AFDA Express Version 2 - External Relations

2019/00276855

External Relations

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

2019

Introduction

The National Archives of Australia (National Archives) has developed this records authority to set out the requirements for keeping or destroying records for the general administrative function of External Relations.

This records authority is based on the identification and analysis of the business of External Relations. The records 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 records authority gives agencies 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.

As changes in circumstances may affect future records management requirements, this records authority may occasionally be amended by the addition of new classes and the variation of existing classes. The National Archives will notify agencies of any such changes.

Application of this Authority

  1. This authority supersedes:
  • classes 1003-1016, 1018-1019, 1021-1036, 1040-1074, 1085-1088, and 20921-20925 in the COMMUNITY RELATIONS function of the Administrative Functions Disposal Authority (2010);
  • classes 20439-20443 in the COMMUNITY RELATIONS function of AFDA Express (March 2010);
  • classes 1342-1352, 1354-1417, and 20948-20950 in the GOVERNMENT RELATIONS function of the Administrative Functions Disposal Authority (2010); and,
  • classes 20268-20270 and 61244 in the GOVERNMENT RELATIONS function of AFDA Express (March 2010).

The superseded records classes cannot be used to sentence records after the date of issue of this authority.

  1. This Authority should be used in conjunction with records authorities issued to agencies for their core business and other General Records Authorities issued by the National Archives.
  2. This records 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 records 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 records authority.
  • Records that have not reached the minimum retention period must be kept until they do.
  • Records that are identified as Retain as National Archives (RNA) are to be transferred to the National Archives of Australia for preservation.
  1. The Normal Administrative Practice (NAP) provision of the Archives Act 1983 gives agencies permission to destroy certain types of records without formal authorisation. This usually occurs where records are duplicated, facilitative or for short-term use only. NAP does not replace arrangements in this records authority but can be used as a tool to assist in identifying records for destruction together with this records authority and with records authorities specifically issued to an agency. 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 a NAP policy is available from the National Archives' website at www.naa.gov.au.
  2. 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:
  3. Records subject to a disposal freeze must not be destroyed until the freeze has been lifted. Further information about disposal freezes and whether they affect the application of this Authority is available from the National Archives website at www.naa.gov.au.
  4. 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 records authority can still be applied, provided the records document the same core business. The information must be accessible for the period of time prescribed in this records authority. There is a 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.
  5. In general, retention requirements indicate a minimum period for retention. Agencies may extend minimum retention periods if there is an administrative need to do so, without further reference to the National Archives. Where an agency 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.
  6. Records coming within 'retain as national archives' classes in this authority have been determined to be part of the archival resources of the Commonwealth under section 3C of the Archives Act 1983. The determination of Commonwealth records as archival resources of the Commonwealth obliges agencies to transfer the records to the National Archives when they cease to be current and, in any event, within 15 years of the records coming into existence, under section 27 of the Archives Act 1983.
  7. Records in the care of agencies should be appropriately stored, managed and preserved. Agencies need to meet this obligation to ensure that the records remain authentic and accessible over time. Under Section 31 of the Archives Act 1983, access arrangements are required for records that become available for public access including those records that remain in agency custody.
  8. Appropriate arrangements must 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, and in line with an approved transfer schedule.
  9. Advice on how to use this Authority is available from your agency's information manager. If there are problems with the application of the Authority that cannot be resolved, please contact the National Archives.

Contact Information

For assistance with this authority or for advice on other information management matters, please contact National Archives' Agency Service Centre.

Authorisation

RECORDS AUTHORITY 2019/00276855

Person to whom notice of authorisation is given:

Heads of Commonwealth institutions under the Archives Act 1983.

Purpose:

Authorises arrangements for the disposal of records in accordance with paragraph 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 records relating to the following general administrative business area: External Relations.

This authority gives permission for the destruction, retention or transfer to the National Archives of Australia of the records described. This authority will apply only if these actions take place with the consent of the agency responsible for the administrative business documented in the records.

Authorised by:

Linda Macfarlane
Assistant Director-General (Acting) 
National Archives of Australia

2 July 2019

External Relations

The function of managing relationships with external entities, including relations with individuals and organisations in the broader community both domestically and internationally, and relations with other governments and government organisations. Includes:

  • administering the formal relationship between the organisation and those processes of government not covered by other general administrative or agency core functions, such as the organisation's relationship with Ministers and Members of Parliament and the political processes of Government; liaison with bodies carrying out investigations and participating in formal inquiries and investigations, such as Royal Commissions and inquiries by Parliamentary Committees and the Ombudsman; and relationships with Local, State or overseas governments;
  • establishing rapport with the community and raising and maintaining the organisation's broad public profile, including maintaining relations with professional and community bodies, industry and the media; and
  • establishing and maintaining international contacts and protecting, enhancing and promoting the prestige, influence, agenda and position of the organisation and the Australian Government, including facilitating international engagement, maintaining and strengthening relationships with other governments, regions and international agencies, and developing global and regional partnerships, strategies and institutions.

