Docstoc

GDA_BCS_Map v1-0

Document Sample
GDA_BCS_Map v1-0 Powered By Docstoc
					                                         New Zealand University Functional Classification Structure




Top Level Headings of University FCS



 Academic Programme Management
 Alumni Relations Management
 Audit and Quality Management
 Financial Management
 Governance and Strategic Management
 Health and Safety
 Human Resources
 Information Management
 Legal Services
 Operational Management
 Property and Facilities Management
 Public Affairs and Communications
 Research Management
 Student Administration
 Student Services




Approved by the Public Records Act Working Group (PRAW) - a working group under the NZVCC (July 2009)   1
                                      Mapping of the University General Disposal Authority to the Functional Classification Model




L1     L2        L3           L4          SCOPE NOTES                                  Disposal Disposal     Trigger    GDA Reference
                                                                                        Action    Time
                                                                                                 Period
                         The function of managing the
ACADEMIC PROGRAMME MANAGEMENT
                                          development, delivery and review of all
                                          academic programmes, courses and
                                          curriculum. Excludes Student Records -
                                          See Student Administration
       Accreditation                      Activities involved in the external
                                          accreditation process of course curriculum

                 Programme                                                             Destroy   2 years   From date   10.2.1
                                                                                                           of last
                                                                                                           action
                              Correspondence                                           Destroy   2 years   From date   10.2.1 xref with
                                                                                                           of last     10.2.2
                                                                                                           action      correspondence
                                                                                                                       advising
                                                                                                                       accreditation
                                                                                                                       approval
                              Proposals                                                Destroy   2 years   From date   10.2.1
                                                                                                           of last
                                                                                                           action
                              Working Papers                                           Destroy   2 years   From date   10.2.1
                                                                                                           of last
                                                                                                           action
                 University                                                            Destroy   2 years   From date   10.2.1
                                                                                                           of last
                                                                                                           action
                              Correspondence                                           Destroy   2 years   From date   10.2.1 xref with
                                                                                                           of last     10.2.2
                                                                                                           action      correspondence
                                                                                                                       advising
                                                                                                                       accreditation
                                                                                                                       approval
                              Proposals                                                Destroy   2 years   From date   10.2.1
                                                                                                           of last
                                                                                                           action
                              Working Papers                                           Destroy   2 years   From date   10.2.1
                                                                                                           of last
                                                                                                           action




                                                                                                                                          2
                                       Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3             L4         SCOPE NOTES                                    Disposal Disposal      Trigger     GDA Reference
                                                                                        Action    Time
                                                                                                 Period
     Course Administration              Activities involved in the administration of
                                        course delivery. Activities involve
                                        developing and planning timetabling of
              Timetabling                                                              Destroy              Until no     14.12.1
                                                                                                            longer
                                                                                                            administrati
                                                                                                            vely
                                                                                                            required
     Curriculum Development and         Activities involved in the curriculum
     Approval                           development and approval process.
                                        Activities include meetings, drafting course
                                        and preparing the final approved curricula

              <name of programme>                                                                                        10.2.1

                             Consultation                                              Destroy   2 years    From date    10.2.1
                                                                                                            of last
                                                                                                            action
                             Documentation                                             Destroy   2 years    From date    10.2.1
                                                                                                            of last
                                                                                                            action
                             Research                                                  Destroy   2 years    From date    10.2.1
                                                                                                            of last
                                                                                                            action
                             Resources                                                 Destroy   2 years    From date    10.2.1
                                                                                                            of last
                                                                                                            action
              Committee Meetings                                                       Archive   10 years   From date    10.2.2
                                                                                                            of last
                                                                                                            action
                             Agendas                                                   Archive   10 years   From date    10.2.2
                                                                                                            of last
                                                                                                            action
                             Minutes                                                   Archive   10 years   From date    10.2.2
                                                                                                            of last
                                                                                                            action
              CUAP                                                                     Archive   10 years   From date    10.2.2
                                                                                                            of last
                                                                                                            action
              Equity Programmes and Services                                           Destroy   10 years   After date   10.4.1
                                                                                                            of last
                                                                                                            action




