Notice of Disposal Freeze: Records Related to Institutional Responses to Child Sexual Abuse

Ourreference:2012/4206

NoticeofDisposalFreeze:

Records related to institutional responses to child sexual abuse

To: AllCommonwealthdepartmentsandagencies,allCommonwealthauthorities,Commonwealth companies,otherCommonwealthinstitutionsandanyotherentitythatholdsCommonwealth records

Thisdocumentis tonotifyAustralianGovernmentagenciesandotheragentsorpeopleinpossessionof Commonwealthrecords(records)thatIhaveimposedadisposalfreezeonCommonwealthrecordsthat relatetochildsexualabuse.TheNationalArchivesofAustraliahasdeterminedthatadisposalfreezeis necessaryto ensurethatrelevantrecordsareprotectedandavailableforthepurposesof theRoyal Commissionandanysubsequentactionsbythe AustralianGovernment,forfuturereferenceand accountabilitypurposesandto protecttherightsandentitlementsofstakeholders.

Background

On12November2012the PrimeMinister,theHonJuliaGillardMP,announcedtheAustralian Government’sintentiontoestablishaRoyalCommissionintoInstitutionalResponsestoChildSexual Abusein Australia(theRoyalCommission).TheGovernor-GeneralissuedtheLettersPatentand Termsof ReferenceestablishingtheRoyalCommissionon 11January2013.

TheRoyalCommissionwillinquireintowhatcanbe done:tobetterprotectchildrenagainstchildsexual abuseinthefuture;to achievebestpracticeinreportingonandrespondingtoallegations;toeliminate andreduceimpedimentstorespondingappropriatelytochildsexualabuse;andtoaddressandalleviate the impactof pastandfuturechildsexualabuse.Itwillalsohaveregardto:theexperienceof people directlyorindirectlyaffectedbychildsexualabuse;theneedtofocusonsystemicissues,theadequacy andappropriatenessof responses;andanychangestolaws,policies,practicesandsystemsthathave improvedtheabilitytobetterprotectagainstandrespondto childsexualabuse.UnderitsTermsof Reference,theRoyalCommissionwillfocusits inquiriesontheresponseof institutions(including AustralianGovernmentagencies)tochildsexualabuseandallegationsof abusethatoccurinan institutionalcontext.

This is an accurate reproduction of the authorised Notice of Disposal Freeze content, created for accessibility purposes.

NationalArchivesof Australia Noticeof Disposal Freeze:Recordsrelatedtoinstitutionalresponsestochildsexualabuse

Purpose

Thepurposeof thisrecordsdisposalfreezeis toassistinthe identificationof Commonwealthrecordsthat arelikelytobe requiredbytheRoyalCommissionandanysubsequentactionsbythe Australian Government,andtoclarifyrequirementstoretainrelevantrecords.

Penaltiesfortheunauthoriseddestructionof documentsandrecordsarespecifiedin various

Commonwealthlaws,includingtheArchivesAct1983 andtheRoyalCommissionsAct1902.

Itis likelythatsomeof therelevantrecordshavebeenauthorisedfordestructionundergeneraland agency-specificrecordsauthoritiesissuedbytheNationalArchivesorusinganormaladministrative practice(NAP).Thepurposeof thisdisposalfreezeis topreventanysuchdestructionandto ensurethat allrelevantexistingandfuturerecordsare availableforcurrentandfutureactions.

ThedisposalfreezesuspendstheNationalArchivesofAustralia’spermissiontodestroyany relevantrecordsthatcouldotherwisebelegallydestroyedundercurrentrecordsauthorities issuedbytheNationalArchivesanddesignatesanyrelevantrecordsasnot suitablefor destructionthroughanormaladministrativepractice(NAP).

Authority

Thisactionis takenpursuanttoparagraphs24(2)(b)and24(2)(c)of theArchivesAct1983.

Recordsaffected

ThisdisposalfreezeappliestoallCommonwealthentitiesandtoothersin possessionof relevant Commonwealthrecords.Italsoappliestorelevantrecordsof defunctorpredecessoragenciesand recordsof relevantoutsourcedbusinessthatareheldbyotherinstitutions.

