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  1. Government Recordkeeping
  2. Rules
  3. Retention & Disposal Authorities
  4. General retention and disposal authorities
  5. Local government records (GA39)
  6. Part 2: The General retention and disposal authority (GA39)
  7. LAWS AND ENFORCEMENT (GA39)
LAWS AND ENFORCEMENT (GA39)

TOC

The function of regulating, notifying and applying penalties in relation to the organisation's regulatory role. Includes the carrying out of inspections and investigations, and issuing of infringements, notices and orders.

See relevant function/activity for records relating to the issue of permits to conduct activities, e.g. see RECREATION AND CULTURAL SERVICES - Permits for permits to undertake activities, such as filming, on property owned or managed by the organisation.

See CORPORATE MANAGEMENT for records relating to the conduct of audits, agreements, tenders and contracts for the outsourcing or provision of services, policies, procedures, and standards concerning the conduct of regulatory activities.

See CORPORATE MANAGEMENT - Authorisation for records relating to authorisations to carry out regulatory and enforcement activities.

See CUSTOMER SERVICE - Public Reaction for records relating to the handling of complaints concerning breaches of regulations.

See ENVIRONMENTAL MANAGEMENT for applications to prune and remove trees, tree preservation orders and the operation of pounds.

See the General Retention and Disposal Authority: Administrative records PROPERTY MANAGEMENT - SECURITY for CCTV records and bodycam footage for Council rangers.

 CAMPAIGNS

Activities associated with raising awareness of a program, issue or requirements to promote or improve compliance with laws and regulations.

No Description of records Disposal action
19.1.1 Records relating to campaigns to raise awareness of laws and regulatory requirements and/or improve compliance. Records include:

  • draft and final versions of campaign material such as brochures, booklets and circulars
  • project plans for the conduct of campaigns.
 Retain minimum of 5 years after action completed, then destroy

 INFRINGEMENTS

Activities associated with issuing of infringement and penalty notices for breaches of rules, regulations and laws.

See LAWS AND ENFORCEMENT - Notifications for records of notices and orders to cease an action or rectify a matter issued prior to the issue of a penalty or infringement notice.

See LEGAL SERVICES - Litigation for records relating to the management of lawsuits or legal proceedings between the organisation and other parties in a court or other tribunal resulting from the issue of notices.

No Description of records Disposal action
19.2.1 Records relating to the issue of infringements and penalty notices for offences. Records include:

  • infringement/penalty notices
  • inspection reports
  • investigation records
  • supporting documentation
  • associated correspondence.

Note: Where infringements result in legal action, records may need to be retained for longer as part of case file (see LAWS AND ENFORCEMENT – Prosecutions and LEGAL SERVICES – Litigation).

 Retain minimum of 7 years after action completed, then destroy

 INVESTIGATIONS

The activity of investigating breaches or potential breaches of laws and regulations.

See LAWS AND ENFORCEMENT - Notifications for records of investigations that result in a notice being issued.

See LEGAL SERVICES - Litigation for records relating to investigations that result in a prosecution.

No Description of records Disposal action
19.3.1 Records of investigations into a breach or potential breach of compliance that do not proceed to further action (i.e. that do not proceed to the issue of an order or penalty or to prosecution). This includes cases where the outcome of the investigation confirms that no breach, infringement or offence has occurred or that it cannot be established and therefore no further action should be pursued. Retain minimum of 7 years after action completed, then destroy

 LICENSING

The activities associated with authorising and granting permission to conduct or carry out activities.

See CORPORATE MANAGEMENT - Authorisation for records relating to delegations, licences and authorities granted to the organisation to perform compliance and regulatory activities on behalf of other organisations

See LAWS AND ENFORCEMENT - Registration for legacy records of companion animal registration.

See LEGAL SERVICES - Litigation for records of legal action taken by or against the organisation concerning licensing issues

No Description of records Disposal action
19.4.1

Records relating to the issue of licences by the organisation for the conduct of regulated activities. Records include applications, renewals, supporting documentation and associated correspondence. Includes successful and unsuccessful applications.

Note: this entry is intended to provide coverage for legacy records of licensing activities no longer conducted by the organisation e.g. licensing of food premises, common lodging houses etc.

