Records Authority 2015/00284404

Department of Defence

Defence Operations

2015

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

Introduction

The Department of Defence and the National Archives of Australia have developed this records authority to set out the requirements for keeping or destroying records for Defence Operations and activities for the defence of Australia and its national interests. This includes the core business areas of Command and Control of Operations; Conduct of Operations; Financial Support of Operations; Intelligence, Security and Communications for Operations; Legal and Police Support to Operations; Logistics Support to Operations; Operational Deployment Cycle; Operational Performance Improvement; Personnel and Health Support to Operations; and Planning Operations. It represents a significant commitment on behalf of the Department of Defence to understand, create and manage the records of their activities.

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

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 Department of Defence 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 on the basis of information provided by the Department.

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

Application of this Records Authority

  1. Types of Operations. This records authority covers the records created in the course of commanding, controlling, planning, preparing, conducting, monitoring and evaluating warlike and non-warlike operations. Warlike operations are military activities where the application of force is authorised to pursue military objectives, and there is an expectation of casualties. They can include a state of declared war, conventional combat operations and peace enforcement operations. Non-warlike operations are those military activities that are short of warlike, and where the application of force is limited to self-defence. Casualties could occur but are not expected. They can include hazardous operations and peacekeeping operations.

    In the Australian Government's context, an operation is defined as ‘a designated military activity using lethal and/or non-lethal ways and means to achieve directed outcomes in accordance with national legal obligations and constraints'. All campaigns, operations and other activities are dealt with at the strategic, operational and tactical command levels and are categorised in terms of whether they are global, regional or domestic. The following are the types of operations covered in this records authority:

    • Humanitarian assistance and natural disaster relief (HADR), either in Australia or overseas
    • Search and rescue operations (SAROPS), either in Australia or overseas, including joint personnel recovery (JPR), military recovery operations (RecOps) and civilian - military cooperation (CIMIC) operations
    • Defence force aid to the civilian authorities (DFACA), and Defence assistance to the civil community (DACC), including public events of significance (PES), restoration of public order or counter-terrorist activities
    • Enforcement of Commonwealth fisheries, immigration, quarantine and customs laws in Australia's maritime approaches
    • Enforcement of economic sanctions or arms embargoes imposed by the UN (for example naval or air blockade)
    • Evacuation of Australian nationals and nationals of third party countries, from a foreign country with or without the support and assistance of that foreign country, and during a civil war or other form of civil disorder
    • Participation in and/or leading multinational peacekeeping and peace enforcement operations, especially United Nations peace operations
    • Counter-piracy operations
    • Support to democratic regional government, at the request of such a government including: threat by anti-democratic forces, widespread breakdown of law and order, or specialist support requests for an activity
    • Unilateral intervention for humanitarian purposes
    • Participation in coalition operations and regional conflicts
    • Defence of Australia sovereignty against direct military threat or attack
    • Participation in general war (also called total war), especially involving Australia's national survival.
  2. This authority supersedes records authority 2012/00672202 - Logistics Emergency for the Middle East Area of Operations, and RDAs 493, 570, 612, 711, 943, and 1131. It also partially supersedes RDAs 1013, 1040, 1157, 1176, 1222, 1236, 1253, 1357, 615, 853, 893, and S.508. These superseded authorities cannot be used after the date of issue of this authority.
  3. 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; and
    • Records that are identified as ‘retain as national archives’ (RNA) are to be transferred to the National Archives for preservation.
  4. 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; and
    • General Records Authority (31) for source (including original) records that have been copied, converted or migrated.
  5. 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
  6. 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.
  7. 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 records authority is available from the National Archives website at www.naa.gov.au
  8. 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 records authority. The Department of Defence 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.
  9. In general, retention requirements indicate a minimum period for retention. An agency 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 Department of Defence 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.
  10. Records coming within RNA 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.
  11. Some RNA records in this authority relate to operational matters that will remain highly sensitive for many years. Defence may apply to exempt these records from transfer under section 29 of the Archives Act 1983.
  12. RNA records relating to war and war-like operations identified for transfer to the Australian War Memorial under custody arrangements agreed between the National Archives and the War Memorial must be transferred according to the Archives’ normal transfer process to ensure that custody and access requirements for the records are properly met. Transfers must be approved in advance by the National Archives.
  13. From time to time specific Defence terminology may change. Unless the tasks and activities also change resulting in new retention requirements, the existing records classes still apply.
  14. Records must be appropriately stored, managed and preserved to ensure that they 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.
  15. 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 (RNA).
  16. Advice on how to use this records authority is available from Defence Records Management Policy. 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 records management 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:

Mr Dennis Richardson, AO
Secretary
Department of Defence
Russell Offices
Canberra 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 Command and Control of Operations, Conduct of Operations, Financial Support of Operations, Intelligence, Security and Communications for Operations, Legal and Service Police Support to Operations, Logistics Support to Operations, Operational Deployment Cycle, Operational Performance Improvement, Personnel and Health Support to Operations, Planning Operations.

Authorised by:

David Fricker
Director-General
National Archives of Australia

26 October 2015

Command and Control of Operations

Command and Control (C2) is the system of empowering designated personnel to exercise lawful authority and direction over assigned forces. Specifically, C2 represents higher C2 responsibilities and delegations with respect to the Australian Defence Force’s response to military and civilian deployment.

Command is the assignment of forces, missions and tasks, and the delegation of operational authority at the Headquarters (HQ), Joint Task Force (JTF), Force Element Group (FEG), formations and units. Commanders at these various levels have control of assigned forces to carry out responsibilities and are assigned specified degrees of authority. Command includes strategic decision-making on operational developments and courses of action requirements. Commanders are also required to apply strategic intent and participate in high level strategic decision making processes.

Control is the authority exercised by a commander over part of the activities of subordinate organisations, or other organisations not normally under his or her command which encompasses responsibility for implementing orders or directives. All or part of the authority may be transferred or delegated. Control in Operations can include control of significant resources such as submarines, Special Forces (SF) and strategic strike and other activities such as administrative control, local administrative control, technical control, and support arrangements of assigned forces in areas of operations.

Command is applied over three levels and provides a framework for the C2 of operations and analysis of politico-military activity before, during and after the conduct of military operations. The three levels of command are:

  • Strategic – national and military
  • Operational
  • Tactical.

Other authorisation and C2 aspects include:

  • Chief of Defence Force (CDF) issued rules of engagement (ROE) and orders for opening fire (OFOF)
  • Consideration of the law of armed conflict (LOAC)
  • Issue of CDF and Commander Joint Operations (CJOPS) operationally specific directives
  • Issue of war stoppers such as an imminent threat of the revocation of a Status of Force Agreement that enable the participation of Australian service personnel in operations on foreign soil
  • C2 aspects of captured personnel.

The core tasks include:

  • Exercising national and military strategic command of operations
  • Initiating mobilisation
  • Empowering designated personnel through command delegations
  • CDF and/or CJOPS approvals and authorisations for operations
  • Authorising operational procurement
  • Establishing CDF directives for operations
  • Authorising and managing detainee imagery and audio
  • CDF and/or CJOPS daily situation updates
  • CDF and/or CJOPS incident management
  • Command reporting
  • Requesting of consequential documents
  • Negotiation and authorisation of agreements and arrangements
  • Commander’s liaison
  • VIP visits and delegations
  • Strategic communications (media campaigns and public affairs for operations).

The core business is supported by general activities such as:

  • Committees, groups, bodies and forums
  • Liaison and coordination
  • Reporting.

Cross references to other areas of this records authority

For Honours and Awards use PERSONNEL AND HEALTH SUPPORT TO OPERATIONS.

For inquiries including routine, officer inquiries, boards of inquiry, CDF inquiry, coronial inquiry and Parliamentary inquiry; and legal advice relating to ROE, LOAC, OFOF, and law of the sea, air law or humanitarian law use LEGAL AND POLICE SUPPORT TO OPERATIONS.

Cross references to other Defence records authorities

For advice and guidance relating to the overarching strategic environment, including white papers, capability context scenarios, military strategy, strategic wargaming, regular strategic reviews, and policy advice to Government on the central issues of Australia’s Defence as well as international policy and Defence relations use STRATEGY AND ADVICE.

Class no Description of records Disposal action
61831

Records documenting:

  • Defence submissions made to the National Security Committee of Cabinet (NSC) or equivalent for the conduct of military activities and operations.
  • Directives from Government and NSC relating to the commencement of a military activity or operation.
  • Mobilisation augmentation of Defence resources in order to conduct an activity or an operation where Defence is the lead Department including partial, national and international mobilisation of industrial or other national resources to assist Defence.
  • CDF authorisations and approvals including separate employment of units, use of significant resources and approval of activities for inclusion in the Program of Military Scheduled Activities (including public events of significance (PES)) and recurring ADF events.
  • Establishment and management of high level Defence committees, groups, boards and forums in support of operations including where the Defence Committee (DC), Chiefs of Services Committee (COSC), Strategic Command Group (SCG) or equivalents meet to discuss ADF operations and align strategic input.
  • Progress updates, situational updates, limitations, issues, transition and achievement (end state) of an activity or operation provided to Government or the NSC.
  • Issue of all Command Authorities also known as the ‘states of command’.
  • CDF orders issued to facilitate operational planning and force preparation, advise changes to strategic guidance and circumstances that will impact on ongoing operations, and to cease an operation.
  • CJOPS orders issued to facilitate operational planning and force preparation, advise changes to strategic guidance and circumstances that will impact on ongoing operations.
  • Legal distinctions or considerations, government endorsed limitations, integration and synchronisation of forces for targeting in joint environments, and directions for opening fire in specific campaigns, operations or activities which may come in the form of rules of engagement (ROE) and orders for opening fire (OFOF) or equivalent.
  • Pieces of key information (war stoppers) that require immediate reporting.
  • Operational specific CDF issued directives and instructions.
  • Commander’s situational updates including briefs and advice provided to CJOPS and command guidance provided by CJOPS to key staff.
  • Strategic management of incidents (incident management system) and events sustained during the conduct of operations.
  • Command reporting of specific service history records which detail Navy, Army and Air Force activities and accounts of events (which can include comprehensive narratives, battle maps and biographies).
  • Negotiation and authorisation by CDF/SEC, CJOPS, Chief of Navy, Chief of Army, or Chief of Air Force of Agreements and Arrangements required in order to conduct operations.
  • Command and diplomatic liaison including the contact or connection maintained between commanders and stakeholders including to and from combined force commanders and the Australian chain of command and foreign forces, alliance partners, North Atlantic Treaty Organisation (NATO), coalition partners and non-government agencies.
  • VIP visits in theatre or to an Area of Operations (AO)
  • Australian public and media campaigns for operations including the coordinated information output of all operational activity undertaken in support of operations to inform the public in Australia.

[For records relating to inter-departmental committees (IDC) and inter-departmental emergency task forces (IDETF) where Defence is the lead, use CONDUCT OF OPERATIONS.

For records relating to Defence mobilisation that is supported within extant resources, use OPERATIONAL DEPLOYMENT CYCLE.

For records relating to government strategy leading to a mobilisation authorisation, use DEFENCE RECORDS AUTHORITY: STRATEGY AND ADVICE.

For records relating to preparedness management, use DEFENCE RECORDS AUTHORITY: RAISE AND TRAIN.]

Retain as national archives
61832

Records documenting:

  • Aspects related to or arising from the conduct of Senior Committee Meetings, and inter-departmental meetings where campaigns, operations, and activities are the primary focus and where Defence is not the lead Commonwealth agency, but is participating
  • Imagery and audio records taken during the internment and detention of captured personnel (CPERS).
Destroy 75 years after action completed
61833

Records documenting:

  • CDF’s endorsement/authorisation for progression of a rapid acquisition proposal to Government that is specifically required for the conduct of an operation.
  • CDF or Service Chief endorsement or authorisation of an urgent operational requirement that is specific to an operation.
Destroy 50 years after operation has ceased
61834

Records documenting:

  • Media and public affairs administrative tasks.
Destroy 10 years after action completed
61835

Records documenting:

  • Routine operational administrative tasks supporting the core business
  • Command and control of operations activities, other than those covered in classes 61831 to 61834.
Destroy 5 years after action completed

Conduct of Operations

The core business associated with implementing and executing operational plans and tasks. Operations can be conducted independently or as part of a campaign. An operation is a designated military activity using lethal and/or non-lethal effects to achieve one or several military strategic end states which are dictated by national strategic objectives. The conduct of an operation must also adhere to legal obligations and constraints.

Integral to the conduct of an operation is the concept of command and control (C2) and the close management of air, space, sea and land capabilities and activities in order to achieve orchestration, coordination and synchronisation of effects across the operational environment.