                                                                                                                                          3
                                   Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2         L3         L4        SCOPE NOTES                                    Disposal Disposal        Trigger     GDA Reference
                                                                                     Action       Time
                                                                                                  Period
                Liaison with Professional Bodies                                    Destroy     2 years   From date 10.2.1
                                                                                                          of last
                                                                                                          action
                Master Set of Approved Curricula                                    Archive     10 years From date 10.2.3
                                                                                                          of last
                                                                                                          action
                Working Papers                                                      Destroy     2 years   From date 10.2.1
                                                                                                          of last
                                                                                                          action
     Curriculum Review               Activities involved in the review of           For minor reviews: Destroy 2 years from date of last
                                     curriculum. Activities include meetings,       action (10.3.1)
                                     drafting and finalising reviews.               For major reviews: Destroy 10 years from date of last
               Correspondence                                                       action (10.3.2)
               Proposals
               Working Papers
     Planning and Strategy           Activities involved in developing plans and    For high level planning and strategy: Archive 10 years
                                     strategy. Activities include, identifying      after date of last action (5.7.1)
                                     requirements, undertaking research,
                                     consulting, submitting drafts for final
                                     approval and reviewing
     Policies                        Activities involved in developing and          For high level policies: Archive 10 years after date of
                                     establishing policies. Activities include,     last action (see 5.8.1)
                                     identifying requirements, undertaking
                                     research, consulting, analysing processes,
                                     submitting policy proposals for final
                                     approval and reviewing
     Procedures                      Activities involved in developing and          For high level procedures: Archive 10 years after date
                                     establishing procedures. Activities include,   of last action (see 5.8.1)
                                     identifying requirements, undertaking
                                     research, consulting, analysing processes,
                                     procedure proposals for final approval and
                                     reviewing

     Quality Management              Activities involved in assessment of the
                                     course/programme contents and delivery.
                                     Activities include monitoring and evaluation
                                     of teaching and learning using feedback
                                     and self-evaluation
                Academic Quality                                                    Destroy    10 years    After date    10.5.2
                                                                                                           of last
                                                                                                           action




                                                                                                                                              4
                                 Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3           L4     SCOPE NOTES                                 Disposal Disposal    Trigger     GDA Reference
                                                                               Action    Time
                                                                                        Period
              Complaints and Surveys                                          Destroy  10 years After date    10.5.1
                                                                                                of last
                                                                                                action
              Evaluation of Courses                                           Destroy  10 years After date    10.5.1
                                                                                                of last
                                                                                                action
              Monitoring and Evaluation                                       Destroy  10 years After date    10.5.1
                                                                                                of last
                                                                                                action
              Statistics                                                      Destroy  10 years After date    10.5.1
                                                                                                of last
                                                                                                action
     Student Assessment           Activities involved in the managing the
                                  process for assessments. See also Student
                                  Administration for records relating to
                                  assessment for individual students.



              Assessments                                                     Destroy   7 years   From date   10.1.2
                                                                                                  of last
                                                                                                  action
              Moderating                                                      Destroy   7 years   From date   10.1.2
                                                                                                  of last
                                                                                                  action
              Resourcing                                                      Destroy   7 years   From date   10.1.2
                                                                                                  of last
                                                                                                  action
              Results                                                         Destroy   7 years   From date   10.1.2
                                                                                                  of last
                                                                                                  action




                                                                                                                               5
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              6
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              7
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              8
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              9
                               Mapping of the University General Disposal Authority to the Functional Classification Model




L1    L2        L3        L4       SCOPE NOTES                                        Disposal Action Disposal         Trigger            GDA Reference
                                                                                                        Time
                                                                                                       Period
Alumni Relations Management The function of managing the university's
                                   relationship with its Alumni

