Records Authority 2012/00247929

Wheat Exports Australia

June 2012

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

Introduction

Wheat Exports Australia 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 wheat export regulation. It represents a significant commitment on behalf of Wheat Exports Australia to understand, create and manage the records of its activities.

This Authority is based on the identification and analysis of the business of Wheat Exports Australia. 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 Wheat Exports Australia 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.

Application of this Authority

  1. This Authority covers the business of Wheat Exports Australia and its predecessor agencies, the Wheat Export Authority and the Export Wheat Commission.
  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:
    • the Administrative Functions Disposal Authority (AFDA)  and/or AFDA Express issued by the National Archives to cover business processes and records common to Australian Government agencies;
    • General Records Authority (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 and 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. Wheat Exports Australia 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. Wheat Exports Australia 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 Wheat Exports Australia 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 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 Wheat Exports Australia 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:

Peter Woods Chief Executive Officer
Wheat Exports Australia
Unit 2, Royal Life Saving House
26-28 Napier Close Deakin ACT 2600

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 Wheat Export Regulation.

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.

Authorised by:

David Fricker
Director-General
National Archives of Australia

20 June 2012

Classes

Wheat Export Regulation

The core business of regulating wheat export activities. Includes managing export consents, the administration of the Non-bulk Wheat Quality Assurance Scheme (NBWQAS), administration of the Wheat Export Accreditation Scheme 2008; and Performance Monitoring of AWB International Ltd. Includes records captured in business systems such as the Wheat Exports Australia operational database, Thresher.
The core business includes the following activities:

  • undertaking research, for example through stakeholder surveys, desktop research and the hiring of external expertise as well as statistical analysis, including collation of wheat export statistics;
  • establishing, supporting and liaising with working groups and committees including the nomination and appointment of representatives;
  • developing internal policies and procedures relating to wheat export regulation;
  • developing internal or external reports and preparing submissions concerning industry development issues;
  • developing and conducting information sessions, for example for changes to legislation concerning the wheat industry;
  • developing and implementing rules and schemes to regulate market participants;
  • monitoring and investigating compliance with the wheat export industry rules and schemes;
  • evaluating and reviewing policies, procedures, strategies, plans, rules and schemes relating to the core business, for example in relation to accreditation;
  • negotiating and establishing agreements or partnerships with government agencies within Australia, for example a momorandum of understanding with Customs;
  • undertaking audits, for example audits of accredited exporters
  • receiving and assessing complaints and enquiries;
  • carrying out enforcement activities;
  • referring matters to external parties;
  • fee setting;
  • compiling and maintaining registers;
  • risk management;
  • developing strategies and plans relating to wheat export regulation; and
  • managing visits;

The performance of the core business is supported by routine administrative tasks such as:

  • meeting arrangements;
  • development of material supporting information sessions; and
  • responding to general enquiries regarding the core business.

For managing the activities of the boards of Wheat Exports Australia and its predecessors use GRA 27, GOVERNING BODIES.

For managing public or official inquiries, use GRA 29, PUBLIC OR OFFICIAL INQUIRIES.

For finance records created using business systems such as MYOB, use AFDA/AFDA Express - FINANCIAL MANAGEMENT.

For handling public reaction to policy or services, and for media releases and the release of strategies and reports use AFDA/AFDA Express - COMMUNITY RELATIONS.

For legal advice given and received on the interpretation of legislation, use AFDA/AFDA Express - LEGAL SERVICES.

For the production and distribution of published strategies, plans or reports, use AFDA /AFDA Express - PUBLICATION.

For the issue, receipt and assessment of tenders and management of the performance of external service providers, use AFDA/AFDA Express - PROCUREMENT.

Class no Description of records Disposal action
61046

Records documenting the following activities which are of significance, or have far reaching economic or social implications for the Australian wheat industry:

  • unique wheat export industry research, including data;
  • working groups and committees, where the agency provides Secretariat support, is the Commonwealth’s main representative or has a significant role;
  • international liaison or representation concerning wheat export regulation issues of a contentious nature, which are of major significance to the agency and/or the community at large; includes international liaison or representation received or made from regional and international peak industry bodies, international governments or non-governmental bodies, leading community interest groups, recognised influential stakeholders or individuals;
  • final reports to the Minister, Agency Heads and key international partners/stakeholders. Includes final audit reports, AWB International Ltd Performance Monitoring Reports and Ministerial investigation reports;
  • final high-level strategies and plans;
  • submissions made to the Minister and others on matters relating to wheat export regulation where the issue is controversial, or has significant legal, social, economic and/or international implications;
  • final industry presentations, for example on the introduction of the Wheat Export Accreditation Scheme 2008;
  • final rules and schemes for the regulation of market participants;
  • developing, evaluating and reviewing rules and schemes that regulate market participants;
  • monitoring activities that are controversial, or have significant legal, social, economic and/or international implications;
  • high-level agreements or partnerships with Australian or international government agencies, industry, business and/or other stakeholders;
  • the enforcement of penalties in serious, provocative, or controversial cases of industry non-compliance with codes, standards and regulatory requirements in relation to wheat export regulation, such as those that attract parliamentary or significant public interest;
  • significant registers relating to wheat export regulation such as the register of accredited exporters.
Retain as national archives
61047

Records documenting wheat export regulation related tasks and activities which are not of significance, or do not have far reaching economic or social implications for the Australian wheat industry:

  • working groups and committees, where the agency does not provide Secretariat support, is not the Commonwealth's main representative, or does not have a significant role;
  • routine liaison with Australian and international government agencies, industry and related businesses;
  • final internal policies and procedures supporting the core business;
  • the development of reports -[For final versions of high-level reports, use Class 61046];
  • submissions regarding industry development initiatives which are not controversial nor are the subject of considerable public debate. Includes the development of submissions;
  • export consent and exporter accreditation records;
  • the administration of schemes and their amendment following external reviews or inquiries;
  • consultation and meetings with industry stakeholders;
  • monitoring and investigation of complaints against scheme participants -[For controversial or precedent setting investigations, use Class 61046];
  • external audit reports of accredited exporters where the subject matter is routine;
  • compliance assessments;
  • the development of operational plans, including final versions;
  • maintenance of a risk register.
Destroy 10 years after action completed
61048

Records documenting:

routine operational administrative tasks supporting the core business; and

wheat export regulation activities other than those in classes 61046 and 61047.

Destroy 3 years after action completed
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