Thecategoriesof recordsaffectedbythedisposalfreezearedescribedinSchedule1. Furtherinformationonrelevantrecordsauthoritiesis includedin Schedule2.

Inbroadterms,thedisposalfreezecoversrecordsrelatingtochildsexualabusewhichhasoccurredoris allegedto haveoccurredinvolvingAustralianGovernmentprogramsoractivities,AustralianGovernment officials,orAustralianGovernmentpremisesasdefinedin theTermsof ReferencefortheRoyal Commissionwhere:

•a‘child’is definedassomeoneundertheageof 18years;

•an‘institution’includesAustralianGovernmentagenciesthatprovideprogramsandservicesfor training,educating,caringfor,oraddressingthewellbeingof childrenandagenciesthatdo not haveprogramsthatdealdirectlywithchildrenbutprovidethemeansthroughwhichadultshave contactwithchildreneg.on Governmentpremises;

•‘institutionalcontext’includessettingsnotdirectlycontrolledbytheinstitutioneg activitiesof staff onofficialtravel,overseaspostings,officialrepresentation;

•an‘official’of aninstitutionincludesvolunteersandcontractorsaswellasemployees.

Theserecordsmaybe individualclientandcasefiles,policyandotheradministrativerecords,recordsof legalanddisciplinaryproceedings,investigations,reviews,reports,inquiriesandappeals,supportor compensationrecordsrelatedtomattersof abuseandallegationsof abuse(seeSchedule1forspecific categories).

Thedisposalfreezealsocoversagencycontrolrecordswhichmayidentifyrecordsrelevanttothe disposalfreezesuchasregistersof casefiles,cardandelectronicindexesof filesandrecords,metadata identifyingspecificrecordsindatabasesand otherdigitalbusinesssystems.

Thedisposalfreezecoversrecordsinallformats,includingpaperfilesanddocuments,microfilmand magnetictapes,audioand visualrecordings,photographsandrecordscreateddigitally,includingbutnot limitedto:

emails,documentscreatedbywordprocessingandotherofficeapplications,residingin designateddocumentandrecordsmanagementsystems,onsharedworkgroupspaces,on shared,localorpersonaldrivesorin any otherlocations/media,suchasthumbdrives,laptops andotherportabledevices.

Thefreezealsocoversinformationinallrelevantcurrentandlegacydatabasesanddigitalbusiness systemssuchasthoseusedformanagementof financeandhumanresources,clientrelationshipor business-specificworkflowandcasemanagementsystems.Italsoappliestorecordswhichhavenot beencapturedintoformalrecordsmanagementsystemsincludingemails,SMSsandother communicationsfrom personaldevices,socialmediapostsandpersonalnotebooksandunregistered filesorfolders.

Allrecordsindigitalformats,includinginformationin databasesandotherdigitalbusinesssystems,must bemaintainedwithallthenecessarymetadataso asto supportretrievalandaccesstoauthenticand reliableinformation.

Normaladministrativepractice(NAP)

Underthetermsof thisdisposalfreezeagenciesmustnotdestroyanyrecordsthatmayberelevanttothe freezebyapplyinganormaladministrativepractice(NAP).AnyexistingNAPpoliciesandproceduresin affectedagenciesshouldbeamendedappropriatelyto thiseffect.

Duration

Thedisposalfreezewilltakeeffecton31 January2013andwillbeinforceuntilfurthernoticebythe

NationalArchives.

Actionrequired

Agenciesandotheragentsorpeopleinpossessionof Commonwealthrecordsshould:

1. Ensurethatallworkersareinformedof thedisposalfreeze.

2. Ensurethatallworkersresponsibleforrecordsand informationmanagement,legalaffairs,human resourcesmanagement,internalinvestigationsandinformationandcommunicationtechnology(ICT) understandthefullimpactof thefreeze.

3. Determineiftheyortheircontractorsandrecordsserviceprovidershaveanyrecordsdueoroverdue fordestructionthatcomewithinthescopeof thedisposalfreeze.

