Commissions of Inquiry records (GA31)

Overview

Authority no	GA31
SR file no	21/0208
Scope	This general retention and disposal authority covers records documenting the function of Commissions of Inquiry.
Public office	This authority applies to records created and maintained by Royal Commissions, Special Commissions of Inquiry, Commissions of Inquiry, Inquiries established by Letters Patent or Ministerial Directive, and Inquiries established under discrete legislation such as the Casino Control Act. Used by: Independent Liquor and Gaming Authority, Royal Commissions, Special Commissions, Commissions of Inquiry, Premier's Department
Approved Amended	1/7/2008 10/09/2021

What records does this authority cover?

This authority covers records in any format created and maintained by:

Royal Commissions appointed under the terms of the Royal Commissions Act 1923
Special Commissions of Inquiry appointed under the terms of the Special Commissions of Inquiry Act 1983
Commissions of Inquiry established under legislation by Ministerial Directive or by Letters Patent, and
Inquiries established by Letters Patent or Ministerial directive
Inquiries established under discrete legislation such as the Casino Control Act, 1992.

It does not apply to the records of public offices established for the purpose of conducting investigations on an ongoing basis, such as the Independent Commission Against Corruption, the Law Enforcement Conduct Commission, the NSW Crime Commission, the NSW Ombudsman etc. The records of these public offices have disposal coverage under their own functional disposal authority.

This authority is to be used in conjunction with the relevant general retention and disposal authorities for other administrative records associated with the management of formal Inquiries not covered by this authority. For example:

the General Retention and Disposal Authority – Administrative records (GA28) for records relating to media items about the Inquiry and the management of staff
the General retention and disposal authority: original or source records that have been copied for the disposal of originals of records that have been digitised.

Most documents received by a Commission of Inquiry will be digital. There have been a small number of cases where members of the public have submitted original hard copy records to an Inquiry and have subsequently requested their return.

The general authority gives permission for the return of original items that are required as State archives provided that copies are made for eventual transfer as State archives. The general authority also gives permission for the return of original documents if requested that are not required as State archives.

Purpose of the authority

The purpose of this retention and disposal authority is to identify those records (all formats) created and received by NSW public offices which are required as State archives and to provide approval for the destruction of certain other records created and received by NSW public offices, after minimum retention periods have been met.

The approval for disposal is given under the provisions of the State Records Act 1998 only and does not override any other obligations of a public office to retain records.

The records retention and disposal practices outlined in this authority are approved under section 21(2)(c) of the State Records Act 1998 (NSW).

Retention and disposal of State records

Part 3 (Protection of State Records) of the Act provides that records are not to be disposed of without the consent of the State Records Authority NSW (State Records NSW) with certain defined exceptions. These exceptions include:

an action of disposal which is positively required by law. This includes records retention and disposal authorities issued by State Records NSW and other legislation that requires the destruction of records. The State Records Regulation 2024 Schedule 1 lists some of the legislation that authorises the destruction of records.
an action of disposal which takes place in accordance with a normal administrative practice (NAP) of the State Records Regulation of which State Records NSW does not disapprove.

The authority establishes how long different classes of records generated by a public office must be kept to meet its legal, operational and other requirements, and whether the records are required as State archives.

Note:

While State Records NSW gives approval for the destruction of certain records after minimum retention periods have been met in this retention and disposal authority, it does not compel destruction of records. Public offices are responsible for determining whether there are business or other needs for retaining records beyond the minimum retention periods set out in this authority.
A public office must not dispose of any records where the public office is aware of possible legal action (including legal discovery, court cases, formal applications for access (GIPA)) where the records may be required as evidence.
For records that are severely damaged by fire, flood, mould, neglect etc. or for digital records that are unreadable or inaccessible, contact State Records NSW immediately when identified.

State Records NSW reviews and approves public offices' retention and disposal authorities under the State Records Act. State Records NSW’s decisions consider both the administrative requirements of public offices in discharging their functional responsibilities and the potential future use of the records by the NSW Government and the public.

It is the duty of a public office, in submitting a draft retention and disposal authority for approval, to disclose to State Records NSW any information which affects the retention of the records covered by the authority.

