Record Keeping And Management – How Long Do Documents Have To Be Kept?

There is some clarification of exactly what documents and notes have to be kept on file[8]:

6.1           A registered migration agent must maintain proper records that can be made available for inspection on request by the Authority, including files containing:

(a)    a copy of each client’s application; and

(b)    copies of each written communication between:

(i)    the client and the agent; and

(ii)    the agent and any relevant statutory authority; and

(iii)    the agent and the Department regarding the client; and

(c)    file notes of every substantive or material oral communication between:

(i)    the client and the agent; and

(ii)    the agent and an official of any relevant statutory authority; and

                        (iii)    the agent and the Department regarding the client.

The Code also places these obligations on an agent:

6.1A      A registered migration agent must keep the records mentioned in clause 6.1 for a period of 7 years after the date of the last action on the file for the client.

 

6.2      A registered migration agent must keep all documents to which a client is entitled securely and in a way that will ensure confidentiality while the agent is giving services to the client and until the earlier of:

(a)      7 years after the date of the last action on the file for the client; or

(b)      when the documents are given to the client or dealt with in accordance with the client’s written instructions.

The Migration Agents Amendment Regulations 2005 (No 1) clarified to some extent what documents should be returned to the client. The new Cl 6.2A says:

6.2A            For clause 6.2, the documents to which a client is entitled include (but are not limited to) documents that are:

(a) provided by, or on behalf of, the client; and

(b) paid for by, or on behalf of, the client;

such as passports, birth certificates, qualifications, photographs and other personal documents.

The writer’s opinion is that paper copies have to be kept of all relevant emails.

Indeed the Code of Conduct states:

6.4                   A registered migration agent must act on the basis that the agent’s electronic communications are part of the agent’s records and documents.

Also, files should not be kept in a way that other clients can see the names on files. Keep files out of sight.  Technically speaking that fact that a person is a client is a confidential fact.