Operations can be categorised into two broad types of military activities:

  • Warlike. Where the application of force is authorised to pursue military objectives and there is an expectation of casualties. This can include a state of declared war, conventional combat operations and peace enforcement operations.
  • Non-warlike. Short of warlike and where the application of force is limited to self-defence. Casualties could occur but are not expected. Can include hazardous operations and peacekeeping operations.

The Conduct of Operations focuses on the implementation of operational plans, their adjustment and their physical execution. It covers:

  • Preparing for operations
  • Organising for operations
  • Managing the operational environment
  • Planning at the ‘current’ operations level
  • Executing operations
  • Completing operations.

Operations can be represented as a spectrum of armed conflict ranging from stable peace to general war. Stable peace may degenerate into an unstable situation where two or more factions threaten to use violence to achieve their objectives. Unstable peace may deteriorate into irregular warfare, characterised by terrorism, insurgency, criminality, political and sectarian violence and possibly civil war. At the other end of the spectrum is true inter-state conflict and general war. At any stage within the spectrum the ADF may be required to contribute to humanitarian operations.

Operations and campaigns are planned and conducted with a whole-of-government approach where government departments and agencies work to achieve an integrated government response. The most common mechanism for this is the establishment of a joint task force (JTF) which can coordinate joint force activities within a subordinate area and can liaise and coordinate the activities of one or more of the Services in conjunction with another Government department or non-government organisation.

Planning is conducted by both dedicated Plans staff and by Operations staff at all levels. Plans staff develop broad courses of action with longer time horizons that describe the general schemes of manoeuvre with enough detail to highlight risks and resources. As the time for execution of the operation draws closer, handover of the plan will occur from Plans staff to Operations staff. This handover point will be different depending on the level of the headquarters and the operational context. Operations staff will continue to employ planning techniques or procedures after the handover to adjust the plan to meet changes to the operational environment.

The core tasks include:

  • Management and control of operations and tasks
  • Operational logs and registers
  • Planning by operational staff
  • Joint fires support and targeting
  • Air operations and joint airspace control
  • Maritime and amphibious operations
  • Non-combatant evacuation operations
  • Information operations
  • Air accidents and naval disaster investigation operations
  • Special operations
  • Exploitation
  • Combat imagery and audio.

The core business is supported by general activities such as:

  • Committees and groups
  • Directives, instructions, orders and briefs
  • Standard Operating Procedures
  • Liaison and coordination
  • Contract management.

Cross references to other parts of this records authority

For Command and Control aspects of operations use COMMAND AND CONTROL OF OPERATIONS.

For in depth planning conducted prior to the handover of Plans Branch staff to Operations Branch staff use PLANNING OPERATIONS.

For mounting of operations including force preparation, deployment, reception, staging, onwards movement and integration as well as rotation, extraction and return to Australia use OPERATIONAL DEPLOYMENT CYCLE.

For intelligence support to operations other than exploitation, human intelligence, interrogation and counter intelligence use INTELLIGENCE, SECURITY AND COMMUNICATIONS FOR OPERATIONS.

For personnel, medical, psychological and welfare aspects use PERSONNEL AND HEALTH SUPPORT TO OPERATIONS.

For logistics and support to operational elements use LOGISTICS SUPPORT TO OPERATIONS.

For financial aspects of operations use FINANCIAL MANAGEMENT OF OPERATIONS.

Class no Description of records Disposal action
61871

Records documenting:

  • Committees and groups formed to consider operational issues including Inter-Departmental Emergency Task Forces (IDETF) and Inter-Departmental Committees (IDC).

Decision making, guidance and direction (in the form of orders, instructions, directives) for significant operational activities including:

  • large scale deliberate operations and missions
  • tasks that have a notable effect on the progress of the overall operation or campaign
  • specific actions and missions likely to have historical significance
  • significant operational tasks that are likely to be used to substantiate potential future compensation claims.

Immediate command and control reports and returns of operational tasks where an incident has occurred, which may include:

    • contact with opposing forces
    • own force battle and non-battle deaths or casualties
    • damage or destruction of equipment
    • potential for ADF reputation damage
    • identification of sizeable weapons and equipment caches
    • hostile/opposed ship boardings
    • occurrence of notifiable incidents and missing or separated personnel.
  • Logs and registers used to record and track the conduct of ongoing operational tasks and missions.
  • Targeting plans and directives for current operations.
  • Assessment of joint targeting effects including combat assessments, battle damage assessments, weapons effectiveness assessments, collateral damage assessments and re-attack recommendations.
  • Plans related to airspace control and airspace management.
  • Air-related incidents and near misses.
  • Planning and conduct of amphibious operations.
  • Final information operations (IO) products, plans, materials and policies including general Information Operations records as well as those related to the specific areas of psychological operations, electronic warfare, civil-military operations, public affairs and counter-intelligence.
  • Air accident and naval disaster investigation operations including the ADF’s involvement in multinational investigations, findings and reports and the establishment and participation of committees, panels and forums for these types of operations.
  • Evacuee related aspects of non-combatant evacuee operations including evacuee briefs, registers, cards, nominal rolls, medical treatment reports and refusal of evacuation documents.
  • Planning and conduct of special operations missions and task including all reports and returns.

Combat imagery and audio taken during the conduct of operational tasks where an incident, event or accident has occurred including:

  • contact with opposing force
  • own force battle and non-battle deaths or casualties
  • damage or destruction of equipment
  • potential for ADF reputation damage
  • identification of sizeable weapons and equipment caches
  • hostile/opposed ship boardings
  • occurrence of notifiable incidents and missing/separated personnel.

[For National Security Council (NSC) related records and CDF/CJOPS authorisations use COMMAND AND CONTROL OF OPERATIONS.

For records relating to deliberate planning activities prior to the handover to operations staff use PLANNING OPERATIONS.

For investigations that are part of a Board of Inquiry or Parliamentary Inquiry use LEGAL AND SERVICE POLICE SUPPORT TO OPERATIONS.]

Retain as national archives
61872

Records documenting:

  • Biometric forensic information of specific individuals collected during operations.
  • Initial tactical processing, management and all-corps questioning of captured personnel.
  • Management, monitoring and conduct of interrogation sessions, broader detainee management procedures and information of potential intelligence value derived as a result of interrogation and detainee procedures and processes.
Destroy 75 years after operation has ceased
61873

Records documenting:

  • Currency and operational logs and registers which record, track and provide supervision of information related to operational training currency and the compliance of specific operational requirements and standards.
  • Air mission products including the preparation of air missions and post-mission debriefs including rotary wing, fixed wing and unmanned aerial systems.
Destroy 50 years after operation has ceased
61874

Records documenting:

  • Operational planning products relating to the continual planning process conducted by operations staff once responsibility has been handed over from dedicated planning teams/branches.
  • Specific procedures (SOPs), techniques, tactics and procedures (TTPs) that are particular to that operation or theatre or have been adapted from standard doctrine and procedures to meet unique operational requirements and situations.
  • Review, refinement or adjustment of targeting plans conducted throughout the conduct of operations.
  • Management of human intelligence cases and sessions and the reporting of information of potential intelligence value derived as a result of human intelligence activities.
  • Site exploitation of operational locations where criminal or follow-on investigative procedures have taken place.
  • Operational exploitation using technical means including chemical analysis, weapons exploitation data, material exploitation data and technical reports.

[For records relating to deliberate planning activities prior to the handover to operations staff use PLANNING OPERATIONS.]

Destroy 20 years after operation has ceased
61875

Records documenting:

  • Decision making, guidance and direction (in the form of orders, directives, instructions and briefs) provided for operational activities other than those covered in class 61871.
  • Planned and impromptu specialist working groups held as part of the routine operational battle rhythm.
  • Immediate command and control reports and returns of operational tasks (air, sea or land) where no incidents have occurred (routine reports and return).
  • Liaison and Coordination within Defence between operational elements and headquarters, with other external headquarters, coalition partners, liaison officers, embedded officers, and other government agencies relating to the conduct of current operations, collaboration and information sharing, discussions and integration and synchronisation of operational effects.
  • Routine air planning and tasking processes.
  • Drafting (but not final products) of Information Operations products, plans, materials and policies including those related to psychological operations, electronic warfare, civil-military operations, public affairs and counter-intelligence.
  • Site exploitation of operational locations where no criminal or follow-on investigative procedures have taken place.

[For records relating to deliberate planning activities prior to the handover to operations staff use PLANNING OPERATIONS.]

Destroy 10 years after operation has ceased
61876

Records documenting:

  • Management of the performance of work or the provision of a niche capability by external contractors, vendors, providers or consultants on deployed operations.
Destroy 7 years after completion or termination of contract
61877

Records documenting:

  • Local negotiations and understandings with coalition partners, local authorities, other government agencies or any other external stakeholders relating to the conduct of operations.
Destroy 5 years after operation has ceased
61878

Records documenting:

  • Administration and coordination relating to the management of committees and groups which are formed to consider operational tempo, situational understanding, operational progress and other key issues such as national imperatives, media issues, reporting issues, human factors, and synchronisation.
Destroy 5 years after action completed
61879

Records documenting:

Systems data or information related to the planning, control and execution of operations that is routine in nature and is not required as evidence.

  • Joint fires support systems data
  • Joint airspace control systems data
  • Aviation sensor (aviation sensors, surveillance and collection data)
  • Maritime specific control systems data
  • Maritime sensor (maritime sensor, surveillance and collection data).
Destroy after confirmation that there are no exceptional events or incidents recorded

Financial Support of Operations

The core business of managing Defence’s financial resources for operations. Financial management of operations includes:

  • Budgeting and financial reporting
  • General transactions and accounting
  • Policy governance and audit coordination
  • Treasury, banking and tax.

Financial management is comprised of two mutually supporting core processes. They are financing and financial services.

Financing encompasses the planning and execution stages of the operation, which covers:

  • Preparation of financial estimates and financial management plan for the operation
  • Government approval of operational funding arrangements, including requests for supplementary funding
  • Cost capture
  • Management of recovery arrangements
  • Reporting expenditure to Government.

Financial services comprises the financial support provided to units, commanders and personnel on operations. These services include:

  • Financial advice and support
  • Managing financial delegations
  • Supporting the procurement of materiel, goods and services
  • Managing official bank accounts
  • Financial aspects of stores accounting
  • Claims processing
  • Cash office services
  • Support to non-public monies accounts.

The finance framework for operations is currently governed by but not limited to the following legislation:

  • Defence Act 1903 (Defence Act)
  • Financial Management and Accountability Act 1997 (FMA Act), prior to 30June 2014.
  • Public Governance, Performance and Accountability Act 2013 (PGPA Act), which was effective from 01 July 2014.

Defence is allocated finances in a budget, currently managed through the Defence Management and Finance Plan (DMFP). The DMFP provides oversight of Defence planning and financing strategies. As a compendium of information attached to Defence’s annual Portfolio Budget Submission, it is intended to help Ministers make informed strategic and budgetary decisions regarding Defence by bringing into one document the expected financial position of the portfolio taking into account existing commitments and proposed new investments.

The framework for costing of operations is part of the Financial Planning and Budget Framework which mandates the use of a suite of templates for collation and final analysis before gaining government approvals. The financial impact on Defence of mobilisation and the subsequent conduct of major operations may be reduced by government supplementation funding.

The Government’s established practice is to supplement Defence for the net additional cost of operations on a ’no-win no-loss‘ basis. In simple terms, extra funding is provided to meet the costs over and above those that would have been incurred by the force elements had they not been deployed.

From a financial costing approach, there are two levels of operational commitments based on the concept of supplementation funding. Defence receives supplementation for the net additional cost of major operations, with a nominal current net threshold of $10,000,000 used to distinguish between minor and major operations.

Minor operations - net additional costs are absorbed by groups, although group heads or executives can seek funding through the Workforce and Financial Management Committee as part of the savings and efficiencies process, if they are unable to absorb these costs.

Major operations - supplementation is sought from Government for the net additional cost (NAC) of the operation, including any associated rapid acquisitions of capability. The Chief Finance Officer is responsible for reviewing the consolidated NAC estimates and securing Department of Finance agreement to the costs.

The core tasks include:

  • Management of prisoner of war accounts
  • Management of non-public monies accounts in an operational setting
  • Claims against the Commonwealth
  • Contingent liabilities in an operational setting
  • Management of captured currency
  • Destruction of currency
  • FMA Act Regulation 10 compliance or equivalent
  • Payment of public money to foreign forces (outside the wire payments)
  • Security, storage and transportation of public money
  • Tactical payment scheme
  • Improper use of public money, liability and loss of public property
  • Gifts, hospitality and sponsorship
  • Acquisition of equipment, goods and services
  • Contract management
  • Leasing
  • Operational procurement
  • Cash advance, imprest or bulk funds certificate.