4. Anyrecordsalreadyproposedfordestructionmustbe checkedtoensuretheyarenotcoveredbythe disposalfreeze.

5. Retainexistingandfuturerecordssubjecttothedisposalfreezeuntilfurthernotice.

Impact

Theprocessing,reviewingandstoragecostsarisingfrom theimplementationof thisdisposalfreezewill bebornebytheagenciesorotheragentsorpeopleconcerned.

Inquiries

Forinquiriesaboutthis disposalfreeze,pleasecontactthe AgencyServiceCentreat 02 62123610.

Issuedby

DavidFricker Director-General

NationalArchivesof Australia

31January2013

Schedule1:Categoriesofrecordssubjecttothedisposalfreeze

TheNationalArchiveshasidentifiedand listedareasof Commonwealthinformationthatare likelyto be relevanttotheTermsof Referenceof theRoyalCommissionintoInstitutionalResponsesto ChildSexual Abuse(RoyalCommission).Thesecategoriesare listedin thisschedule.Guidanceon theapplicabilityof thecategoriesto agenciesis alsoincluded.

Agenciesmustreviewthecategoriesinthisscheduleandassesstheextentto whichtheyareaffected. Agenciesthathaveothercategoriesof recordsthatmayberelevantshouldreviewtheseagainstthe Termsof Referenceof theRoyalCommissionandadvisetheNationalArchives.

Allrelevantcontrolrecordsrelatingtocreationanddestructionof recordsshouldalsobe retained.

Summary

Recordcategories1to 3applytoall agencies. Theseare:

1. Non-residentialcontactwithpeopleunder18

2. Workerwhereabouts

3. Legislation,policies,programplanningandagreements

Recordcategories4to 6applyto:

•agenciesinvolvedinpastorcurrentallegations;

•agenciesthathavereviewedrelevantactions,decisionsorcases;

•agenciesthatleadorparticipatein targetedoperationalresponses. Theseare:

4. Abusecases-incidentreporting,investigationandresolution

5. Individualfollow-up/support,compensation,counsellingetc

6. Targetedoperationalresponses

Recordcategories7to 9applytoseveralspecialisedagencies. Theseare:

7. Inquiriesandresearch

8. AustralianGovernmentcommunityservicesoperations

9. Residentialcontactwithpeopleunder18

Detailedschedules

Categories1to3applytoallagencies.

1. Non-residential contact with people under 18

Recordsrelatedtothecareandsupervisionof peopleundertheageof 18 whereworkers(staff, contractors,volunteersandoutsourcedserviceproviders)areincontactwithchildren.Examples include:

•programsforschoolagechildrensuchasholidayprograms;

•educational,traineeandcadetprograms;

•volunteerandworkexperienceprograms;

•anyoccasionwhenchildrenarepresentintheworkplace;

•schoolvisitstoculturalinstitutions;

•policeyouthclubsorchildcareservicessupported,fundedormanagedbyagencies,or locatedonagencypremises.

Examplesof wherethistypeof informationis likelyto befoundinclude:

•trainee,student,cadet,volunteerandclientcasefiles;

•childattendanceorregistrationrecords.

Seealsocategory8. Agencieswithoperationalprogramsthatinvolvedeliveryof servicestochildren, suchashealthscreeningtestsandservicesshouldalsorefertocategory8AustralianGovernment communityservicesoperations.

2. Workerwhereabouts

Intheeventof an allegationbeingmade,informationaboutthewhereaboutsofworkersmaybe needed.Relevantinformationmayestablishthe locationofworkers,whentheyareworkingeither withintheagency,onbehalfof theagency,oroutsidetheagencyforexamplewhentravelling.This informationis likelytobefoundin:

•attendance,leaveandtravelrecords;

•personnelfiles;

•recordsof outpostedstaff,overseasofficersandlocallyemployedstaffandtheirfamilies;

•recordsshowingterm of employment.