Note:Where an agency has specific or unique relationships with external stakeholders, such as an extensive customer service role or regular ongoing contact with other government agencies, the relevant core business activities should be covered in the agency's own records authority. This function should only be used if the agency's current records authority does not include relevant classes, or if activities are not covered in another general records authority. For example: marketing campaigns developed by Austrade are central to its operations and would not be adequately covered under EXTERNAL RELATIONS; and FINANCIAL MANAGEMENT should be used to cover interaction between the agency and the Department of Finance.

The core activities include:

  • providing and receiving advice, including advice provided to Cabinet, the portfolio Minister and other government agencies. Includes providing advice on the appointment, reappointment or termination of individuals to boards, committees and statutory positions administered by the agency;
  • responding to representations received by the Minister from stakeholders (ie 'Ministerials'), including questions raised in Parliament by Members of Parliament on behalf of their constituents and community-based representations (received from interest groups or individual members of the public) directed to the Minister seeking formal response;
  • managing the preparation and passage of an agency's legislation through Parliament;
  • making formal proposals and submissions, including to national and international bodies and forums, governments, Cabinet, the portfolio Minister, agencies and other organisations;
  • contributing to inquiries;
  • preparing and providing advice and briefs to a Minister, government or incoming government;
  • fulfilling compliance requirements, including fiscal, legal, regulatory and quality standards and requirements;
  • developing and implementing external relations programs, schemes and projects, such as international engagement and exchange of personnel programs;
  • participating in the development of whole-of-government, national and international policies, standards and codes of practice relating to areas of interest to the agency;
  • negotiating, establishing, managing, implementing and reviewing agreements and contracts, including joint venture agreements and memoranda of understanding;
  • managing joint ventures undertaken to support the external relations function, including managing joint operations with both domestic and foreign governments and organisations;
  • forming and maintaining co-operative arrangements with other nations, government agencies, forums and institutions, including developing partnerships;
  • monitoring developments at local, national and international levels that are relevant to the agency's interests;
  • advocacy and representations made to domestic and international organisations to strengthen relationships and strategic alliances;
  • establishing, managing and participating in internal and external committees, meetings, forums, working groups and other bodies;
  • managing agency representatives on community organisations, government bodies or other entities, including their nomination, appointment and resignation or termination;
  • liaising, collaborating and consulting with stakeholders, including liaising with other government agencies;
  • planning, managing, and monitoring general customer services provided to public and private sector clients and the general public (eg enquiry desk; telephone information service), including developing service charters and handling general enquiries, complaints, feedback and suggestions;
  • undertaking marketing and promotional activities, including developing advertising and social media campaigns and developing, delivering and promoting education and information awareness tools, publications and events;
  • arranging, managing and attending agency and external events, including celebrations, ceremonies, social functions, visits, and other events and activities;
  • receiving and responding to greetings and invitations;
  • preparing and presenting speeches;
  • arranging and attending conferences, seminars and workshops;
  • managing award schemes, including selecting recipients and conferring awards, to promote agency services, programs and products, reward innovation and excellence or to support government policy objectives;
  • managing media relations and public reactions to agency activities, including issuing media releases;
  • receiving and making donations, sponsorships and gifts and applying for grant funding from government and non-government sources;
  • managing and undertaking trips and visits by representatives of the agency to other organisations, including to promote the image or services of the agency;
  • managing visits to, or conducting tours of, the agency by the general public and receiving delegations from external stakeholders to promote the agency, inform, and educate; and
  • managing security arrangements to support external relations, including arranging security for visiting dignitaries, government representatives and the general public.

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

  • developing and implementing external relations policies, procedures, strategies and frameworks;
  • delegating powers and authorising actions;
  • making administrative arrangements to support events, trips and visits;
  • planning and reporting;
  • undertaking research and analysis;
  • evaluating and reviewing;
  • planning, conducting and facilitating audits; and
  • identifying, assessing and managing risks.

Cross references to the AFDA Express records authority

For managing the acquisition of goods and services to support the external relations function, including tendering and contracting-out arrangements, use PROCUREMENT.