The core business is supported by general activities such as:

  • Liaison and coordination

Cross references to other areas of this records authority

For decisions relating to operational procurement and official hospitality use COMMAND AND CONTROL OF OPERATIONS.

Cross references to AFDA Express records authority

For accounting; agreements and arrangements; asset registers and non-public monies accounts; audit; budgeting/estimates; compliance; financial advice; financial reporting; financial statements; fraud; general financial delegations and appointments; handbooks, manuals and procedures; legal services; meetings and working groups; payments; planning; polices directives and instructions; purchase of foreign currency; risk management; and treasury management, use AFDA Express – FINANCIAL MANAGEMENT

Cross references to other Defence records authorities

For records relating to the acquisition of military capability systems, use CAPABILITY DEVELOPMENT, ACQUISITION AND DISPOSAL.

For payment of salaries, group certificates, tax declaration forms, and records of superannuation deductions for personnel assigned on operations, use MILITARY PERSONNEL, HEALTH, WELFARE AND CLAIMS.

Class no Description of records Disposal action
61893

Records documenting:

  • Overarching financial management plans for operations.
  • Establishment and implementation of financial policies directives and instructions relevant to operations.
  • Management of committees relating to financial aspects of operations.
  • Receipt of all financial personal effects taken from captured personnel and the ownership of finances of captured personnel.
  • Captured personnel trust account.
  • Captured currency registers and notes.
  • Destruction of currency on operations including the destruction schedule (for notes) disposal schedule (for coins), witness statements if required, and investigation reports.

[For captured personnel and exploitation, use CONDUCT OF OPERATIONS.]

Retain as national archives
61894

Records documenting:

  • Waiver of debt for Defence supplied goods and services provided in support of an operation.
  • Application, investigation, determination and provision of an act of grace payments.
Destroy 75 years after operation has ceased
61895

Records documenting:

  • All contingent liabilities recorded during or related to an operation.
  • Rapid acquisition or urgent operational requirement processes for operations.

[For decisions relating to operational procurement, use COMMAND AND CONTROL OF OPERATIONS.]

Destroy 50 years after operation has ceased
61896

Records documenting:

  • Special accounts used for operations.
Destroy 20 years after action completed
61897

Records documenting:

  • Manuals and handbooks that detail procedures supporting the financial management function on operations.
  • FMA Act Regulation 10 or equivalent which is the identification of future spending beyond the current financial year and the documents/reports that support the requirement to create a contingent liability on operations (this excludes the contingent liability itself).
  • Preparation and payment of money to foreign forces.
  • Asset registers of donations and gifts.
Destroy 15 years after operation has ceased
61898

Records documenting:

  • Management of debt recovery on operations.
  • Misappropriation or improper use of public money on operations.
  • Management of donations of money or equivalent value gifts to and by the ADF on operations.
  • Disposal of gifts received by personnel whilst on operations.
Destroy 15 years after action completed
61899

Records documenting:

  • Formal or overarching internal and external reports for the financial management of operations including reports made in response to a statutory obligation and reports required for submission on a regular basis
Destroy 10 years after operation has ceased
61900

Records documenting:

  • Budget estimates and associated records prepared for external approval.
  • Advice relating to the development of agreements and arrangements that have financial management implications or require financial delegate approval.
  • Development and issue of tender documentation, the evaluation of tenders received against selection criteria, post-offer negotiations and due diligence checks.
  • Bulk funds certificate.
Destroy 10 years after action completed
61901

Records documenting:

  • Acquisition of equipment, goods and services where there is no tender or contracting-out process (for example where the cost of the acquisition is below the threshold for tendering or where a purchase is made against a period contract).
  • Internal fund allocations (cash advance or imprest) including restrictions and variations to funding allocations, and the documented approval to establish an advance by the approved delegate.
  • Safehand transportation, security arrangements and transport of public money on operations.
Destroy 7 years after action completed
61902

Records documenting:

  • Simple contracts resulting from tenders and supporting records.
  • Contract management relating to any supplied goods and services to Defence in support of an operation.
  • Leasing of items, equipment, accommodation, premises or real estate, or the charter of services relating to operations.
Destroy 7 years after completion or termination of contract or lease or charter
61903

Records documenting:

  • Financial advisers post operational report (POR) or equivalent which relates discrete financial adviser activities, initiatives, issues and concerns relating to the period of deployment.
  • Tactical payment scheme or equivalent including administrative documentation of sub-advance, details of the incident relating to the payment, investigations, and consolidation reporting.
Destroy 7 years after operation has ceased
61904

Records documenting:

  • Unsuccessful tenders or a tender process where there is no suitable bidder or the process is discontinued.
Destroy 5 years after tender process completed or decision not to continue is made
61905

Records documenting:

  • Selection and retrofitting of operations financial system requirements.
  • Liaison and maintenance of regular or routine contact between stakeholders, planners and other staff members (including contactors) regarding financial matters on operations.
  • Warrantees and guarantees relating to finance.
  • Administration relating to general financial reporting.
Destroy 5 years after action completed
61906

Records documenting:

  • Routine operational administrative tasks supporting the core business
  • Financial support to operations activities, other than those covered in classes 61893 to 61905.
Destroy when reference ceases

Intelligence, security and communications for operations

Defence requires a wide range of intelligence on which to base plans and decisions. The Australian intelligence community and other ADF elements are involved in providing this intelligence. National level agencies provide intelligence support to Defence and conversely, Defence intelligence elements contribute to the wider national intelligence effort. Intelligence supports, informs and enhances decision making. It is driven by leadership direction and adds value to information about the environment, the adversary and other stakeholders. The relationship between leadership, operations and plans staff and intelligence staffs is critical to mission success.

Intelligence involves evaluation, analysis, integration and interpretation of disparate pieces of information and existing intelligence, to try to clarify a situation and produce meaningful conclusions, assessments, and predictions. Intelligence requirements are questions while information requirements are answers. Intelligence supports and overlaps all levels of command and occurs at all levels – strategic, operational and tactical. Service Headquarters all have staff elements for the provision of advice to the Service Chiefs regarding intelligence and security policy, as well as single-Service responsibilities for intelligence resource commitments and capability development.

Intelligence supports planning and operations, and counters hostile or potentially hostile intelligence threats, which seek to gain information about ADF capabilities and intentions, exploit vulnerabilities and strike at personnel and facilities. Subjects of intelligence include:

  • Biographic intelligence
  • Counter intelligence
  • Cultural or sociological intelligence
  • Economic intelligence
  • Geographic intelligence
  • Health or medical intelligence
  • Infrastructure intelligence
  • Logistics intelligence
  • Political intelligence
  • Scientific and technical intelligence
  • Security intelligence
  • Targeting intelligence
  • Threat forces or armed forces intelligence.

The gathering of information during the collection phase is done through sources and agencies (SANDA). Collection sources can be grouped into several primary disciplines:

  • Geospatial intelligence
  • Signals intelligence
  • Human intelligence (HUMINT)
  • Open source intelligence
  • Acoustic intelligence
  • Measurement and signature intelligence
  • Imagery intelligence
  • Document and media intelligence
  • Technical intelligence.

Collection assets operate across the operational environment domains of land, maritime, air, space, cyber, electromagnetic spectrum and information. Domains are overlapping and interrelated, so assets will often be employed in a number of domains simultaneously.

The intelligence cycle involves four primary phases of activity – direction, collection, processing and dissemination. Joint intelligence preparation of the operational environment (JIPOE) is a systematic, dynamic process for analysing the total environmental effects on operations and the threats to that operation, particularly the capability and intent of armed adversaries, considering the dimensions of space and time. JIPOE supports staff planning and informed decision making in military appreciation process (MAP).

Security is the measures taken by command to protect itself from espionage, sabotage, subversion, observation, annoyance or surprise. The intent is the protection of people, information, property and activities to ensure the consistent proper functioning of Defence through the continuum of Defence activities. Security is considered from the outset of any Defence activity; from planning to deploying forces, to the conduct of operations and its conclusion.

Information security is about administering guidelines and standards for the protection of Australian Government information and communications technology (ICT) and ADF ICT networks and information systems from unauthorised access and other potential threats on operations, and during the conduct of other Defence business. It includes providing material, advice, and other assistance on matters relating to the security and integrity of information that is stored, processed, or communicated by electronic or similar means. It includes cryptology and compliance monitoring on operations. Communication and information systems (CIS) have two system components, mainly for data communication and information processing and presentation. The ability to operate CIS with other agencies both domestically and internationally is a key Defence capability enabler. Whether Defence is acting cooperatively with another Australian Government agency or operating as part of a multi-national force, the ability to exchange records quickly and confidently is essential.

The core tasks include:

  • Technical control for communication, information systems, intelligence systems and processes for operations
  • Official information exchange
  • Specific intelligence products
  • Signals intelligence
  • Technical documents, media and open source intelligence products
  • Geospatial and imagery, measurement and signature and acoustic intelligence products
  • Joint Intelligence Preparation of the Operating Environment
  • Intelligence cycle – direction, collection, processing and dissemination
  • Standing collection requirements
  • ICT accreditation and certification
  • Controlled access management
  • Communications security monitoring, testing and reporting
  • CIS architecture, engineering and installation
  • CIS maintenance and monitoring
  • Information and records management for operations
  • Satellite management
  • Formal messaging
  • Security safe base
  • Security contact reports
  • Security registers and clearances
  • Assignment of compartments and codewords
  • Movement of classified information and security assets
  • Information security incidents, breaches and accidents.

The core business is supported by general activities such as:

  • Technical advice
  • Agreements and arrangements
  • Directives, policies and instructions
  • Planning
  • Technical standards and compliance
  • Handbooks, manuals and procedures
  • Risk management
  • Committees, groups, boards and forums
  • Working groups
  • Liaison and coordination
  • Training and awareness
  • Reporting
  • Contract management
  • Maintenance.

Cross references to other areas of this records authority

For military appreciation process (MAP) outputs use PLANNING OPERATIONS.

For detainee management, electronic warfare operations, psychological operations, information operations, counter intelligence operations, civil-military operations, HUMINT, tactical activity reports and exploitation plans and reports use CONDUCT OF OPERATIONS.

Cross references to other Defence records authorities

For general daily intelligence summaries not related to specific operations, strategic intelligence estimates not relevant to operations, security threat assessments for non-operational activities abroad, technical bulletins or briefs not related to operations, and biographic reports not related to operations use INTELLIGENCE, SECURITY, COMMUNICATIONS AND OTHER GEOSPATIAL SERVICES.

For national committees or committees on intelligence and strategic guidelines laid down by government during peacetime activities higher than the Advisory committee for Defence Intelligence or equivalent, use GRA21 Records Relating to the Intelligence Function in any Commonwealth Agency.

Class no Description of records Disposal action
61849

Records documenting:

Intelligence, security (including information security) and communications common activities

  • Specialist technical control by designated authorities for: communication and information systems (CIS) for operations; Defence system-wide communication and information systems processes for operations; Defence intelligence information systems (DIS) for operations; Defence system-wide intelligence processes for operations.
  • negotiation, implementation, amendment and review of high level agreements and arrangements for operations relating to intelligence, security and communications including treaties, bilateral security instruments, memorandum of understanding and the agreements and arrangements that may endure beyond the scope of the operation.
  • Development, establishment and implementation of directives and policies relating to Intelligence, Security and Communications for operations.
  • Development, establishment and implementation of high level or overarching instructions relating to Intelligence, Security and Communications for operations which address matters of an enduring nature.
  • Plans and supporting plans for operations relating to Intelligence, Security and Communications.
  • Technical standards and compliance which are applied on operations relating to Intelligence, Security and Communications.
  • Committees, groups, boards and forums which are established to consider matters for operations relating to Intelligence, Security and Communications.
  • Unique Information and records management protocols for operations including the disposal of records in the area of operations, deployment of ICT hardware for downloading records for audit and migration back to Australia, control records for the management of files, control records for the management of artefacts.
  • Information security major investigations, breaches and accidents which occur on operations. Major incidents are usually deliberate, negligent or a reckless action that leads, or could lead to the loss, damage, corruption or disclosure of official information or assets.
  • security major investigations, breaches and accidents which occur on operations.
  • Compartment and codeword allocation for operations including caveats and nicknames

Communication reporting

  • Overarching communication and information systems (CIS) reporting to the executive.

Specific intelligence product

  • Responses to specific customer tasks or requests for intelligence to assist ADF Operations.

Signals intelligence

  • Serialised product.