3. Legislation,policies,programplanningandagreements

Informationthatdirectsorsetsrequirementsforprotectionof childrenfrom sexualabuseat international,national,intergovernmental,wholeof Commonwealthgovernmentandindividual agencylevelincludingagencypoliciesforprogramsinvolvingchildren.Thesemaybeneededto showhowagenciesmakedecisionsabouttheseprograms.Examplesof relevantinformationinclude development,implementation,reportingorevaluationof:

•legislation,planning,policies,proceduresandreportingmechanisms;

•codesof conduct,standardsand values.Includeswholeof governmentandagencychild protectionpolicies;

•agreements,contracts,jointventures,memorandaof understandingrelatedtothecareof children,includingoutsourcingarrangements;

•whistle-blowerinformation;

•processesformanagingallegationsconcerningthecareof children.

Categories4to6applyto:

•agenciesinvolvedinpastorcurrentallegations;

•agenciesthatmayhavereviewedrelevantactions,decisionsorcases;

•agenciesthatleadorparticipatein targetedoperationalresponses.

4. Abusecases- incidentreporting,investigationand resolution

Recordsdocumentingactionstakentoaddressallegationsandcasesof sexualabuseof childrenand relatedmatters.Examplesinclude:

•allegationsmadetoagenciesandagencyresponsesandinvestigations.Includescases whichdidnotresultin anypenalties.Thistypeof informationis likelytobe in case, personnel,counsellingordisciplinerecords;

•referralstolawenforcementauthoritiesandbriefsof evidencesupportingcases,including evidencegatheredforcasesthatdonotproceed;

•reviewsof actions,casesordecisionsbyorganisationssuchastheOmbudsman,Australian HumanRightsCommission,Privacy,InformationorMeritProtectionCommissioners, TribunalsortheFederalCourts.

5. Individualfollow-up/support,compensation,counsellingetc.

Recordsdocumentingsupportandremedialactionto individuals.Examplesinclude:

•claims,assessments,reviewsandappealsforindividuals;

•interventions,supportorcompensationandattemptedorsuccessfulredress;

•counselling,mediationandmedicalrecords.

6. Targetedoperationalresponses

Recordsdocumentingtargetedoperationalactionsorprogramstakentoaddressallegationsand casesof sexualabuseof childrenandrelatedmatters.Examplesinclude:

•programssuchastheNorthernTerritoryEmergencyResponseorAustralianparticipationin the VirtualGlobalTaskforce.Thisincludesallagenciesleadingorparticipatingintargeted responses;

•fundingforsupportprogramssuchas legalaid;

•processesformanagingallegationsof childabuse;

•gatheringandexchangeof informationaboutabuse;

•liaisonwithsupportgroupsandconsultativeforumsonmattersof abuse;

•evidenceof agencyresponsesand implementationof recommendationsof anyreviewsand inquiries.

Categories7to9applytoseveralspecialisedagencies

7. Inquiriesandresearch

Recordsdocumentinginquiriesandresearchintochildsexualabuseandrelatedmatters.Includes lawreformandparliamentaryinquiriesandresearchinitiativesintomattersrelatingtochildsexual abuse.Examplesinclude:

•researchandconsultations,evidencecollectedorprovided,submissions,publishedand unpublishedreportsandrecommendations;

•allrecordsrequestedandusedbyinquiries,suchastheCommonwealthPaedophileInquiry

1996-97;

•dataof anycurrentandpastresearchsuchassurveysandquestionnaires;

•responsesto andanalysisof thefindingsof anyrelevantinquirybodies.

8. AustralianGovernmentcommunityservicesoperations

Recordsdocumentingtheprovisionof communityservicesandprogramstoclientsundertheageof

18.Thisincludesservicesinterritoriessuchasthe AustralianIndianOceanTerritory.Examplesof servicesandprogramsinclude:

•childprotectionandwelfare;

•health,hearingtesting;

•policing;

•crisisandemergencymanagement;

•counselling;

•migrantandrefugeeservices(non-residential).

Examplesof relevantrecordsforservicesandprogramsinclude:

•clientfilesandrecordsof visitswherechildrenareinvolved;

•planning,policies,proceduresandreportingmechanisms;

•reviewandevaluationof servicesandprograms;

•evidenceof thewhereaboutsof children,forexamplechildendowmentpayments.