For financial transactions supporting the external relations function, including the general management of monetary donations received or given by the agency, use FINANCIAL MANAGEMENT.

For legal advice supporting external relations activities, such as advice received on the interpretation of legislation and legislation proposals, use LEGAL SERVICES.

For developing initial proposals for new legislation and amendments to existing legislation, use STRATEGIC MANAGEMENT.

For the production and distribution of agency publications developed in support of external relations, such as published versions of conference proceedings hosted by the agency, service charters and annual reports, use PUBLICATION.

For registers tracking the handling of Cabinet documents and registers of Ministerial correspondence, use TECHNOLOGY AND INFORMATION MANAGEMENT.

For developing and executing contracts under seal or deeds, including signed joint venture contracts under seal, use CONTRACTS UNDER SEAL/DEEDS.

Cross references to other records authorities

For providing financial assistance through grants for projects or programs to strengthen the agency's domestic or international relationships, including funding of scholarship programs, use General Records Authority 28 – Grant Management.

For managing agency representatives appointed to governing bodies, use General Records Authority 27 – Governing Bodies.

For managing agency representatives appointed to advisory bodies, use General Records Authority 26 – Advisory Bodies.

For managing the official operations and activities of Ministers of State, including records created or received by Ministers or Ministerial office staff in the exercise of official Ministerial duties, use General Records Authority 38 – Ministers of State.

For developing and managing exhibitions and displays of material contained in collections acquired by the agency, use General Records Authority 32 – Small Collection Management.

For developing and providing training courses to directly support the core functions of the agency, use the relevant function in an agency-specific records authority or an appropriate general records authority that corresponds with the subject of the training.

Class no

Description of records

Disposal action

62657

Records documenting:

  • developing and reviewing high-level policies, plans, strategies and frameworks to support the agency's international relations activities. Includes final versions, policy statements, major drafts, stakeholder consultations and supporting research;

  • advice provided by the agency to, or received from, Ministers, other government agencies or major domestic or international stakeholders on matters that: are controversial or attract considerable official or public interest; will potentially have substantial social, economic, political, environmental, national or international implications relating to the functional responsibilities of the agency; relate to matters involving child sexual abuse; or, result in major changes to agency or Government policies, programs or procedures, or changes to legislation. Includes advice provided in the form of:

    • briefing notes (includes background briefs and Question Time Briefs);

    • Ministerial statements;

    • Government responses to Inquiry recommendations;

    • policy papers (eg White and Green papers); and

    • minutes, position papers and opinions.

Includes final versions of advice and working papers such as reports, supporting research, and stakeholder consultations.

  • advice and briefs provided to or prepared for a returned or incoming Minister or government. Includes briefs for: potential Ministers; potential incoming governments; minority parties and independents. Includes final versions of advice and briefs, major drafts and working papers documenting: development, communication and contributions from other agencies. Includes briefs known as the red and blue books;

  • papers documenting the development of Cabinet memorandums, Cabinet discussion papers and Cabinet submissions. Includes major drafts, background and briefing material, and stakeholder consultation;

[For final versions of Cabinet documents (eg numbered Cabinet memorandums, numbered Cabinet submissions), use class 62658.]

  • submissions (other than Cabinet submissions) made to the Prime Minister, Minister, and government entities on issues directly relating to the agency's functions, concerning controversial issues with far-reaching social, economic, political and international implications relating to the functional responsibilities of the agency. Includes final versions and working papers documenting development such as major drafts, stakeholder consultation, briefs and supporting research;

  • responses to approaches received by the Minister ('Ministerials') from peak industry bodies, leading community interest groups, and other influential stakeholders (including companies, organisations and individuals) and referred to the agency, concerning issues of a contentious or high-profile nature, or which are of major significance to the agency and/or the community at large. Includes responses to approaches referred to the Minister for action by other Members of Parliament. Includes copies of letters received, draft responses, minutes providing background details for the Minister, requests from the Minister's office for changes, and final response;

  • final versions of significant agreements and contracts and supporting documents, that: relate to substantial funding agreements or the establishment of major partnerships or cooperative arrangements with other governments, agencies and organisations; have whole-of-government implications; are controversial, of public interest or ground-breaking in nature; have implications for major liabilities or obligations for the agency; or result in changes to the performance of statutory functions, or major changes to agency policies or programs. Includes memoranda of understanding and joint venture agreements. Includes records relating to negotiating, establishing, maintaining and reviewing agreements and contracts;

  • establishment and implementation of major external relations programs, schemes and projects, such as international engagement programs and partnerships and programs for exchanges of high-level personnel. Includes joint venture programs and projects;

[For managing employees involved in staff exchange programs, including personnel records documenting employment conditions, salaries, leave and transfers, use PERSONNEL MANAGEMENT.]