Technical, document and media, and open source intelligence

  • Technical, document and media, and open source intelligence products generated in any format to assist ADF operations.

[For command and control aspects such as authorisation of agreements and arrangements, the authorisation of the overarching operation plan use COMMAND AND CONTROL OF OPERATIONS.

For low level and locally made agreements and arrangements; electronic warfare plans, psychological operation plans, information operations plans, counter intelligence plans, civil-military plans and exploitation plans; tactical activity reports, HUMINT, counter intelligence operations or exploitation reports use CONDUCT OF OPERATIONS.

For logistics and support agreements and arrangements use LOGISTICS SUPPORT TO OPERATIONS.

For financial management advice and financial aspects of agreements and arrangements use FINANCIAL MANAGEMENT OF OPERATIONS.

For financial management advice and financial aspects of agreements and arrangements use FINANCIAL MANAGEMENT OF OPERATIONS.

For legal aspects including advice for agreements and arrangements use LEGAL AND POLICE SUPPORT TO OPERATIONS.

For the development of the overarching operation plan and military appreciation process (MAP) outputs use PLANNING OPERATIONS.

For the development of the overarching operation plan and military appreciation process (MAP) outputs use PLANNING OPERATIONS. For intelligence which is not produced for operations and intelligence relating to weapons of mass destruction, proliferation assessments, and military export use Defence Records Authority INTELLIGENCE, SECURITY, COMMUNICATIONS AND OTHER GEOSPATIAL SERVICES.]

Retain as national archives
61851

Geospatial and imagery, measurement and signature and acoustic intelligence

  • Geospatial and imagery, measurement and signature, and acoustic intelligence products generated in any format to assist ADF operations.
  • Intelligence and/or image registers, diaries and logs produced by request for operations.
  • Military hydrographic surveys and maritime military geospatial information. Includes only military hydroscheme and maritime military geospatial information which directly support operations and apply to Australia’s maritime areas of interest that are not published in Hydroscheme or any similar publication.
  • General navigation, positioning, infrastructure and other geospatial analysis products. Includes only navigation, positioning, infrastructure graphics, and other analysis products generated to assist ADF operations.

Joint intelligence preparation of the operational environment, including single service intelligence preparation of the operational environment and intelligence preparation and monitoring of the battlespace

  • JIPOE – step one – defining the operational environment – situation review and threat scope.

Satellite management for operations

  • Control and planning of satellite usage in support of operations including ADF UHF space segment allocation, non-UHF space segment and creating and implementing protocols for satellite access.

[For maritime, land and aerospace records that feed into the joint intelligence preparation of the operational environment (JIPOE) use class 61856.

For records relating to the JIPOE – step one – defining the operational environment – limitations adversary intentions, parameters, environmental characteristics and all other JIPOE steps use Class 61856

For geospatial, imagery, measurement, signature and acoustic committees, groups, boards and forums use class 61849.

For general geospatial records including film and video products (aerial surveys post 1951); master versions formatted, extracted, transformed or converted hydrographic, bathythermograph and oceanographic datasets; final hydrographic survey data and records and encapsulated or annotated metadata; final reports and hydrographic surveys of the National Hydrographer; meteorological surveys and logs; completed image logs; image diary; Navy weather forecasting data; and eye witness reports which are not operations related, use Defence Records Authority INTELLIGENCE, SECURITY,COMMUNICATIONS AND OTHER GEOSPATIAL SERVICES.

For geospatial historical collections and collections of intrinsic value such as original geospatial paper nautical charts collection created from 1913 to 1999, acquired charts from 1800 to 1913, Royal Navy charts acquired up to 1960, geospatial histories products, oceanographic handbooks, negatives and aperture cards, such as the pre-1951 special collection and topographical mapping station field books and survey records of Central Australia (1988) including repromat film, and Army Survey Regiment maps special collection, use Defence Records Authority INTELLIGENCE, SECURITY,COMMUNICATIONS AND OTHER GEOSPATIAL SERVICES.

For records relating to geospatial and imagery intelligence for the purposes of supporting commonwealth and state authorities in carrying out national security functions or supporting emergency response which are not ADF operations use Defence Records Authority INTELLIGENCE, SECURITY,COMMUNICATIONS AND OTHER GEOSPATIAL SERVICES.

For records relating to the national hydrographic surveying and charting plan – hydroscheme, use General Defence Records Authority INTELLIGENCE, SECURITY, COMMUNICATIONS AND OTHER GEOSPATIAL SERVICES.

For records documenting the review, evaluation, audit and inspection of geospatial services and programs use Defence Records Authority INTELLIGENCE, SECURITY, COMMUNICATIONS AND OTHER GEOSPATIAL SERVICES.]

Retain as national archives
61853

Records documenting:

  • Communications and information systems (CIS) architecture for operations including topology of network, details of deployed classified networks and stand-alone systems, CIS communication information systems service matrix and combat net radio diagrams.
Destroy 35 years after operation has ceased
61854

Records documenting:

  • Communication and information systems (CIS) engineering for operations.
  • Coordination of contracts, leases and facilities for satellite management and access for operations.
  • Negotiation, implementation, amendment and review of routine agreements and arrangements relating to intelligence, security and communications for operations including memorandums of understanding, contracts, communications and technology standardisation agreements, exchange of letters, and exchange of notes which are created for the duration of an operation.
  • Operationally specific Intelligence, Security and Communication handbooks and manuals detailing standard methods of operating.
  • Security Registers which detail personnel security clearances and passes for use on operations.
Destroy 25 years after operation has ceased
61855

Records documenting:

  • Communication and information systems (CIS) harmful interference reporting.
  • Security contact reporting on operations

[For records relating to counter intelligence activities use CONDUCT OF OPERATIONS.]

Destroy 25 years after action completed
61856

Records documenting:

  • JIPOE – step one – defining the operational environment – limitations adversary intentions, parameters, environmental characteristics
  • JIPOE – step two – describe the operational effects
  • JIPOE – step three – evaluate the threat
  • JIPOE – step four – determine adversary courses of action
  • JIPOE – commander’s feedback for integration
  • Intelligence cycle – dissemination phase. The records associated with intelligence delivery, dissemination and its entry into a command and control system.

[For other records relating to the intelligence cycle use classes 61858, 61861, 61865 and 61868.]

Destroy 20 years after operation has ceased
61857

Records documenting:

  • Negotiation, implementation, amendment and review of special authorities for the release of classified information and intelligence for operations.
  • Communications special reporting.

[For records relating to tactical unit activity reports use, CONDUCT OF OPERATIONS.]

Destroy 15 years after operation has ceased
61858

Records documenting:

  • Formal exchange of classified information or intelligence carried out under special authorities or agreements and arrangements with other Australian intelligence community agencies, non-government agencies, foreign governments, allies, NATO, and other coalition forces or partners.
  • Development, establishment and implementation of routine Instructions relating to Intelligence, Security and Communications for operations.
  • Intelligence cycle – direction phase – commander’s input, assessments and approval.
  • Standing collection requirements which apply to air, land and maritime assets and platforms including operational tasking intelligence supplements, standing collection directives, orders and procedures.
  • Information security investigations, breaches and accidents other than those covered in class 61849. Minor incidents may be deliberate, negligent or accidental and are often the result of a failure to comply with security policy.
  • ICT/HACE (high assurance cryptographic equipment) accreditation and certification of infrastructure, data applications, assets, equipment and other capabilities involved in the exchange of data on operations.
  • Accountable cryptographic material (ACM) authorisations and account authorities.
  • Accountable cryptographic material (ACM) damage, repair and return to Australia.
  • Communications security (COMSEC) threat and vulnerability assessments.
  • Application of systems control (SYSCON) relating to communication systems deployed on operations.
  • Determination and implementation of communication designators for use in the area of operations.
  • Communications status reporting.

[For records relating to investigations undertaken and handed over to the Service Police or ADF Investigative Service (ADFIS), use LEGAL AND SERVICE POLICE SUPPORT TO OPERATIONS.

For records relating to tactical unit activity reports use, CONDUCT OF OPERATIONS.]

Destroy 10 years after operation has ceased
61859

Records documenting:

  • Risk management and assessments relating to Intelligence, Security, Information Security and Communications on operations.
  • Working groups, conferences and seminars relating to Intelligence, Security, Information Security and Communications on operations.
  • Communications and information systems (CIS) data and statistics reporting.
  • Formal messaging management for operations.
  • Safebase protocols on operations.
  • Management of the movement of classified information and security assets in the area of operations.

[For records relating to Australian Defence wide Safebase protocols use Defence Records Authority INTELLIGENCE, SECURITY, COMMUNICATIONS AND OTHER GEOSPATIAL SERVICES.

For records relating to the movement of personnel, equipment and other assets excluding the movement of classified information and assets use LOGISTICS SUPPORT TO OPERATIONS.]

Destroy 7 years after action completed
61860

Records documenting:

  • Security contract management on operations.

[For the payment of contracts use FINANCIAL MANAGEMENT OF OPERATIONS.

For the legal advice relating to the establishment of contracts use LEGAL AND SERVICE POLICE SUPPORT TO OPERATIONS.]

Destroy 7 years after completion or termination of contract
61861

Records documenting:

  • Intelligence cycle – direction phase – commanders input including risk assessments and approval of collection plans.
  • Accountable cryptographic material (ACM) equipment management and distribution on operations.
  • Minor plans and unit plans relating to Intelligence, Security and Communications for operations such as unit security plans, unit force protection plans, unit weapons security plans, unit explosive ordnance plans, unit risk management plans and other minor or supporting plans.
  • Security investigations, breaches and accidents which occur on operations.
  • Communication and information systems (CIS) Installation, adjustment, configuration or assembly for operations.
  • Communication and information systems (CIS) quality assurance reporting.
  • Security third party special identity cards (excludes security vetting).
  • Security clearances, visit clearance and travel clearances for personnel already deployed on operations (excludes security vetting).

[For communication security investigations, breaches and which occur on Defence bases and establishments during the normal course of Defence business and vetting undertaken by the Australian Government Security Vetting Agency or equivalent use Defence Records Authority INTELLIGENCE, SECURITY, COMMUNICATIONS AND OTHER GEOSPATIAL SERVICES.]

Destroy 5 years after operation has ceased
61862

Records documenting:

  • Specialised or authoritative technical advice relating to intelligence, information security and security on operations including resolution of issues, verification of findings, physical examination or equipment or land, separate assessments, evaluations or monitoring, independent monitoring and other forms of technical advice.
  • Administration relating to Intelligence, Security and Communications agreements and arrangements for operations including general correspondence, drafts, comments and changes, minutes of supplementary meetings.
  • Administration relating to Intelligence, Security and Communications directives and policies for operations including general correspondence, results of consultation, research papers, policy proposals, drafts, comments and feedback on preliminary policy.
  • Administration relating to Intelligence, Security and Communications instructions including general correspondence, results of consultation, initial drafts.
  • Administration relating to Intelligence, Security and Communications committees, groups, boards and forums for operations including general correspondence, distribution lists, attachments, supplementary notes, external records from other agencies and coordination activities.
  • Administration relating to Intelligence, Security and Communications plans for operations including general correspondence, drafts of plans, significant comments, working papers, administrative arrangements in relating to planning.
  • Liaison and coordination relating to Intelligence, Security and Communications for operations. Includes the activities associated with maintaining regular and general contact between stakeholders including non-government organisations, coalition partners, headquarters, NATO.
  • Information security cryptographic and communications security training for operations.
  • Security training for operations.
  • ICT physical environment accreditation and installation. Includes evidence of physical security accreditation of the facilities in which ICT/HACE systems operate and the installation records of the equipment into them on operations.
  • Procedures and standard operating procedures relating to Intelligence, Security and Communications for operations. Operation specific procedures are generally developed and adapted to meet continually evolving requirements of a specific operational theatre or situation and are reviewed on a regular basis.
  • Communications security (COMSEC) monitoring, testing and reporting including monitoring logs.
  • Hardening or ruggedising of ICT for deployment in the area of operations.
  • Maintenance of security equipment and buildings on operations.

[For records relating to the conduct of Information Security and Security training undertaken regularly on Defence bases and establishments during the normal course of Defence business use Defence Records Authority INTELLIGENCE, SECURITY, COMMUNICATIONS AND OTHER GEOSPATIAL SERVICES.]