Retention and disposal authorities identify some records as State archives. These are records which document the authority and functions of Government, its decision-making processes and the implementation and outcomes of those decisions, including the nature of their influence and effect on communities, environment and individual lives. Criteria for the identification of State archives are listed in the Building the Archives Policy. The Policy also explains the roles and responsibilities of State Records NSW and of public offices in undertaking appraisal processes and disposal activities.

Retention and disposal authorities have been designed to link records to the functions they document rather than to organisational structure (i.e. departments or clusters).

Public offices must ensure when outsourcing that service providers are aware of their recordkeeping obligations to apply relevant retention and disposal authorities.

Normal administrative practice (NAP)

Another means to lawfully dispose of State records is in accordance with the normal administrative practice provisions (NAP) of the State Records Act which allow for the disposal of certain types of facilitative and duplicate records.

Public offices should produce internal policies and procedures to further define what is meant by and what are acceptable NAP for their own organisation. Examples of NAP include duplicates of records, some drafts, working papers, unused stationary. See State Records Act 1998, section 22 and State Records Regulation 2024, Schedule 2.

Records covered by the normal administrative practice provisions of the Act are not included in records retention and disposal authorities.

Implementing the authority

This retention and disposal authority covers records controlled by the public office and applies only to the records or classes of records described in the authority. The authority should be implemented as part of the records management program of the public office.

Two primary objectives of a records management program are to:

ensure that records are kept for as long as they are of value to the public office and its stakeholders
enable the destruction of records or transfer of State archives once they are no longer required for business or operational purposes.

Sentencing records	Sentencing is the examination of records to identify the disposal class in the authority to which they belong. This process enables the public office to determine the appropriate retention period and disposal action for the records. It is recommended that this process be undertaken when a record is created.
Digitised records	Where the format of records has changed (for example, from paper-based to digital) disposal actions in the authority still apply to the records. The digitised versions of records are to be retained for the minimum retention periods in a retention and disposal authority or managed as State archives. Where a record is copied (for example, digitally imaged or microfilmed) the original should only be disposed of with authorisation under the General retention and disposal authority – original or source records that have been copied.
Born digital records	For records natively created in a digital format such as emails, Word documents, database records or created by artificial intelligence (AI) disposal actions in the authority still apply. Born digital records and digitised records must be authentic, usable and accessible over the whole of their existence. The information contained in technology dependant records must be accessible for the period specified in the classes. Public offices will need to ensure that any software, hardware or documentation required for continuing access to technology dependent records is available for the retention period of the record. See the Digital records preservation policy. Ensure metadata of the record clearly identifies and contextualises the information contained within to make searching and sentencing easy now and into the future.
Records required as State archives	Records which are to be retained as State archives are identified with the disposal action 'Required as State archives'. These records should be stored in controlled environmental conditions. See the Standard on the physical storage of State records. Transferring records identified as State archives and no longer in use for official purposes to Museums of History NSW should be a routine part of a public office's records management program.
Records approved for destruction	Records that have been identified as being approved for destruction may only be destroyed once a public office has ensured that all other requirements for retaining the records are met. Retention periods set down in this authority are minimum periods only and a public office should keep records for a longer period if necessary. Reasons for longer retention can include legal requirements, administrative need, government directives and changing social or community expectations. State Records NSW does not compel destruction. A public office must not dispose of any records where the public office is aware of possible legal action (including legal discovery, court cases, formal applications for access (GIPA)) where the records may be required as evidence. Once all requirements for retention have been met, destruction of records should be carried out securely and in an environmentally sound way. Relevant details of the destruction should be recorded.

Regardless of whether a record has been approved for destruction or is required as a State archive, a public office or an officer of a public office must not permanently transfer possession or ownership of a State record to any person or public office without the explicit approval of State Records NSW.

1.0.0 Formal commissions of inquiry

The management of temporary, independent inquiries established to inquire into and report on certain matters. Includes:

Royal Commissions
Special Commissions of Inquiries and Commissions of Inquiry
Inquiries established by Letters Patent or Ministerial directive
Inquiries established under discrete legislation such as the Casino Control Act.

Note: This disposal authority does not apply to the records of public offices established for the purpose of conducting investigations on an ongoing basis, such as the Independent Commission Against Corruption, the Law Enforcement Conduct Commission, the NSW Ombudsman etc.

See General Retention and Disposal Authority Original or source records that have been copied for authorisation to destroy the originals of records that have been copied.