  • high level external, including inter-government (both domestic and overseas) or inter-agency, committees, working groups and other bodies, where the agency provides the secretariat, is the Australian Government's main representative, or plays a prominent or central role. Includes establishment documentation, agenda, final versions of minutes, briefs, reports, recommendations, and tabled papers;

  • agency contributions and involvement in inquiries directly relating to its core functions. Includes agency statements and submissions, responses to final reports, transcripts of oral evidence given by agency officers, and records of implementation of recommendations;

[For inquiries with no direct relation to the agency's core functions, use class 62661.]

  • preparation and passage of an agency's legislation through Parliament. Includes preliminary drafting instructions, proposed bills, consultation with relevant government agencies and stakeholders, preparation of the Explanatory Memorandum, regulatory impact statements, and Second Reading Speech;

[For developing initial proposals for new legislation and amendments to existing legislation, use STRATEGIC MANAGEMENT.

For legal advice received on the interpretation of legislation and legislation proposals, use LEGAL SERVICES.]

  • agency histories created or commissioned by the organisation, such as those commemorating significant anniversaries and events. Includes oral histories;

  • development of high-level reports, including formal reports to government relating to the agency's core functions and performance (eg annual reports). Includes final approved versions, major drafts, stakeholder consultation and supporting research;

[For the production and distribution of published versions of reports (eg annual reports), use PUBLICATION.]

  • records relating to delegations of authority from a Minister to the agency;

  • outcomes of major research and analysis undertaken or commissioned by the agency in support of the external relations function. Includes final research reports, statistical modelling and trend analysis, and supporting research datasets and associated information;

  • high-level reviews of the external relations function, including strategic and major internal reviews. Includes final review reports, recommendations, submissions, stakeholder consultations and supporting research;

  • developing major marketing and educational campaigns that support the agency's core business programs and activities, including information awareness activities, advertising and social media campaigns and agency branding. Includes establishing the agency's official social media presence (eg agency Twitter, Facebook, Instagram and YouTube accounts). Includes final versions of marketing plans, marketing and educational material and tools, such as print, radio and television advertisements, social media posts, brochures, flyers, posters and promotional photographs and videos;

[For direct agency communication with stakeholders via social media channels, such as interactions with agency clients (eg complaints, enquiries, feedback), use the relevant core business in an agency-specific records authority or an appropriate general records authority that corresponds with the topic of the communication.]

  • final versions of speeches presented by portfolio Ministers, members of the Government, agency heads, members of governing or advisory  bodies, and senior agency staff. Includes papers presented to conferences and seminars convened by other organisations;

  • ceremonies, celebrations, and other events held to mark special occasions, celebrate achievements or honour events of major importance to the agency, government or community (eg opening of a building or facility, awards ceremonies, anniversary celebrations). Includes programs, invitations, guest lists, videos and photographs;

  • final versions of unpublished proceedings, reports, presentations and papers from conferences, seminars, and forums hosted by the agency;

  • master set of agency produced media releases, including media releases in the portfolio Minister's name, and audio-visual recordings and transcripts of interviews;

  • donations, sponsorships and gifts of money, items, artefacts or property either received by or given to the agency, that: are of long-term value or ongoing benefit to the nation; are of substantial cultural or monetary value; or, are controversial or generate considerable public interest;

[For agencies that receive or give donations as part of their core business, such as where public donations provide major support for core functions (eg National Library of Australia and the National Museum of Australia) or the agency makes substantial donations of aid (eg Department of Foreign Affairs), use the agency's own records authority.

For managing financial transactions associated with donations and gifts received or made by the agency, use FINANCIAL MANAGEMENT.]

  • conferring national and international honours, awards and prizes in relation to the agency's core business functions, including selecting recipients and hosting awards ceremonies (eg recognising leadership in a particular field; acknowledging notable achievements). Includes programs, award recipient nomination and assessment, photographs and registers of award recipients;

  • major national or international honours, awards and prizes received by the agency;

  • visits to the agency by royalty, Heads of State and similarly significant personages. Includes final itineraries, official program, photographs and visitor books signed by visiting dignitaries; and

  • formal international visits by the agency head, portfolio Minister, and governing body members to foreign governments and their agencies and major international organisations to promote the image or services of the agency, develop or formalise partnerships, and otherwise formally represent the Australian Government. Includes visit reports, final itineraries, official programs and photographs.

