4. The transfer of Cabinet records from PM&C to the NAA

Background

  1. PM&C’s Cabinet Division has, for many years, successfully managed the transfer of Cabinet records to the NAA. Perhaps, because of this, the process became a matter of routine without periodic review. It is clear that, over time, systemic problems developed and were not identified. The particular pandemic driven work environment of 2020 became the catalyst for a major breakdown which, given the compounding systemic issues, was probably inevitable at some point.
  2. There was no indication or evidence during the course of the Review that the systemic issues, which exist in record management within the Cabinet Division, has had any impact on its day to day responsibilities of effectively servicing the Cabinet of the government of the day, now or in previous years.

PM&C’s standard transfer process

  1. The overall responsibility for transferring Cabinet records from PM&C to the NAA resides with Cabinet Division. PM&C’s Records Management Unit (RMU) also provides some support.
  2. The transfer process is a functional activity not normally involving high level policy input or interest.
  3. The standard transfer process in Cabinet Division involves:
    1. developing a system generated list of all Cabinet records for the relevant year and physically confirming that year’s records are contained in the PM&C basement to create a spreadsheet of each records relevant data;
    2. undertaking a review of documentation contained within each record and removing information not considered to be a Cabinet record; 21
    3. contacting intelligence agencies to visit PM&C to review sensitive records to ensure that non-Cabinet intelligence papers are not inadvertently caught up amongst Cabinet records for transfer to the NAA;
    4. obtaining the approval of the relevant Assistant Secretary in Cabinet Division for transfer by providing an itemised spreadsheet along with the required transfer approval papers;
    5. notifying the NAA that a transfer of records is ready and providing two portable storage devices of the transfer spreadsheet by safehand. A completed NAA Transfer Proposal and Approval (TPA) form is also emailed to the NAA;
    6. enabling the NAA to attend PM&C to conduct a check of records against the spreadsheet and TPA form; and
    7. scheduling a time for the courier to transfer records to the NAA.
  4. The NAA then receives the records and is responsible for cross-checking items in each box against the list provided by PM&C before sending their record of all items marked as received, and a signed acknowledgement form, to PM&C.

The 2020 transfer

  1. We have examined the circumstances of the transfer of Cabinet records through both interviews with PM&C officials involved in the process in 2020, and through a physical examination of areas that hold Cabinet records within PM&C. Enquiries also included interviews with former Prime Ministers, Secretaries of PM&C and Directors-General of the NAA.

COVID-19

  1. The COVID-19 pandemic had a dramatic impact on normal processes and resourcing within Cabinet Division, as it did across the public and private sectors.
  2. The first confirmed case of COVID-19 in Australia was identified on 25 January 2020.22 On 18 March 2020, the Governor-General, on advice from the Australian government, declared a human biosecurity emergency. 23 The National Cabinet was established in March 202024 to coordinate Australia’s response to the pandemic, and was primarily supported by PM&C’s Cabinet Division.
  3. Officials in both PM&C and the NAA advised that they were impacted by lockdowns and restrictions on office attendance, and as a result, normal processes were disrupted. For instance, requirements to physically undertake review of sensitive records by intelligence agencies to ensure that no non-Cabinet intelligence material was accidentally caught up amongst the Cabinet records, as did happen on one occasion in the past, were impacted by lockdowns and restrictions. As a result of the office restrictions, a box of Cabinet records was left in a secure storage area pending intelligence agency review and subsequently forgotten. Additionally, the Review was advised that during 2020 the NAA paused physical transfer of Commonwealth records as a result of COVID-19 restrictions.
  4. PM&C officials said that Cabinet Division resources were significantly impacted by changes to the Cabinet Committee architecture to support the government’s response to the pandemic. In particular, Cabinet Division advised its work program in relation to National Cabinet, in addition to other Cabinet and Cabinet Committee support functions, effectively doubled. Between its inception, on 13 March 2020, and 24 August 2020, National Cabinet met 50 times.25

Systemic issues

  1. PM&C’s Cabinet Division acknowledged it has:
    • incomplete standard operating procedures in place regarding the transfer of Cabinet records;
    • no consistent understanding across the Division of the transfer obligations under the Archives Act; and
    • no staff with records management expertise.
  2. Cabinet records are held in different parts of the department, depending on security classification. While often necessary, this adds to the challenge of meeting transfer obligations by limiting officials’ abilities to manage, locate and transfer Cabinet records. There is also no central register of the location of Cabinet records within PM&C.