Destroy 5 years after action completed
61863

Records documenting:

  • Communication and information systems (CIS) application and component development for operations.
Destroy 5 years after system defunct and data is migrated
61864

Records documenting:

  • Accountable cryptographic material (ACM) control. Includes the records detailing quarantine, suspension, deactivation, and reactivation, closure and contingency account creation for operations.
Destroy 3 years after operation has ceased
61865

Records documenting:

  • Information analysis and reference aids for geospatial and imagery, measurement and signature and acoustics intelligence.
  • Joint intelligence preparation of the operational environment (JIPOE) administrative support.
  • Intelligence cycle – direction phase – requests, validation and rejections.
  • Intelligence cycle – collection phase – management of the collection plan.
  • Intelligence cycle – processing phase – collation and analysis tools, registers and logs.
  • Intelligence cycle – dissemination phase – stakeholder feedback.
  • Accountable cryptographic material (ACM) local accounting. Includes completed issue, receipt, audits, dairies, logs, tracer, transfer, and compliance forms and general reporting.
  • Administration relating to the development of communication and information system (CIS) applications designed for operations.
  • Administration relating to communication data exchange.
  • Communication and information systems (CIS) daily, weekly and monthly availability reporting and interface reporting on operations.
  • Administration relating to the conduct of formal messaging on operations.
  • Administration relating to the movement of security assets or classified information on operations.
Destroy 2 years after action completed
61866

Records documenting:

  • Communications security (COMSEC) database event logs and automatic auditing.
  • Loss, damage or compromise of classified information or security assets whilst being moved, relocated or whilst in transit on operations.
Destroy 2 years after investigation is closed
61867

Records documenting:

  • Signals operational data. Agency data acquired or generated in the course of providing signals intelligence, information security or cyber intelligence for operations.
  • Geospatial and imagery, measurement and signature and acoustic operational data. Agency data acquired or generated in the course of providing intelligence for operations.
  • Specific intelligence information acquired or generated in the course of creating intelligence products for operations.
  • Technical, document and media, and open source information acquired or generated in the course of creating intelligence products for operations.
  • Accountable cryptographic material (ACM) routine destruction on operations.
  • Keying materiel and aids created for use on operations.
Destroy when agency specifies
61868

Records documenting:

  • Administration relating to Intelligence, Security and Communications liaison and coordination for operations. Includes low level, daily, routine and administrative records and correspondence and direct liaison authorities.
  • Intelligence cycle – processing phase – removal of irrelevant information and data.
Destroy when reference ceases
61869

Records documenting:

  • Maintenance activities and inspections of communication and information systems (CIS) deployed on operations.
  • Communication and information systems (CIS) monitoring (not related to security - COMSEC))
  • Satellite messaging and other satellite administration.
Destroy 6 months after verification of the transcribed data has been completed
61870

Records documenting:

  • Accountable cryptographic material (ACM) registers and specific lists created on operations.
  • Accountable cryptographic material (ACM) check sheets created on operations.
Destroy when all actions are accounted

Legal and service police support to operations

The core business of ensuring that the ADF conducts operations in accordance with operations law, including policing of deployed forces. Military commanders are vested with the legal authority to command forces and conduct operations and legal officers and specialists assist commanders (at all levels of command) with legal advice. This advice falls into two general areas:

  • Conduct of operations. Including the engagement of targets, management of prisoners of war and maintenance of law and order in an operational area.
  • Legal support to operations. Including the financial aspects of logistics contracts, implementation of international support agreements and the application of military justice in an operational area.

Operations law encompasses Australian, foreign domestic and international laws associated with the planning and execution of all military operations. It includes the law of armed conflict, human rights law, Australian and foreign domestic law, air law, law of the sea, counter-terrorist activities, overseas procurement, discipline, pre-deployment preparation, deployment, status of forces agreements, operations against hostile forces, aid to the civil power and civil-military matters.

Legal support to operations includes:

  • Commercial and financial law
  • Agreements and arrangements
  • Operational procurement
  • Legislation and policy changes
  • Reportable incidents
  • Legal assistance to ADF members.

The Military Justice System is the body of law and procedures governing Defence personnel and comprises the military discipline system and the military administrative system. A service tribunal is an Armed Services court of law. Within the ADF military justice system, there are three levels of service tribunals appropriate to the severity of the alleged breach of military law: Summary Proceedings; Defence Force Magistrate and Court Martial.

The ADF Service Police perform routine policing tasks such as law and order patrols, traffic management, incident response and crime investigations. Within the ADF, routine police tasks are performed by General Duties Service Police, which includes police from the three Services: Naval Police Coxswains, Army Military Police and Air Force Police. The ADF equivalent to the civilian detective branch is currently known as the Australia Defence Force Investigative Service (ADFIS). ADFIS consists of specially trained investigators whose role is to conduct major and complex crime investigations.

Defence inquiries are investigations carried out by ADF officers who have been appointed to inquire and report on a subject. Inquiries of a minor nature may be conducted by individual officers, or require a board to be convened to consider matters of greater significance.

The core tasks include:

  • Agreements and arrangements
  • Legal training
  • Legal advice for planning
  • Law of armed conflict
  • Rules of engagement and orders for opening fire
  • Types of operations
  • Legal aspects of targeting
  • International law and humanitarian law
  • Law of the sea and air law
  • Domestic law
  • Commercial and financial law
  • Operational procurement
  • Military justice system
  • Reportable incidents
  • Legal assistance to defence personnel
  • Inquiries
  • Service tribunals
  • Investigations by General Duties Service Police
  • Arrest of Defence personnel
  • Management of a force detention centre
  • Detention of Defence personnel
  • Routine law enforcement
  • Use of force
  • Support to emergency management
  • Escort of human remains
  • Management of captured personnel, the facilities and captured documents and material.
  • Unauthorised arrivals detainee management
  • Criminal intelligence management
  • ADFIS investigations.

The core business is supported by general activities such as:

  • Planning
  • Directives and policies
  • Committees, groups, boards and forums
  • Manuals and procedures
  • Liaison and coordination.

Cross references to other areas of this records authority

For CDF/CJOPS authorisation of directives such as the CDF targeting directive, types of operations directives (such as Humanitarian Aid and Disaster Relief), orders for opening fire (OFOF) and CDF rules of engagement (ROE) authorisation use COMMAND AND CONTROL OF OPERATIONS.

Cross references to other Defence records authorities

For records relating to the provision and adjustment of ADF personnel wills, power of attorney, next of kin, or advice and assistance relating to mediation, personal injury, workers compensation, and family law use DEFENCE JUSTICE, SERVICE POLICING AND LEGAL SERVICES.

Class no Description of records Disposal action
61907

Records documenting:

  • Defence Legal, Service Police and Australian Defence Force Investigative Service annexes, appendices or subordinate plans to operation orders.
  • Development, establishment and implementation of Defence Legal, Service Police and Australian Defence Force Investigative Service directives and policies for operations.
  • Management of Defence Legal, Service Police and Australian Defence Force Investigative Service committees, groups, boards and forums in support of operations.
  • Negotiation, implementation, amendment and review of significant (overarching, high-level and may exist beyond the duration of the operation) Service Police agreements and arrangements for operations.
  • Advice provided by Defence Legal on types of operations for which the use of lethal force may or may not be authorised by the Government. Includes legal advice provided to groups, bodies and forums where the legality regarding the use of force on operations is discussed.
  • Advice on the law of armed conflict (LOAC), rules of engagement (ROE) and orders for opening fire (OFOF) or equivalents provided by Defence Legal in support of operations.
  • Advice on targeting provided by Defence Legal in support of conducting operations.

Chief of Defence Force commissions of inquiries including:

    • set up and administration
    • conduct of liaison, investigation and research
    • management of the submission process
    • conduct of hearings
    • reporting on and finalising the commission.
  • Defence Legal Officer support to a coronial Inquiry into a fatality that occurred during the conduct of operations.
  • Defence Legal officer support to a parliamentary inquiry into matters related to the conduct of a specific operation.
  • Conduct of a Superior Summary Authority tribunal, Commanding Officer Summary Authority tribunal, Subordinate Summary Authority tribunal, Defence Force Magistrate hearing or Court Martial during the course of operations.
  • Arrangements, planning and conduct of General Duties Service Police escort for human remains returning to Australia.
  • General Duties Service Police establishment and management of an initial collection and processing centre (ICPC) or equivalent for captured personnel (CPERS) during operations.
  • General Duties Service Police management of a detention facility for captured and detained persons that have been handed over to them in the conduct of military operations.
  • Unauthorised arrivals detainment management by General Duties Service Police.
  • General Duties Service Police management of criminal intelligence on operations

[For the CDF/CJOPS authorised targeting directive, use COMMAND AND CONTROL OF OPERATIONS.

For records relating to the general conduct of the targeting process use CONDUCT OF OPERATIONS.]

Retain as national archives
61908

Records documenting:

  • Management of a significant or serious disciplinary case during the course of operations.
Destroy 75 years after case is closed
61909

Records documenting:

  • Reporting on and finalising a board of inquiry into an incident that has occurred during operations.
  • Detention of Defence personnel on operations.

ADFIS complex and major investigation on operations into a crime of a personal nature including:

  • starting the investigation
  • conducting the investigation
  • apprehending the suspect
  • presenting the evidence
  • preparing for trial
  • post-trial actions.

[For records relating to operational reporting of Service Police where use of force has been exercised, use CONDUCT OF OPERATIONS.]

Destroy 75 years after action completed
61910

Records documenting:

  • Significant use of force in non-combat situations by Service Police during operations. This includes the use of firearms or electrical incapacitants.
  • Establishment and compliance of a force detention centre in the conduct of an operation.
  • General Duties Service Police arrest of Defence personnel on operations.
Destroy 75 years after operation has ceased
61911

Records documenting:

  • Provision of advice relating to international law, international humanitarian laws, law of the sea and air law by Defence Legal in support of operations.
Destroy 60 years after operation has ceased
61912

Records documenting:

  • Operational procurement advice provided by Defence Legal in support of operations.

Boards of Inquiry into incidents that have occurred during operations:

  • set up and administration
  • conduct of liaison, investigation and research
  • management of the submission process
  • conduct of hearings.
Destroy 50 years after action completed
61913

Records documenting:

  • Management of a force detention centre on operations.
Destroy 50 years after operation has ceased
61914

Records documenting:

  • Negotiation, implementation, amendment and review of routine service police agreements and arrangements for operations other than those covered in class 61907.
  • Conduct of significant liaison and coordination with Service police, police within other Australian agencies, international agencies, other forces and other nations in support of operations.
  • Training packages which deal with teaching operationally specific aspects of operations law such as rules of engagement (ROE), orders for opening fire (OFOF) and prisoners of war (PW).
  • Advice provided by Defence Legal regarding conducting specific types of operations that does not authorise use of force (such as Humanitarian Aid and Disaster Relief), personnel recovery, sovereignty, peacekeeping, or piracy operations).
  • Domestic Law and advice provided by Defence Legal in support of operations.

[For records relating to the provision of force preparation training, including training provided during reception, staging, onward movement and integration, use OPERATIONAL DEPLOYMENT CYCLE.]

Destroy 50 years after operation has ceased
61915

Records documenting:

  • Defence Legal Officer input and advice to the joint military appreciation process (JMAP) and the joint intelligence preparation of the operational environment (JIPOE) or single-Service equivalent process.
Destroy 20 years after operation has ceased
61916

Records documenting:

  • Management of a routine disciplinary case during the course of operations.

General Duties Service Police investigations where a prosecution has occurred including:

  • starting the investigation
  • conducting the investigation
  • apprehending the suspect
  • presenting the evidence
  • preparing for the trial
  • post-trial actions.
Destroy 15 years after the case is closed
61917

Records documenting:

  • Provision of advice relating to the Discipline System (Military Justice System) to the chain of command and staff by Defence Legal officer during the course of operations.
Destroy 15 years after action completed
61918

Records documenting:

  • Legal support and advice required in order to establish and implement agreements for operations.
  • Provision of commercial and financial law advice provided by Defence Legal in the course of operations.
  • Evidence including the return or attempted return of evidence or exhibits to their owner by a board of inquiry or Chief of Defence Force commission into an incident that has occurred during operations.

