, use Criminal Activity Investigation.

For addresses and presentations on criminal research findings, use Education and Awareness.

Cross references to AFDA Express records authority

For staffing matters, use Personnel.

For managing the acquisition of goods and services, use Procurement.

Class no Description of records Disposal action
61215

Records documenting significant research, which involves innovative processes, or results in significant or innovative findings. Includes:

  • the provision of advice, such as to the Board or the Minister;
  • research project agreements, such as intergovernmental agreements, joint venture and cooperative agreements between the Australian Government, and States and Territories. Includes negotiation, establishment, maintenance and review;
  • authorisations, including ethical clearances for research, to comply with national codes of practice;
  • final versions of research policies;
  • final research reports;
  • research, such as survey instruments, and collected data; and
  • major de-identified datasets and associated information about the data fields such as data dictionaries or data repositories.
Retain as national archives.
61216

Records documenting:

  • receiving and responding to enquiries;
  • routine liaison with research participants, including letters of appreciation;
  • arranging meetings; and
  • developing procedures for research.
Destroy 3 years after last action.
61217

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • criminal activity research tasks, other than those covered in classes 61215 and 61216.
Destroy 7 years after last action.

Criminal Intelligence Management

The core business of collecting, correlating, analysing, managing and disseminating information and intelligence relating to federally relevant serious and organised criminal activity.

Includes the conduct of intelligence operations, special operations utilising the agency's coercive powers, joint operations conducted collaboratively with the agency’s partners, and criminal intelligence operations conducted under State legislation.

The collection and analysis of criminal intelligence supports the agency’s criminal activity investigation core business.

The core activities include:

  • conducting examinations, including the use of coercive powers;
  • providing advice on national criminal intelligence matters;
  • establishing and maintaining agreements with agencies;
  • authorisations and determinations for criminal intelligence collection activities;
  • collecting, correlating and analysing criminal intelligence information relating to individuals or organisations, and the development and management of criminal intelligence product;
  • establishing and managing committees and working groups;
  • stakeholder consultation;
  • managing the Covert Human Intelligence Sources (CHIS) database;
  • establishing and maintaining the national criminal intelligence database;
  • distributing intelligence product;
  • managing specialised equipment used for obtaining electronic intelligence product;
  • conducting intelligence operations and post-operational reviews;
  • conducting meetings and undertaking liaison;
  • prioritising and planning intelligence collection activities;
  • evaluating and reviewing intelligence collection activities;
  • developing and reviewing policies and procedures; and
  • reporting.

Cross references to other areas of this records authority

For the conduct of criminal investigations, use Criminal Activity investigation.

For research not considered intelligence collection, use Criminal Activity Research.

For addresses and presentations, intelligence systems and related training programs, or attendance at relevant conferences, use Education and Awareness.

Cross references to AFDA Express records authority

For the administration of the agency’s Board, use Governing Bodies.

For whole of government agreements, use Government Relations.

For responses to high-level external committees, use Government Relations.

For staffing matters, use Personnel.

For tendering and contracting arrangements, use Procurement.

For internal training, use Staff Development.

For quality assurance audits, use Strategic Management.

For the development of the agency’s intelligence databases, use Technology and Telecommunications.

Cross references to other records authorities

For the management of formal intelligence product generated by the agency, use Records Relating to the Intelligence Function in any Commonwealth Agency (GDA 21).

For data matching exercises, use Records Relating to Data Matching Exercises (GDA 24).

Class no Description of records Disposal action
61203

Records documenting:

  • conducting examinations, including the use of coercive powers. Includes Chief Executive Officer’s (CEO) directions; examination proceedings and transcripts; issue of summonses and notices; and supporting documentation;
  • advice on national criminal intelligence priorities, strategies and operations such as that provided to the Minister and the Board;
  • negotiation and establishment of significant or landmark agreements to share the agency’s criminal intelligence databases. Includes agreements and Memoranda Of Understanding relating to joint criminal intelligence operations, where the agency is the lead agency or the Australian Government’s main representative;
  • authorisations and determinations for criminal intelligence collection activities. Includes:
    • Board determinations;
    • eligible judges lists and delegations;
    • authorisations for the use of Covert Human Intelligence Sources (CHIS), assumed identities, surveillance and operational support teams;
    • arrangements for the collection of intelligence information from State agencies and non-government agencies under legislation such as the Australian Crime Commission Act 2002;
    • authorisations for the issue of warrants, such as surveillance, intercept or tracking device warrants, under legislation such as the Telecommunications (Interception and Access) Act 1979 and the Surveillance Devices Act 2004.
  • management of criminal intelligence operations that have a high public profile and/or are subject to intense media interest. Includes the management of ‘special’ intelligence operations and post-operational reviews of all intelligence operation activities;
  • high-level committees and working groups, such as the Organised Crime Management Committee (OCMC), or where the agency is the Australian Government’s main representative, provides secretariat support, or plays a leading role in deliberations. Includes establishment, final minutes, agenda papers, briefing notes, reports and recommendations;
  • high-level liaison conducted with agency partners;
  • final versions of plans and the identification and prioritisation of intelligence targets based on threat and risk assessments;
  • criminal intelligence management policies. Includes intelligence priorities, policy development and review, and associated procedural documents; and
  • final versions of reports to the CEO, the Board, or the Minister.
Retain as national archives.
61204

Records documenting:

  • distributing intelligence product to internal and external stakeholders; and
  • [For authorisations for intelligence product dissemination obtained under legislation, use class 61203.]
  • intelligence data contained in the national criminal intelligence database.
Destroy 80 years after last action.
61205

Records documenting CHIS (Covert Human Intelligence Sources) registration. Includes records detailing an individual’s profile information; psychometric assessments conducted as part of intelligence operations and examinations; and source deregistration.