 Retain minimum of 5 years after expiry or termination of licence, then destroy
19.4.2 Records relating to applications made under local laws or legislation for a permit, approval or registration including successful and unsuccessful applications, cancellations, transferrals, amendments, renewals, suspensions, revocations and investigations. Records include:

  • applications and supporting documentation
  • notifications of change of proprietor, trading name, address, cessation of trade etc.
  • determinations.
 Retain minimum of 2 years after refusal, expiry or cancellation of approval or registration, then destroy
19.4.3 Records relating to applications made under local laws or legislation for a permit or approval for temporary events or activities, such as leaflet distribution, charitable collections, public addresses, busking, temporary food stalls, toilets etc. Includes successful and unsuccessful applications, cancellations, transferrals, amendments, renewals, suspensions, revocations and investigations. Records include:

  • applications and supporting documentation
  • determinations.
 Retain minimum of 1 year after refusal, expiry or cancellation of permit or approval, then destroy
19.4.4 Records relating to the registration and identification of companion animals. Records include:

  • companion animal permanent identification forms and registration forms
  • companion animal change of owner/details forms
  • verifications of existing microchips
  • statutory declarations of animal ownership.
 Retain minimum of 2 years after creation of record, then destroy

 LOCAL LAWS

See CORPORATE MANAGEMENT - Legislation for records relating to the development of local laws and regulations.

 NOTIFICATIONS

The activity of issuing or receiving notices regarding a failure of or a requirement for compliance, inappropriate practices, or of an intention to take action. Includes information notices received or sent by the organisation.

See relevant function/Notifications for records of notifications related to specific issues, e.g. see WASTE MANAGEMENT – Notifications for records of notices issued for rubbish dumping or littering, etc.

See LAWS AND ENFORCEMENT - Infringements for records relating to the issue of infringement notices and penalties for breaches of regulations or non-compliance with orders and notices.

See LEGAL SERVICES - Litigation for records relating to prosecutions for breaches of regulations or non-compliance with notices or orders.

No Description of records Disposal action
19.6.1 Records relating to the issue of notices and orders for offences under local and other laws and instructions for rectification or remediation. Records include:

  • notifications of a failure of compliance and of the organisation's intention to act
  • notices or orders to comply or to undertake an action
  • notices of intention to give an order
  • objections and submissions
  • authorisations from other agencies to issue orders and notices
  • affidavits of service of notices
  • supporting documentation
  • field officers/inspectors diaries
  • investigation reports
  • associated correspondence.
 Retain minimum of 7 years after action completed, then destroy
19.6.2 Records relating to notifications of inspections and certifications submitted by owners or business or service operators as evidence of compliance with health, building and other laws, standards and regulations. Includes certification of regulated systems. Records include:

  • inspection reports and certificates, e.g. quarterly water cooling tower reports
  • annual and supplementary fire safety statements
  • certificates of compliance for dangerous/restricted dog enclosures, etc.

Note: Final/interim fire safety certificates and fire safety schedules required for new developments are covered under DEVELOPMENT AND BUILDING CONTROLS – Applications.

 Retain minimum of 7 years after action completed, then destroy
19.6.3 Records relating to certifications and notifications as to whether land is subject to outstanding notices or orders. Records include certificates and associated correspondence. Retain minimum of 7 years after action completed, then destroy
19.6.4 Requests for certificates as to whether land is subject to outstanding notices or orders. Retain minimum of 1 year after action completed, then destroy
19.6.5 Listings of notices issued and notices outstanding, including tracking and update records. Retain until administrative or reference use ceases, then destroy

 PROSECUTIONS

See LEGAL SERVICES - Litigation for records relating to the management of lawsuits or legal proceedings between the organisation and other parties in a court or other tribunal.

 REGISTRATION

Compiled registers and summary records.

See LAWS AND ENFORCEMENT - Licensing for records relating to the registration of companion animals.

No Description of records Disposal action
19.8.1 Summary records and registers of licensed premises. Required as State archives
19.8.2 Summary records and registers of licences or permits issued to carry out certain activities, e.g. blasting, hairdressing, operation of licensed food premises. Retain minimum of 10 years after expiry or termination of licence, then destroy
19.8.3

Registers of companion animals.

Note: this entry is intended to provide coverage for legacy records of the licensing of companion animals undertaken by councils. The State government is now responsible for the maintenance of a state-wide register of companion animals.

 Retain minimum of 15 years after action completed, then destroy
19.8.4 Summary records and registers relating to laws and enforcement. Includes registers of infringements, notices, orders and licence books issued. Retain minimum of 7 years after action completed, then destroy

 SUBMISSIONS

See GOVERNMENT RELATIONS - Submissions for records of submissions made regarding laws and enforcement.