ADFIS complex and major investigation on operations into a crime that is not of a personal nature including:

  • starting the investigation
  • conducting the investigation
  • apprehending the suspect
  • presenting the evidence
  • preparing for trial
  • post-trial actions.
Destroy 10 years after action completed
61919

Records documenting:

  • Management of legal aid applications and other legal advice provided to a member whilst deployed on operations.
  • Conduct of an inquiry officer inquiry into an incident that occurred during the conduct of operations.
Destroy 10 years after case or inquiry is closed
61920

Records documenting:

  • Defence Legal Officers conducting significant liaison and coordination with legal authorities of other Australian agencies, international agencies, other forces and other nations in support of operations.
  • Conduct of collective or individual training where the subject is of a legal nature relating to the conduct of operations.
  • Minor use of force in non-combat situations by Service Police during operations.
  • Draft and routine briefs, reports and liaison concerning General Duties Service Police managing criminal intelligence on operations.
Destroy 10 years after operation has ceased
61921

Records documenting:

  • Defence Legal, Service Police and Australian Defence Force Investigative Service handbooks and manuals developed for specific operations.
  • Administrative records relating to coronial or parliamentary inquiry or documentation on operations.
Destroy 7 years after operation has ceased
61922

Records documenting:

  • Defence Legal, Service Police and Australian Defence Force Investigative Service procedures used for operations.
Destroy 7 years after superseded
61923

Records documenting:

Administration of:

    • General Duties Service Police management of detention facilities for captured and detained persons that have been handed over to them in the conduct of military operations.
    • Defence Force Magistrate Hearing or Court Martial documentation on operations.
    • the detention of Defence personnel on operations.
  • Receipt and provision of ADFIS advice on complex and major investigations on operations.
Destroy 7 years after action completed
61924

Records documenting:

  • Provision of advice to personnel on non-disciplinary matters during the course of operations.
  • Conduct of a routine inquiry into an incident that has occurred during operations.
Destroy 5 years after the case/inquiry is closed
61925
  • Administrative management of Defence Legal Division committees, groups, boards and forums in support of operations.
  • Administration associated with the development of Service Police agreements and arrangements for operations.
  • Legal support and advice required in order to establish and implement arrangements in support of operations.
  • Receipt and provision of advice relating to the Administrative System (Military Justice System) to the chain of command and staff by Defence Legal Officers during the course of operations.
  • Advice provided on reportable incidents by Defence Legal during the course of operations.

General Duties Service Police investigations where a prosecution has not occurred including:

    • starting the investigation
    • conducting the investigation
    • apprehending the suspect
    • presenting evidence
    • preparing for trial
    • post-trial actions.
  • Administrative records relating to establishment and management of a force detention centre on operations.
  • General Duties Service Police support to the management of an emergency during operations.
Destroy 5 years after action completed
61926

Records documenting:

  • Drafts relating to development of plans, annexes, appendix or subordinate plans.
  • Service Police routine liaison and coordination

Administration relating to:

  • The development of legal directives and policies.
  • Defence Legal training for operations.
  • Boards of Inquiry or CDF Commission of Inquiry.
  • the arrest of Defence personnel on operations.
  • General Duties Service Police escort of human remains.
  • legal advice provided relating to types of operations, law of armed conflict, ROE, OFOF and targeting,
  • legal advice provided relating to international humanitarian law, law of the sea, air law and domestic law.
  • legal advice on operational procurement.
  • Management of initial collection and processing centre (ICPC) for captured personnel during operations.
Destroy 3 years after operation has ceased
61927

Records documenting:

  • Evidence and exhibits deemed unreturnable from a board of inquiry or a CDF commission of inquiry, including records documenting efforts to return, or verification that the owners no longer want the material.
Destroy 3 years after action completed
61928

Records documenting:

  • Routine operational administrative tasks supporting the core business.
  • Legal and service police support to activities, other than those covered in classes 61907 to 61927.
Destroy 3 years after last action completed

Logistics support to operations

Logistics support to operations encompasses all actions taken to sustain the capability of a force throughout all operational phases and encompasses a range of interrelated administrative and logistic activities. Logistics support may be provided by organic ADF capabilities; multinational partner capabilities; the host nation, contractors, commercial entities; and other agencies located in Australia and overseas.

Support to operations encompasses all Defence elements supporting or enabling an operation, including the capability managers (Deputy Secretary, Intelligence and Security and the Service Chiefs), the Defence Materiel Organisation, the Defence Support and Reform Group, Joint Logistics Command, Headquarters Joint Operations Command and 1 Joint Movements Group or their equivalents. Support may also be provided by external providers such as other Government agencies, military partners, the host nation (in which the operation is being conducted), and commercial service providers.

Logistics support planning needs to take into account the support requirements of the ADF as well as other organisations involved in the operation that may be dependent on Defence for certain types of support. This includes:

  • Other Government agencies
  • Multinational force partners
  • Civilians requiring humanitarian assistance
  • Australian civilian evacuees and evacuees of other approved nations.

The Defence logistics environment encompasses the strategic, operational and tactical levels of command and management. These levels reflect the distribution of responsibilities for planning and directing military resources across the full range of operations.

The core tasks include:

  • Logistics orders and instructions
  • Systems procurement
  • Management of the environment
  • Customs, quarantine and bio-security management
  • Postal services
  • Catering services
  • Laundry and showering services
  • Mortuary services
  • Base support
  • Supply chain management
  • Provision and procurement of materiel
  • Supplies inventory management
  • Storage and inventory control of explosive ordnance
  • Storage and distribution of supplies
  • Salvage and disposal of materiel and supplies
  • Sealift
  • Logistics over the shore
  • Road transport
  • Airlift
  • Rotary wing aircraft transport
  • Rail transport
  • Pipelines
  • Animal and human porterage
  • Sea, air and land terminal operations
  • Movements appreciation
  • Movement of force elements, individuals and materiel
  • Export of explosive ordnance from Australia
  • Diplomatic clearances
  • Material engineering, maintenance, standards and configuration
  • Technical regulation
  • Design certification upgrade
  • Materiel maintenance and contingency maintenance
  • Controlled parts exchange
  • Materiel recovery
  • Infrastructure engineering and maintenance
  • Infrastructure disposal.

The core business is supported by general activities such as:

  • Directives and policies
  • Planning and planning conferences
  • Manuals, handbooks and procedures
  • Advice
  • Liaison and coordination
  • Committees, groups, boards and forums
  • Agreements and arrangements
  • Contract management
  • Risk management
  • Compliance.

Cross references to other areas of this records authority

For decision records relating to operational procurement use COMMAND AND CONTROL OF OPERATIONS.

For records relating to operational planning use PLANNING OPERATIONS.

For contracting out security services use INTELLIGENCE, SECURITY AND COMMUNICATIONS FOR OPERATIONS.

For the payment of contracts, operational procurement financial aspects and disposal involving the sale or gifting of materiel and supplies use FINANCIAL MANAGEMENT OF OPERATIONS.

For the legal advice relating to the establishment of contracts use LEGAL AND SERVICE POLICE SUPPORT TO OPERATIONS.

For records relating to management of deceased human remains use PERSONNEL AND HEALTH SUPPORT TO OPERATIONS.

Class no Description of records Disposal action
61880

Records documenting:

  • Development, establishment and implementation of directives, policies and instructions relevant to Logistics Support to Operations.
  • Development, establishment and implementation of significant (overarching and high-level) logistics orders and instructions.
  • Development and establishment of various types of logistics plans to support operations.
  • Committees, groups, boards and forums established to manage logistics on operations.
Retain as national archives
61881

Records documenting:

  • Selection of a site for logistics support to operations activities based on environmental, cultural and heritage management factors.
Destroy 75 years after operation has ceased
61882

Records documenting:

  • Negotiation, implementation, amendment and review of significant logistics and support agreements and arrangements for operations.
  • Systems procurement including the selection, retrofitting, and ruggedising of logistics systems and equipment, tools and software programs and services to be utilised for specific operations.
  • Management of logistics sites and the environment during operational activities.
  • Securing and accounting for all explosive ordnance (EO) on charge to commanders or in the custody of units under their control.
  • Adjustments to materiel engineering and maintenance plans in support of operations.
  • Technical regulation decisions relating to Australian Defence Force materiel in support to operations.
  • Management of technical risks in support of operations.
  • Confirmation and use of approved standards and specifications to support engineering decisions and maintenance actions in support of operations.
  • Configuration management of materiel in support of operations.
  • Certification of design upgrades to materiel in support of operations.
Destroy 25 years after operation has ceased
61883

Records documenting:

  • Routine operations orders and instructions associated with routine logistics tasks that are issued on a frequent basis and are of a less enduring nature.
  • Management of postal services in support of operations.
  • Salvage of materiel and supplies.
  • Movement framework for explosive ordnance to be used on operations.
  • Obtaining of diplomatic clearances in support of operations.
  • Inspection of materiel employed on operations.
  • Corrective maintenance of materiel on operations.
  • Certification of materiel maintenance.
  • Contingency maintenance of critical materiel in support of operations.
  • Controlled parts exchange of materiel in support of operations.

The following areas of logistics infrastructure in support of operations:

  • Project inception and management
  • Design
  • Delivery or construction
  • Operation
  • Maintenance
  • Project closure
  • Construction project supporting documents
  • Disposal.
Destroy 10 years after operation has ceased
61884

Records documenting:

  • Decisions, assessments, reporting and declarations for Australian and other nation customs, quarantine and bio-security management, specifically the assessment and processing of Defence applications for the release of defence material, including personnel and postal items for export and import (cargo release).
Destroy 10 years after action completed
61885

Records documenting:

  • Logistics support manuals, handbooks and procedures developed for specific operations.
  • Provision of mortuary services in support of operations.
  • Supply chain management and reverse supply chain management including planning, implementation and control of materiel in support of operations.
  • Procuring and provisioning of supplies in support of operations including classes of supply 1-10.
    • Class 1 – Subsistence items including foodstuffs, both fresh and packaged, and water
    • Class 2 – General Stores, including clothing, individual equipment, tents, tool sets and kits, hand tools, stationery and other general administrative and household items
    • Class 3 – Petroleum, oils and lubricants (POL). Includes other hazardous liquids, chemicals and gases such as liquefied petroleum gas and hexamine
    • Class 4 – Construction stores
    • Class 5 – Ammunition
    • Class 6 – Personal demand items
    • Class 7 – Principal items (including vehicles, small; arms and communications equipment)
    • Class 8 – Medical, dental and veterinary stores
    • Class 9 – Repair parts and components
    • Class 10 – Non-military stores (includes miscellaneous items required for support to non-military programs).
  • Inventory management of materiel in support of operations.
  • Storage of supplies documentation and distribution of supplies in support of operations.
  • Disposal of materiel and supplies.
  • Conduct or utilisation of the following in support of operations:
    • Sealift
    • Logistics over-the-shore
    • Road transport
    • Airlift
    • Rotary wing transport
    • Rail transport
    • Pipelines
    • Animal and human porterage
    • Sea terminals
    • Air terminals
    • Land-based terminals.
    • Movement of materiel in support of operations.
Destroy 7 years after operation has ceased
61886

Records documenting:

  • Risk management processes in relation to logistics support to operations.
  • Logistics support compliance on operations.
Destroy 7 years after action completed
61887

Records documenting:

  • Establishment, negotiation, implementation, amendment and review of routine logistics and support arrangements for operations.
  • Contract management of the performance of work, and the provision of goods and services by a commercial contractor in support of an operation.
Destroy 7 years after termination of contract or completion
61888

Records documenting:

  • Logistics support procedures developed for specific operations.
  • Day-to-day and weekly operations orders and instructions associated with routine logistics tasks.
  • Conduct and outcomes of logistics support planning conferences.
  • Regular or routine contact and coordination between stakeholders, logistics specialists and other staff regarding logistics support matters on operations.
  • Administration relating to the environmental management of logistics site selection.
  • Meetings with customs, quarantine and bio-security management representatives.
  • Provision of catering in support of operations.
  • Provision of laundry and showering services in support of operations.
  • Provision of technical and general base support services and facilities in support of operations.
  • Provision of training support on or adjacent to a military base in support of operations including training installations and training areas.
  • Movements appreciations, movement schedules and the movement of force elements and individuals.
  • Movement of explosive ordnance on operations.
  • Recovery of materiel in support of operations.
Destroy 5 years after operation has ceased
61889

Records documenting:

  • Technical and authoritative advice relating to logistics support to operations.
  • Administration of committees.
  • Drafting and administration of the development of logistics agreements and arrangements for operations.
  • Administrative records relating to Australian and other nation customs, quarantine and bio-security management.
Destroy 5 years after action completed
61890

Records documenting:

  • Delegations and authorisations from Defence to Customs Officers to act or be appointed under their legislation for the conduct of business.
Destroy 5 years after appointment is cancelled or no longer applicable
61892

Records documenting:

  • Administration relating to the provision of:
    • Postal services.
    • Catering services.
    • Laundry and showering services.
    • Mortuary services.
    • Base support services.
  • Administration relating to supply chain management and reverse supply chain management.
  • Unit requisitions for supplies.
  • Administration and routine Inventory management and administration.
  • Administration of inventory management of explosive ordnance in the area of operations.
  • Administration relating to the distribution of supplies in the area of operations.
  • Administration relating to salvage and disposal of materiel and supplies in the area of operations
  • Material maintenance non-technical inspections.
Destroy 6 months after last action or verification of the transcribed data has been completed
61891

Records documenting:

  • Routine operational administrative tasks supporting the core business
  • Logistics support to operations activities, other than those covered in classes 61880 to 61890 and 61892.
Destroy 1 year after operation has ceased

Operational Deployment Cycle

The Operational Deployment Cycle refers to the activities and actions associated with preparing a force for an operation, deploying the force, and then redeploying the force to another theatre of operations, or back to Australia to resume non-operational roles. The Operational Deployment Cycle is based on four generic phases:

Pre-deployment involves initial planning at the strategic and operational levels of command to confirm the feasibility of the operational plan and measures taken to heighten the preparedness of forces in anticipation of the demands of operations. Key activities:

  • Initiation
  • Mobilisation
  • Force concentration
  • Force preparation
  • Individual administration requirements
  • Certification.
  • Deployment. The deployment phase involves the movement of force elements and materiel from the assembly area to the entry point adjacent to or within the theatre of operations.