No.	Description of records	Disposal action
1	Key records of the inquiry. Includes: records documenting the constitution and operation, such as letters patent, terms of reference, Ministerial directives, legal advice the issue of summons or orders to attend and produce documents or give evidence, requests for information, and invitations to make submissions documents received, including formal submissions and exhibits transcripts of hearings, including video or audio tape recordings where no transcription exists original handwritten documents of the Commissioner or Inquiry Head, and Associates, such as bench notes research or briefing papers produced by staff of the Commission or Inquiry records of interviews of persons and/or meetings conducted as part of the Commission or Inquiry. Includes notes taken of the interview and/or meeting by the Commission or Inquiry, and/or transcripts. interim, final and substantive drafts of reports of the Commission or Inquiry. This includes correspondence relating to the submission of the reports the appointment and advice of expert reference groups or expert consultants other key correspondence sent externally by the Commission or other person conducting the inquiry (e.g. to interested parties, stakeholders or members of the community).	Required as State archives Note: original exhibits and other material received by the inquiry can be returned to the source or owner if requested, provided that copies are made and retained by the Commission for transfer as State archives. NSW State Archives will advise on copying standards and processes for exhibits as required.
2	Operational records of the inquiry. Includes: copies of documents received, exhibits tendered, transcripts and submissions material received by the Inquiry or Commission that is not required for the purposes of the inquiry video or audiotape recordings of Commission or Inquiry hearings and interviews of persons used to facilitate the compilation of transcripts arrangements for hearings, interviews and meetings scheduling of submissions and hearings, and notices of hearings and public submission dates (including media advertisements). Note: Before original material is destroyed under this class, a reasonable attempt should be made to return the records to the owner or source. Reasonable efforts will be determined by the agency responsible for the records of the completed inquiry.	Retain a minimum of 12 months after action completed, then destroy Note: original exhibits and other material that are not required for the inquiry can be returned to the source or owner.
3	Records documenting the return, or attempted return, of evidence or exhibits to their owners.	Retain minimum of 10 years after action completed, then destroy

No.

Description of records

Disposal action

Key records of the inquiry. Includes:

records documenting the constitution and operation, such as letters patent, terms of reference, Ministerial directives, legal advice
the issue of summons or orders to attend and produce documents or give evidence, requests for information, and invitations to make submissions
documents received, including formal submissions and exhibits
transcripts of hearings, including video or audio tape recordings where no transcription exists
original handwritten documents of the Commissioner or Inquiry Head, and Associates, such as bench notes
research or briefing papers produced by staff of the Commission or Inquiry
records of interviews of persons and/or meetings conducted as part of the Commission or Inquiry. Includes notes taken of the interview and/or meeting by the Commission or Inquiry, and/or transcripts.
interim, final and substantive drafts of reports of the Commission or Inquiry. This includes correspondence relating to the submission of the reports
the appointment and advice of expert reference groups or expert consultants
other key correspondence sent externally by the Commission or other person conducting the inquiry (e.g. to interested parties, stakeholders or members of the community).

Required as State archives

Note: original exhibits and other material received by the inquiry can be returned to the source or owner if requested, provided that copies are made and retained by the Commission for transfer as State archives. NSW State Archives will advise on copying standards and processes for exhibits as required.

Operational records of the inquiry. Includes:

copies of documents received, exhibits tendered, transcripts and submissions
material received by the Inquiry or Commission that is not required for the purposes of the inquiry
video or audiotape recordings of Commission or Inquiry hearings and interviews of persons used to facilitate the compilation of transcripts
arrangements for hearings, interviews and meetings
scheduling of submissions and hearings, and notices of hearings and public submission dates (including media advertisements).

Note: Before original material is destroyed under this class, a reasonable attempt should be made to return the records to the owner or source. Reasonable efforts will be determined by the agency responsible for the records of the completed inquiry.

Retain a minimum of 12 months after action completed, then destroy

Note: original exhibits and other material that are not required for the inquiry can be returned to the source or owner.

Records documenting the return, or attempted return, of evidence or exhibits to their owners.

Retain minimum of 10 years after action completed, then destroy

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Type: Authority

Author: State Records NSW

Publication Date: 01 July 2008

Version: Updated 10 September 2021

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Legal and justiceNSW GovernmentGovernment recordkeepingRetention and disposal authority

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