Inadequate security clearances

  1. Staff responsible for transfer of Cabinet documents to the NAA do not have appropriate security clearances, meaning they are entirely reliant on cleared staff who do not have any training or experience in record management, and, sometimes, very little interest in proper record keeping. It is a system which maximises the risk of error.
  2. Also, the Head of the Cabinet Division does not hold a TSPV which means she or he cannot access the full suite of Cabinet records in PM&C’s possession.

No senior executive or political interference

  1. Interviews with former Prime Ministers, Secretaries of PM&C and staff confirmed that the transfer of documents from PM&C to the NAA has always been considered a mechanical exercise, not normally requiring policy consideration. This is consistent with legislative requirements set out in the Archives Act. However, much like many other functional activities across government, they become routinised and are not adequately reviewed from time to time. This is apparent from reviewing outdated and incomplete Cabinet record standard operating procedures held by PM&C.
  2. The Secretary of PM&C in 2020, Mr Philip Gaetjens, advised that he had never been involved in matters relating to the transfer of Cabinet records, nor had he ever received direction or enquiry from the then Prime Minister or his Office about such matters. This advice is consistent with that provided to the Review by other Secretaries of PM&C including Mr Peter Shergold AC (2003 – 2008), Mr Terry Moran AC (2008 – 2011), Mr Michael Thawley AO (2014 – 2016), Dr Martin Parkinson AC, PSM (2016 – 2019) and Professor Glyn Davis AC (2022 – current).
  3. Former Secretary of PM&C, Dr Ian Watt AC (2011 – 2014), said he had a recollection of one discussion within PM&C about some intelligence papers but could not recall the detail. The transfer of documents to the NAA was not, however, a matter that normally involved the Secretary and he could not recall any discussion with the Prime Minister or PMO about such matters.
  4. Directors-General of the NAA, Simon Froude (2022 – present), David Fricker (2012 – 2021) and Ross Gibbs PSM (2003 – 2011) advised that they had never been contacted by a Prime Minister, PMO staff or Secretary of PM&C about matters relating to the transfer of Cabinet records from PM&C to the NAA.
  5. The Prime Minister at the time of the 2020 transfer, the Hon Scott Morrison MP (2018 – 2022), advised that he could not recall ever being involved in any matter relating to the transfer of Cabinet records from PM&C to the NAA. This is consistent with advice from other former Prime Ministers, including the Hon John Howard OM AC SSI (1996 – 2007), His Excellency the Hon Dr Kevin Rudd AC (2007 – 2010, 2013), the Hon Julia Gillard AC (2010 – 2013), the Hon Tony Abbott AC (2013 – 2015) and the Hon Malcolm Turnbull AC (2015 – 2018).
  6. The Review notes that PM&C does, as a matter of routine, provide briefing to the Prime Minister annually on the upcoming public release of Cabinet records by the NAA. This, however is unrelated to the transfer of documents from PM&C to the NAA.

Footnotes

  1. Consistent with advice set out in Records Disposal Schedule No. S.492 1988.↩
  2. Department of Health and Aged Care, ‘First Confirmed Case of Novel Coronavirus in Australia’ (Media release, 25 January 2020) <https://www.health.gov.au/ministers/the-hon-greg-hunt-mp/media/first-confirmed-case-of-novel-coronavirus-in-australia>.↩
  3. Biosecurity Act 2015 (Cth) s 475; Karen Elphick, ‘Australian COVID-19 Response Management Arrangements: A Quick Guide’, Parliament of Australia (Web Page, 28 April 2020) <https://www.aph.gov.au/About_Parliament/Parliamentary_Departments/Parliamentary_Library/pubs/rp/rp1920/Quick_Guides/AustralianCovid-19ResponseManagement>.↩
  4. Kelsey Campbell and Emma Vines, ‘COVID-19: a chronology of Australian Government Announcements (up until 30 June 2020)’, Parliament of Australia (Web Page, 23 June 2021) < www.aph.gov.au/About_Parliament/Parliamentary_Departments/Parliamentary_Library/pubs/rp/rp2021/Chronologies/COVID-19AustralianGovernmentAnnouncements>.↩
  5. The Department of Prime Minister & Cabinet, ‘National Cabinet Statement’, (Media release, Transcript ID 44093, 6 August 2021) <https://pmtranscripts.pmc.gov.au/release/transcript-44093>.↩