Transition into operations follows the deployment phase, and involves the relief in place activities and transfer of authority required before force elements can commence operations. This phase generally follows the reception, staging, onward movement and integration sequence (RSO&I). Key stages in the sequence are:

  • Reception
  • Staging
  • Onward movement
  • Integration.

Redeployment involves drawdown of the deployed force, movement of forces out of the theatre of operations, remediation, and reintegration of forces back into their home based parent unit. This phase includes debriefing, demobilisation, return of mission specific equipment, and reintegration of personnel back into the community. The key activities include:

  • Force extraction
  • Redeployment
  • Remediation
  • Reconstitution
  • Decompression
  • Post deployment certification
  • Reintegration.

Supporting organisations may include Service training establishments, health support units, logistics units, movements units, and personnel support agencies. These organisations provide technical advice and support Operational Deployment Cycle activities.

The core tasks include:

  • Certification and training standards
  • Mounting directives, instructions, orders and support requests
  • Force preparation and concentration
  • Deployment certification
  • Farewell and welcome home events
  • Reception, staging, on-ward movement and integration
  • Relief in place
  • Transfer of authority
  • Remediation, decompression and reintegration
  • Post deployment certification.

The core business is supported by general activities such as:

  • Conferences, meetings and boards
  • Liaison and coordination
  • Reporting
  • Policies and procedures
  • General planning.

Cross references to other areas of this records authority

For initiation and Chief of the Defence Force/Chief of Joint Operations orders, authorisations, and delegations use COMMAND AND CONTROL OF OPERATIONS.

For operational planning use PLANNING OPERATIONS.

For operational planning use PLANNING OPERATIONS.

For personnel, health and welfare use PERSONNEL AND HEALTH SUPPORT TO OPERATIONS.

For logistics, maintenance and movements support to all phases of the Operational Deployment Cycle use LOGISTICS SUPPORT TO OPERATIONS.

For financial management of all phases of the Operational Deployment Cycle use FINANCIAL MANAGEMENT OF OPERATIONS.

For legal advice and support applicable to operations use LEGAL AND SERVICE POLICE SUPPORT TO OPERATIONS.

Class no Description of records Disposal action
61842

Records documenting:

  • Plans of all phases of the operational deployment cycle, currently include the operational deployment cycle plan; movements plan; concentration plan; force preparation plan; force preparation training plan; certification plan; reception, staging, onward movement and integration (RSO&I) plan; relief in place plan; force extraction plan; remediation plan; decompression plan and reintegration plan.
  • Establishment of a mounting directive and mounting instructions or equivalent.
  • Development and establishment of policies for all phases of the Operational Deployment Cycle.
  • Reporting of major incidents occurring during force preparation activities.
  • Deployment certification board activities.
  • Deployment waivers.
  • Coordination and management of farewell and welcome home events for a formed body.
  • Conduct of relief in place.
  • Remediation of the operational environment.
  • Remediation of ADF material concepts and registers.
  • Resettlement of locally engaged employees to Australia.
  • Post deployment certification board activities.

[For records relating to the actual movement of personnel, equipment and stores concentrating at the mounting base, use LOGISTICS SUPPORT TO OPERATIONS.

For records relating to personnel and health support considered by the post deployment certification board, use PERSONNEL AND HEALTH SUPPORT TO OPERATIONS.]

Retain as national archives
61843

Records documenting

  • Order of march specifying the sequence in which force elements are to arrive at the specified concentration location.
  • Conduct of individual or collective training as part of force preparation including attendance records, assessment documents and attestation documents.
Destroy 75 years after operation has ceased
61844

Records documenting:

  • Generation and establishment of certification standards.
  • Task orders and support requests generated to support the Operational Deployment Cycle.
  • Significant reporting during all phases of the Operational Deployment Cycle including incident reports (initial, subsequent and closing).
  • Development and conduct of the mission rehearsal exercise or activity as part of force preparation including activity plans, logistics plans, range safety plans, exercise instructions, certification notes and attendance records.
  • Performance observations used as evidence to support certification by specialists of formed bodies, capability elements and individuals participating in force preparation activities.
  • Conduct of collective or individual training as part of reception, staging, onward movement and integration deployment training.
  • Transfer of Authority.

[For reports relating to operational performance improvement, use OPERATIONAL PERFORMANCE IMPROVEMENT.

For records relating to the conduct of force extraction as a discrete operation, use CONDUCT OF OPERATIONS.]

Destroy 25 years after operation has ceased
61845

Records documenting:

  • Generation and establishment of force preparation training standards.
  • Development (not conduct) of master collective or individual training material as part of force preparation training or reception, staging, onward movement and integration deployment training.
Destroy 15 years after operation has ceased
61846

Records documenting:

  • Routine reporting during all phases of the Operational Deployment Cycle including scheduled situation reports, status reports and readiness reports.
  • Reporting of minor incidents occurring during force preparation activities.
  • Reception of force elements deploying into the theatre of operations.
  • Integration of force elements, equipment and stores deploying into the theatre of operations.
  • Planning of relief in place activities.
  • Remediation movements documentation.
Destroy 10 years after operation has ceased
61847

Records documenting:

  • Conduct of Operational Deployment Cycle planning conferences including agendas, reports of participants, minutes and coordination correspondence.
  • Drafting of mounting directives and instructions.
  • Drafting of Operation Deployment Cycle policies.
  • Operational Deployment Cycle procedures including those associated with force preparation; certification; RSO&I; force extraction; decompression and reintegration.
  • Liaison and correspondence within Defence, with other government agencies and with coalition partners relating to Operations Deployment Cycle processes.
  • Administration of a farewell event for a formed body including administrative minutes, task orders and general correspondence.
  • Reconnaissance conducted to plan the relief in place.
  • Coordination and management of the decompression of a formed body, capability element or individual.

[For individual personnel and health certification records use PERSONNEL AND HEALTH SUPPORT TO OPERATIONS]

Destroy 5 years after action completed
61848

Records documenting:

  • Routine operational administrative tasks supporting the core business.
  • Operational Deployment Cycle activities, other than those covered in classes 61842 to 61847.
Destroy 2 years after action completed

Operational Performance Improvement

Performance improvement is the core business of measuring the output of processes or procedures, then modifying them to increase their effectiveness. It is applied at the organisational level and generates ongoing change to the ways in which operations are conducted. Operational performance improvement is applicable to all phases of an operation and can include other participants in ADF operations such as other government agencies, allies and multi-national force partners.

Defence employs three closely related activities to improve its operational performance. These are:

  • Operational evaluation (OE). The purpose of OE is to assess the performance of all aspects of military capabilities against pre-determined criteria such as measures of effectiveness. OE is conducted in a structured and deliberate manner in accordance with specified objectives. It involves the active participation of specialists deployed to the area of operations or other workplaces to collect and analyse performance data and information.
  • Lessons learned (LL). The purpose of LL activities is to learn from the experience gained by military personnel on operations and provide justification for amending existing processes and procedures. LL activities are generally part of operational routine, albeit within an established framework. Unlike OE, LL activities do not necessarily require the involvement of specialists to collect and analyse data and information.
  • Operational analysis (OA). The purpose of OA is to improve an operational commander’s situational awareness; to facilitate decision-making; to reduce risk; and to improve the quality, effectiveness and efficiency of operations planning and execution. It is conducted in a structured manner and has a specific purpose and employs scientific analysis methods and technologies. Accordingly, it is characterised by the participation of Defence science specialists and provides commanders with an analytical decision support capability through the application of tools and/or techniques which support their decision process.

The capabilities which are assessed can include:

  • Australian Defence Force Headquarters
  • Units (such as ships, regiments and squadrons)
  • Military equipment
  • Supporting organisations and agencies.

The core tasks include:

  • Collection – obtaining and assembling data and information for analysis
  • Analysis – assessment of the data and information collected
  • Provision of technical advice
  • Managing boards and decision authority responsibilities
  • Dissemination, implementation, monitoring and validation of remedial actions.

The core business is supported by general activities such as:

  • Policies, directives and instructions
  • Procedures
  • Planning
  • Authorisation
  • Liaison and coordination.

Cross references to other Defence records authorities

For evaluation of individual and collective training use RAISE AND TRAIN.

For Defence test and evaluation, which is focused on capital equipment, use DEFENCE SCIENCE AND TECHNOLOGY.

Class no Description of records Disposal action
61929

Records documenting:

  • Final improvement policies, directives and instructions.
  • Performance improvement board terms of reference, agenda and minutes including performance improvement analysis reports, and decision and implementation actions recommended by a board or a decision authority such as the Chief of the Defence Force.
  • Dissemination and implementation of remedial actions.
Retain as national archives
61930

Records documenting:

  • Operational performance improvement plans.
  • Authorisation of operational performance improvement activities.
  • Analysis of operational evaluation, lessons learned and operational analysis activities.
  • Implementing and monitoring remedial actions.
  • Validation of operational performance improvement remedial actions.

[For incident related imagery, evidence and data obtained during the conduct of operations use CONDUCT OF OPERATIONS.

For collection and analysis activities that are part of the intelligence cycle use INTELLIGENCE, SECURITY AND COMMUNICATIONS FOR OPERATIONS.]

Destroy 10 years after operation has ceased
61931

Records documenting:

  • Collection of information and data relating to operational improvement activities.
  • Technical advice relating to operational improvement.
  • Liaison and communication within Defence and with other stakeholders (including other nations and coalition partners) relating to performance improvement.
  • Administration associated with performance improvement policies, directives and instructions including papers, consultations, supporting reports and key drafts.
  • Administration associated with drafting performance improvement plans.
  • Procedures (SOPs) specific to performance improvement for operations.
  • Drafting of performance improvement analysis documents.
  • Administration of an operational performance improvement board.
Destroy 5 years after operation has ceased
61932

Records documenting:

  • Routine operational administrative tasks supporting the core business
  • Operational Performance Improvement activities, other than those covered in classes 61929 to 61931.
Destroy 3 years after operation has ceased

Personnel and Health Support to Operations

Personnel and Health Support to Operations is the function of supporting personnel involved in military operations, including warlike and non-warlike operations, throughout all phases, including:

  • Preparation of forces to undertake specific operational tasks
  • Deployment from assembly areas to the operational area
  • Conduct of operations
  • Redeployment out of the operational area
  • Reconstitution and reintegration of forces into the organisation.

The term ‘personnel’ includes members of the permanent Defence forces, members of Reserve forces, members of foreign militaries posted to positions within the Australian Defence Force, civilians in the operational area (which includes Defence public servants) civilians contracted by Defence (to undertake tasks in a theatre of operations), and civilians from philanthropic organisations.

Operational conditions of service are unique to each operation and do not apply to non-operational tasks performed in the course of routine employment. The conditions of service for personnel on operations vary depending on whether the operation is declared as being warlike or non-warlike. The personnel and health support requirements of each Service vary due to the nature of operations undertaken by each Service and the environment in which they operate.