[For psychometric assessments of potential CHIS registrants and case managers, use classes 61208 and 61209.

For CHIS management, use class 61206.]

Destroy 75 years after registration or 7 years after last action, whichever is later.
61206

Records documenting:

  • developing criminal intelligence product. Includes final versions and major drafts of Intelligence Reports and Operational Intelligence Reports;
    [For other criminal intelligence product such as Alerts and Regional Criminal Target Reports, use class 61209.]
  • management of criminal intelligence operations that do not have a high public profile and are not subject to intense media interest. Includes the management of ‘special’ intelligence operations and post-operational reviews of all intelligence operations activities;
  • ongoing CHIS (Covert Human Intelligence Sources) management. Includes:
    • contact reports, summaries of intelligence information, identified issues such as CHIS’ security or welfare;
    • applications and negotiations for CHIS’ benefits/rewards;
    • recommendations for handling resultant intelligence information;
    • quarterly reviews of CHIS’ effectiveness; and
    • reports and briefing notes detailing CHIS issues and intelligence received.
      [For registration of CHIS, use class 61205.]
  • managing electronic intelligence product. Includes:
    • surveillance device operators’ logs;
    • electronic intelligence product log detailing use of information;
    • surveillance device effectiveness reports;
    • implementation of recommendations from external review agencies;
    • internal biannual compliance assessments, and resultant reports containing findings and recommendations;
    • master set of warrantless surveillance product; and
    • supporting documentation, such as liaison with investigators regarding destruction, destruction approvals, and provision of supporting information to the Commonwealth Ombudsman as part of the biannual inspections program.
      [For electronic intelligence product obtained under a warrant, use class 61207.]
  • liaison with agency partner organisations such as the Australian Federal Police;
  • supply and maintenance of telecommunications interceptions or technical surveillance equipment; and
  • supporting diaries.
Destroy 25 years after last action.
61207

Master set of electronic intelligence product recorded as part of technical surveillance activities supporting an intelligence operation. Includes the provisioning of listening device warrants, surveillance device warrants, or telecommunications intercept warrants, under legislation such as the Telecommunications (Interception and Access) Act 1979, and the Surveillance Devices Act 2004.

[For authorisations for obtaining intelligence information through telecommunications interceptions and technical surveillance, use class 61203.]

Destroy in accordance with directions from the agency's Chief Executive Officer.
61208

Psychological client files produced for potential CHIS registrants, where the client is less than 18 years of age. Includes results of assessments and internal reports.

Destroy when client reaches 25 years of age.
61209

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • criminal intelligence management activities, other than those covered in classes 61203 to 61208.
Destroy 7 years after last action.

Education and Awareness

The core business of promoting awareness and guidance on federally relevant serious and organised crime. Includes the delivery of addresses and presentations, the development and delivery of training programs, as well as arranging or attending industry conferences.
The core activities include:

  • developing and delivering addresses, speeches, and presentations;
  • establishing and managing education and awareness related committees and working groups;
  • arranging or attending conferences;
  • liaising with stakeholders;
  • conducting meetings;
  • developing and reviewing policies and procedures;
  • reporting on education and awareness programs or associated initiatives;
  • preparing and managing submissions; and
  • developing, delivering and reviewing training programs.

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

  • administering training;
  • receiving and responding to enquiries;
  • developing and reviewing the agency's internal procedures; and
  • drafting addresses, speeches or presentations.

Cross references to other areas of this records authority
For criminal information and intelligence activities, use Criminal Intelligence Management.
For the conduct of criminal investigations, use Criminal Activity Investigation.
For research not considered intelligence collection, use Criminal Activity Research.

Cross references to AFDA Express records authority
For media releases and interviews, and handling public reaction, use Community Relations.

For tender and contractor management, use Procurement.

For internal training, use Staff Development.

Class no Description of records Disposal action
61218

Records documenting:

  • final versions of addresses made by the Minister or senior agency officers;
  • high-level committees and working groups where the agency is the Australian Government’s main representative, provides secretariat support, or plays a prominent or central role. Includes establishment, final minutes, agenda papers, briefing notes, reports and recommendations.
  • development and establishment of national level education and awareness policy including policy precedents. Includes final version, major drafts and supporting records; and
  • submissions made to the Minister and others on education and awareness related issues, where the issues are controversial, or have significant industry or political sensitivity. Includes working papers.
Retain as national archives.
61219 Master set of training program material. Destroy 7 years after superseded.
61220

Records documenting:

  • receiving and responding to enquiries;
  • developing and reviewing the agency’s internal procedures;
  • drafting speeches or presentations; and
  • administrative arrangements supporting the agency’s training activities.
Destroy 3 years after last action.
61221

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • education and awareness activities, other than those covered in classes 61218 to 61220.
Destroy 7 years after last action.
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