9. Residentialcontactwithpeopleunder18

Recordsof childrenandtheircare whereworkersareincontactwithchildreninvolvedin residential programs.Examplesof residentialprogramsinclude:

•programsforathletesorothertrainees;

•programsforcadetsorjuniorrecruitsforthearmedforces;

•hostels;

•detentioncentres;

•migrantandrefugeeresettlementprograms;

•universitycollegesandsummerschools;

•AustralianGovernmentresidentialfacilitiesoverseas.

Examplesof relevantrecordsinclude:

•clientregisters;

•workerregisters;

•clientcasefiles includingattendanceand incidentreports;

•enquiries,complaints,commentsandreportingfrom parents,staffandpublic;

•recordsofmanagingincidentsthatmayincludechildabuseallegations;

•reportsreceivedfrommedicalpractitioners,healthprofessionals,psychologists,teachers, coaches,socialworkers,legalofficers,counsellors,chaplainsandcaseofficersinrelationto individualsorparticularincidents;

•planning,policiesandproceduresandreportsandreportingmechanisms;

•evaluationof accommodation,institutionalculturesandservices.

Schedule2:Recordsauthoritiesandpracticesrelevanttothedisposalfreeze

Thepurposeof thisscheduleis toassistagenciesto understandwhichrecordsauthoritiesandpractices mayberelevanttorecordsthataresubjectto thedisposalfreeze.Itis notintendedto beanexhaustive list.Relevantrecordscoveredbyrecordsauthoritiesissuedafterthisdisposalfreezetakeseffectwillalso besubjecttothefreeze.

Pleasenotethatrecordsauthoritiesidentifiedheremaystillbe usedtodestroyotherrecordsthatarenot coveredbythefreeze.

1.All relevant agency-specificRecordsAuthorities(RAs)andRecordsDisposalAuthorities

(RDAs)inuse byagencies.Thisincludespre 2000recordsauthoritiesthatarestillcurrent.

2.RelevantGeneralRecordsAuthorities(GRAs)willinclude:

•AdvisoryBodies(GRA26)

(forexample,attendance,leaveandtravelrecordsforadvisorybodymembers)

•CommunityRelations(AFDA)(AFDAExpress)

(forexample,recordsof customerservice,procedures,publicreaction,reporting,traveland visits)

•Compensation(AFDA)(AFDAExpress)

(forexample,recordsof accidents,cases,claims,reporting)

•Financialmanagement(AFDA)(AFDAExpress)

(forexample,accountingrecordsfortravelandaccommodation)

•GoverningBodies(GRA27)

(forexample,attendance,leaveandtravelrecordsforgoverningbodymembers)

•Governmentrelations(AFDA)(AFDAExpress)

(forexample,recordsof inquiries,representations,andvisits)

•Legalservices(AFDA)(AFDAExpress)

(forexample,recordsof claims,inquiriesandlitigation)

•Occupationalhealthandsafety(AFDA)(AFDAExpress)(forexample,recordsof accidentstothepublic)

•Personnel(AFDA)(AFDAExpress)

(forexample,recordsof allowances,attendance,counseling,discipline,infringements,leave, performancemanagement,reporting,securityandtravel)

•Procurement(AFDA)(AFDAExpress)

(forexample,recordsof complaints,compliance,contracting-out,andriskmanagement)

•PublicorOfficialInquiries(GRA29)

3.Predecessorgeneralrecordsdisposalauthoritiesandschedules

Althoughmostpre-2000generalrecordsauthoritieshavebeenreplaced,somerelevantrecordsmay remaininconsignmentsof personalhistoryfilesandrelatedrecordsthatweresentencedusingthese earlierauthoritiesandschedules.Thesewouldinclude:

•GDA20 –RecordsCommontoThirdLevelAgencies:OfficesControlledby StateorRegional

Offices;

•GDA18 –AdministrativeandotherrecordscommontomostState/RegionalOfficesand

OverseasPosts;and

•GDA17 –AllStaffand EstablishmentRecords.

4.Normaladministrativepractice(NAP)

Underthetermsof thisdisposalfreezeagenciesshouldnotdestroyanyrecordsthatmayberelevantto thefreezebyapplyinganormaladministrativepractice(NAP).