[For international visits made by members of agency advisory bodies, use General Records Authority 26 – Advisory Bodies.]

Retain as national archives

62658

The following records regulated by Cabinet Handbook instructions:

  • Cabinet documents, including numbered Cabinet memorandums, Cabinet discussion papers, Cabinet minutes and related documents received by the agency;

[For registers tracking the handling of Cabinet documents, use TECHNOLOGY AND INFORMATION MANAGEMENT.

For copies of Cabinet documents that have been substantially annotated by the Minister or Ministerial office, use General Records Authority 38 – Ministers of State.]

  • numbered Cabinet submissions and related Cabinet documents. Includes covering memorandums, corrigenda, reports and attachments to submissions and Cabinet minutes requesting submissions; and

  • notes made by agency officials attending Cabinet or Cabinet committee meetings, other than official notetakers. Excludes Cabinet notebooks held by the Department of Prime Minister and Cabinet.

[For working papers documenting the development of Cabinet records, use class 62657.]

Destroy in accordance with Cabinet Handbook instructions

62659

Record documenting:

  • negotiating, establishing, maintaining and reviewing agreements and contracts, including joint venture agreements and memoranda of understanding, other than those covered in class 62657. Includes final versions;

  • development of submissions (other than Cabinet submissions) made to the Prime Minister, Minister, and government bodies on issues directly relating to the agency's functions, other than those covered in class 62657. Includes submissions concerning administrative matters. Includes final versions, major drafts and stakeholder submissions; and

  • visits made by the Minister both within Australia and overseas, other than those covered in class 62657. Includes invitations, travel and accommodation arrangements, itineraries and programs, visit reports and letters of thanks.

Destroy 10 years after action completed

62660

Records documenting:

  • attendance of staff or members of agency governing or advisory bodies at conferences and seminars arranged by other organisations, for the purpose of delivering an address or otherwise participating as an agency representative. Includes completed conference registration forms, programs and promotional material;

[For attendance of staff or members of the governing or advisory bodies at conferences and seminars for staff development purposes, use PERSONNEL MANAGEMENT.] 

  • responses to surveys carried out to support the external relations function, including responses to surveys requested by other government agencies;

  • administrative arrangements for agency hosted conferences including program development, arranging speakers, promotion, managing registrations and venue bookings;

[For final versions of unpublished proceedings, reports, presentations and papers for agency hosted conferences, use class 62657.]

  • preparation and dispatch or receipt of general letters of introduction, appreciation, or condolence and greetings cards. Includes mailing lists;

  • responses to approaches received by the Minister from the public ('Ministerials') and referred to the agency, other than those covered by class 62657.  Includes copies of letters received, draft responses, minutes providing background details for the Minister, requests from the Minister's office for changes, and final response;

[For 'Ministerials' from peak industry bodies, leading community groups, and other influential stakeholders (including companies, organisations and individuals) concerning issues of a contentious or high-profile nature, or which are of major significance to the agency and/or the community, use class 62657.]

  • administrative arrangements associated with media liaison. Includes organising media interviews and providing information and assistance to support media coverage of events or promotions of the agency's services or products;

[For final versions of media releases and transcripts of interviews, use class 62657.]

  • administrative arrangements supporting the external relations function, including arrangements supporting committees, celebrations, ceremonies, guest speakers, visits, tours, social functions and other events hosted by the agency, other than those covered in class 62657. Includes catering, and venue and entertainment bookings;

[For travel arrangements for staff to attend promotional activities supporting the external relations function, use PERSONNEL MANAGEMENT.

For visits by royalty, Heads of State or similarly significant personages to the agency, use class 62657.

For visits made to the agency by important community representatives, use class 62661.

For building security arrangements made for a visit, use PROPERTY MANAGEMENT.

For staff social clubs and associated functions, use PERSONNEL MANAGEMENT.]

  • handling of public enquiries about the agency and its programs, products and services, including suggestions and feedback received from the public;

[For suggestions received from personnel, use PERSONNEL MANAGEMENT.]

  • developing section or business unit external relations plans, including those of state, regional or overseas offices. Includes final versions, drafts and stakeholder consultation; and

[For agency-wide external relations plans, use class 62661.]

  • working papers documenting the development of agency procedures supporting the external relations function. Includes drafts and stakeholder feedback.

[For final versions of agency procedures supporting the external relations function, use class 62661.]

Destroy 3 years after action completed

62661

Records documenting:

  • routine operational administrative tasks supporting the function; and

  • external relations activities, other than those covered in classes 62657 to 62660.

Destroy 7 years after action completed