Personnel and Health Support to Operations is the means by which Defence takes care of its operationally deployed people and includes all actions taken to sustain the efficient and effective employment of personnel, including their well-being and discipline. Personnel support services may be provided by Defence and other agencies located in Australia and overseas. The principal personnel support activities are:

  • Personnel management, undertaken to manage the force and individuals within the force with the aim of ensuring operational cohesion, preparedness to undertake operational tasks and operational effectiveness once deployed. During the conduct of operations, personnel management is focused on ensuring the effective distribution of personnel within the force in accordance with the commander’s priorities.
  • Personnel services, in support of deployed personnel and their families, including pay and financial services, welfare support, recreational facilities and amenities, philanthropic support, postal services, pastoral and chaplaincy services, legal services, catering and hygiene services.
  • Health support, provided to maintain the operational capability of the force. The primary tasks of health services are to provide a fit and healthy force, to prevent casualties and to treat casualties. The principal health services include medical, dental and psychological support. This includes:
  • Common health picture
  • Joint trauma system
  • Force health protection
  • Heath knowledge and governance
  • Health materiel

The core tasks include:

  • Personnel and support orders
  • Pre-deployment and re-deployment
  • Personnel reporting and tracking
  • Management of civilians
  • Third country deployments
  • Working animals
  • Captured personnel
  • Casualty notification
  • Management of deceased human remains
  • Management of deceased animal remains
  • Conditions of service
  • Honours and awards
  • Family support
  • Recreation and amenities
  • Philanthropic support
  • Pastoral and chaplaincy support
  • Common health picture
  • Joint trauma system
  • Health force protection
  • Health knowledge and governance
  • Health materiel and supplies
  • Assistance to non-Australian health capabilities.

The core business is supported by general activities such as:

  • Directives, policies and instructions
  • Meetings and groups
  • Planning
  • Compliance
  • Advice
  • Handbooks, manuals and procedures
  • Liaison and coordination.

Cross references to other areas of this records authority

For Command and Control aspects of operations use COMMAND AND CONTROL.

For general planning conducted by Plans Branch Staff use PLANNING OPERATIONS.

For support to the operational deployment cycle including force preparation, deployment, reception, staging, onwards movement and integration as well as rotation, extraction and return to Australia use OPERATIONAL DEPLOYMENT CYCLE.

For financial aspects of operations use FINANCIAL MANAGEMENT OF OPERATIONS.

For legal advice and support applicable to operations use LEGAL AND SERVICE POLICE SUPPORT TO OPERATIONS.

Cross references to other Defence records authorities

For career management and leave, pay and allowances (other than operational specific aspects detailed in the conditions of service for each operation) use MILITARY PERSONNEL, HEALTH, WELFARE AND CLAIMS.

For health clinical treatment clinical records, diagnosis reports, medical charts and imaging such as x-rays and case notes, random or routine drug testing and pharmaceutical support) use MILITARY PERSONNEL, HEALTH, WELFARE AND CLAIMS.

Class no Description of records Disposal action
61945

Records documenting:

  • Development, establishment and implementation of personnel and health directives, policies and instructions relevant to operations.
  • Personnel and health orders assigning resources to operational tasks including personnel annexes to support orders and task orders.
  • Committees and groups which are formed to consider personnel and health issues related to operations.
  • Personnel and health aspects of operational planning.
  • Personnel and animal reporting and tracking for operations.
  • Conduct of operational soldier review boards where representatives from chaplaincy, health, personnel and the chain of command come together for individual case management.
  • Health information including collection and communication of disease, health infrastructure and environmental conditions within the area of operations.
  • Health surveillance including the incidence of wounding, injury and illness of deployed personnel including trends and surveillance reports.
  • Health advice and aggregation of health data to support operational decision making.
  • Management of civilians deployed on operations.
  • Philanthropic representative field reports
  • Management of personnel on third country deployment.
  • Personnel management of captured personnel.
  • Notification of operational casualties during ADF operations.
  • Management of deceased human remains on operations.
  • Reporting and audit of operational leave and the management of operational leave for personnel (name-identified records) where the leave exceeds five days.
  • Reporting and audit relating to operational pay, entitlements and allowances including operational pay rate tables, pay audit reports and reviews of pay and allowances.
  • Nomination, consideration and decision making in relation to operational honours, awards and commendations by operational units and organisations (name-identified records).

[For records relating to operational planning use PLANNING OPERATIONS.

For tactical reporting of captured personnel including exploitation, casualty-related incidents, incident site preservation and media related records use CONDUCT OF OPERATIONS.]

Retain as national archives
61946

Records documenting:

  • Directed personnel and health checklists required to be completed prior to deployment and redeployment.
  • Completed pre- and post-deployment packs which contain all of the personal administration records submitted prior to and upon return from deployment to meet certification requirements.
  • Management of deceased military animal remains.
  • Pastoral and chaplaincy support as part of the management of personnel on operations.
  • Tracking of casualties within operational health facilities.
  • Coordination and tracking of tactical and strategic casualty evacuations.
  • Pre- and post-deployment health checks.
  • Casualty prevention including the detection, assessment, control and management of preventable injuries and illness.
  • Health standards and health governance which are to be employed for operations.
  • Personnel and health support standards compliance on operations.

[For records relating to non-personnel or health aspects of pre- and post- deployment use OPERATIONAL DEPLOYMENT CYCLE.

For forward/tactical initiation of casualty evacuations use CONDUCT OF OPERATIONS.]

Destroy 75 years after operation has ceased
61947

Records documenting:

  • National Welfare Coordination Centre and Defence Community Organisation support to operational welfare issues.
  • Health knowledge including governance and technical control of clinical processes on operations.
  • Health specific aspects of providing assistance to non-Australian health capabilities.
Destroy 25 years after operation has ceased
61948

Records documenting:

  • Administrative aspects relating to the management of human remains including briefs and general correspondence.
  • Management of working animals on operations.
  • Administrative aspects of dealing with deceased military animal remains.
  • Administration of honours and awards excluding nomination, consideration and decision making aspects.
  • Unit rear details support to operational welfare issues.
  • Requests, approvals and management of philanthropic support to Australian Defence Force operations.
  • General pastoral and chaplaincy advice provided to commanders and forces during operations (excluding specific management of personnel on operations).
  • Health materiel and supplies registers, disposal and tracking on operations.
Destroy 15 years after operation has ceased
61949

Records documenting:

  • Administration of committees and groups formed to consider Personnel and Health issues other than those covered in class 61945.
  • Receipt and provision of technical or authoritative advice for personnel and health support on operations.
  • General pastoral and chaplaincy advice and services provided to deployed forces during operations excluding specific management of personnel on operations.
  • Master sets of manuals and handbooks produced for specific operations that detail procedures supporting personnel and health management function.
  • Liaison and coordination maintenance of regular or routine contact and coordination between stakeholders, planners and other staff members (including contactors) regarding personnel and health management matters on operations.
  • Management of operational leave which is less than 5 days on operations (name-identified records).
  • Management of deployed primary health care services.
Destroy 7 years after action completed
61950

Records documenting:

  • Management of recreation and amenity services on operations.
  • Administration and coordination of health knowledge and governance including technical control.
  • Health materiel and supplies maintenance, supply and inspection on operations.
Destroy 5 years after operation has ceased
61951

Records documenting

  • Development of procedures supporting the personnel and health management function on operations.
Destroy 5 years after superseded
61952
  • Routine operational administrative tasks supporting the core business
  • Personnel and health support to operations activities, other than those covered in classes 61945 to 61951.
Destroy 3 years after action completed

Planning Operations

The core business of planning operations is the design, organisation, sequencing and direction of campaigns and major operations, which translates strategy into operational and ultimately tactical actions. It is a function of command at all levels and is essential for the successful conduct of military operations. The military planning environment is hierarchical and involves operational art and design which is the skilful employment of military forces to attain strategic goals. A good plan will aim to ensure that its desired purpose can be achieved in the optimum way, and with the most efficient use of resources.

At agreed points the planning staff hand over an endorsed plan to operations staff within their own or subordinate headquarters. This is where further detail is added as the operation is executed. Short notice planning or crisis planning also occurs at the tactical level. The agreed points at which planning staff hand plans to operations staff for execution is the delineation point between Planning Operations and Conducting Operations.

The four broad types of planning are:

  • Deliberate planning. Planning for the possible, is largely assumption based and identifies potential military responses to possible scenarios.
  • Immediate planning. Planning for the likely or certain and focuses on developing military options to meet a developing situation or crisis based on a comprehensive approach.
  • Campaign or operations planning. Integrates deliberate and immediate planning processes and orchestrates the ways for tactical means to achieve strategic ends.
  • Contingency planning. Provides scenarios, alternative courses of action and maintains continuity within key operations.

The military appreciation process (MAP) process is currently the crux of operations planning at all levels of conflict and has a top-down planning focus, where courses of action that achieve the commander’s intent are described early in the process and improved as they are developed by the staff. The MAP builds on the intelligence preparation of the operating environment, the commander's selected adversary courses of action (COA), and is supported by a continuous intelligence cycle. The MAP provides a logical and prescriptive process and produces two primary documents which are developed, drafted and refined during all stages of planning. These are currently known as the concept of operations (CONOPS) and the operations plan (OPLAN).

The core tasks include:

  • Identification of national and military strategy elements for planning
  • Development of Australian operational concepts
  • Preliminary scoping and framing
  • Mission analysis
  • Course of action development
  • Course of action analysis
  • Decision and concept of operations development.

Cross references to other areas of this records authority

For initiation and Chief of the Defence Force or Chief of Joint Operations orders, authorisations, and delegations use COMMAND AND CONTROL OF OPERATIONS.

For the actual conduct of operations and the near real-time planning by operations staff, use CONDUCT OF OPERATIONS.

For specialist and technical planning also use INTELLIGENCE, SECURITY AND COMMUNICATIONS FOR OPERATIONS; PERSONNEL AND HEALTH SUPPORT TO OPERATIONS; LOGISTICS SUPPORT TO OPERATIONS; FINANCIAL MANAGEMENT OF OPERATIONS AND LEGAL AND SERVICE POLICE SUPPORT TO OPERATIONS.

Class no Description of records Disposal action
61836

Records documenting:

  • National or military strategic guidance which provides context and guidance for the planning process.
  • Australian operational concepts (AOC) including concept of operations (CONOPS) and concept plans (CONPLAN) or equivalents.
  • Commander’s final decision brief and/or final concept of operations (CONOPS) and courses of action, operations plan or operations instruction and synchronisation and associated briefs for higher planning groups.
Retain as national archives
61837

Records documenting:

Preliminary scoping and framing for planning including:

  • Limitations and constraints
  • Risk management
  • Status of current operations and support issues
  • Collation of preliminary scoping and framing material.

Mission analysis including:

  • Operational environment and environment effects
  • Review of lessons learned
  • Review of overall status of own forces
  • Time factors including the establishment of a basic planning timeline and which address key timings, distances, likely force preparation and assembly, the duration of the operation and time needed to conduct the operation
  • Updates to the commanders critical information requirements or other information deemed critical to a commander’s ability to make reasoned strategic and tactical decisions
  • Analysis, review and agreement of the superior commander’s intent
  • Development of the operational level commander’s mission
  • Identification and the detail of the specified and implied tasks and identified essential tasks
  • Identification and the detail of the limitations for an impending operation
  • Any risks and acceptable degrees of risk to the operation
  • Critical facts and critical assumptions lists
  • Commander’s guidance.

Course of action development including:

  • Confirm and review the adversary centre of gravity (point of concentration)
  • Confirm and review the friendly centre of gravity
  • Development of courses of action including course of action statements, graphics and matrices.
  • Development and characteristics of a decisive point including statements, measurements and matrices.
  • Development of lines of operation including branches and sequels, commander’s decision points, named areas of interest and target areas of interest.
  • Final developed Courses of Action.

Decision and concept of operation development including:

  • Course of Action comparison and the results as selected by the commander or staff for final authorisation.

[For joint intelligence preparation of the operational environment (JIPOE) use INTELLGENCE, SECURITY AND COMMUNICIATIONS FOR OPERATIONS.

For CDF or CJOPS orders and authorisations and final versions of orders for the strategic planning group use COMMAND AND CONTROL OF OPERATIONS.]

Destroy 20 years after operation has ceased
61838

Records documenting:

  • Guidance or planning from other government departments or agencies, non-government organisations and multinational stakeholders or coalition members.
  • Mission analysis commanders guidance drafts.

Course of action analysis including:

  • War gaming (a simulation of a military operation to depict an actual or assumed real life situation), including set-up, war game method, war game recording method and the actual conduct of the war game
  • Outcomes of war gaming.
Destroy 10 years after operation has ceased
61839

Records documenting:

  • Plans that are not executed such as deliberate plans and immediate plans that do not reach the decision and execution phase.
  • Completed templates, forms and aide memoirs used to present mission analysis information.
Destroy 5 years after action completed
61840
  • Preliminary scoping and framing initial commander’s critical information requirements and associated lists.
  • Drafts of joint planning group orders for the strategic planning group when not already done by the strategic planning group or the strategic command group.
Destroy 5 years after operation has ceased
61841

Records documenting:

  • Routine operational administrative tasks supporting the core business.
  • Planning of operations activities, other than those covered in classes 61836 to 61840.
Destroy 3 years after last action completed
Copyright National Archives of Australia 2017