      Communications               Activities involved in managing the university's   Destroy          2 years    After date of last 12.2.2
                                   communications with alumni. Activities include                                 action or until no
                                   preparing communications for either regular                                    longer
                                   communications (e.g. managing) or one off                                      administratively
                                   communications and conducting surveys                                          required,
                                                                                                                  whichever is
                                                                                                                  longer
                <name of alumni magazine>                                             Archive one copy 10 years   After date of last   12.7.2
                                                                                                                  action
                Enquiries and requests for services                                   Destroy          2 years    After date of last   12.2.2
                                                                                                                  action or until no
                                                                                                                  longer
                                                                                                                  administratively
                                                                                                                  required,
                                                                                                                  whichever is
                                                                                                                  longer
                Notifications to Alumni                                               Destroy          2 years    After date of last   12.2.2
                                                                                                                  action or until no
                                                                                                                  longer
                                                                                                                  administratively
                                                                                                                  required,
                                                                                                                  whichever is
                                                                                                                  longer
                Surveys                                                               Destroy          2 years    After date of last   12.2.2
                                                                                                                  action or until no
                                                                                                                  longer
                                                                                                                  administratively
                                                                                                                  required,
                                                                                                                  whichever is
                                                                                                                  longer
      Development                  Activities specifically related to development     Destroy          7 years    After date of last   12.8.1
                                   and fundraising, seeking donations,                                            action
                                   endowments, gifts and bequests targeted at
                                   Alumni.




                                                                                                                                                          10
                              Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2      L3          L4          SCOPE NOTES                                        Disposal Action Disposal      Trigger             GDA Reference
                                                                                                          Time
                                                                                                          Period
     Events Management               Activities involved in organising events for       Destroy         2 years  After date of last   12.2.3
                                     alumni. Activities include timetabling events,                              action or until no
                                     arranging venues and catering, designing                                    longer
                                     publicity materials, registration and review and                            administratively
                                     reports on events.                                                          required,
                                                                                                                 whichever is
                                                                                                                 longer
             <by event>                                                                 Destroy         2 years  After date of last   12.2.3 xref with 12.3.3
                                                                                                                 action or until no
                                                                                                                 longer
                                                                                                                 administratively
                                                                                                                 required,
                                                                                                                 whichever is
                                                                                                                 longer
                                                                                        Destroy         2 years  After date of last   12.2.3
                                                                                                                 action or until no
                                                                                                                 longer
                                                                                                                 administratively
                                                                                                                 required,
                                                                                                                 whichever is
                         Administration                                                                          longer
                                                                                        Destroy         2 years  After date of last   12.2.3
                                                                                                                 action or until no
                                                                                                                 longer
                                                                                                                 administratively
                                                                                                                 required,
                                                                                                                 whichever is
                         Publicity                                                                               longer
                                                                                        Destroy         2 years  After date of last   12.2.3
                                                                                                                 action or until no
                                                                                                                 longer
                                                                                                                 administratively
                                                                                                                 required,
                                                                                                                 whichever is
                         Registration                                                                            longer




                                                                                                                                                                11
                                Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2         L3        L4       SCOPE NOTES                                       Disposal Action Disposal      Trigger           GDA Reference
                                                                                                       Time
                                                                                                       Period
                                                                                     Destroy         2 years  After date of last 12.2.3
                                                                                                              action or until no
                                                                                                              longer
                                                                                                              administratively
                                                                                                              required,
                                                                                                              whichever is
                          Review and Report                                                                   longer
     Membership                   Activities involved in keeping an accurate         Destroy         2 years  After date of last 12.2.1
                                  record of the university's alumni membership.                               action or until no
                                                                                                              longer
                                                                                                              administratively
                                                                                                              required,
                                                                                                              whichever is
                                                                                                              longer
               Membership Lists                                                      Destroy         2 years  After date of last 12.2.1
                                                                                                              action or until no
                                                                                                              longer
                                                                                                              administratively
                                                                                                              required,
                                                                                                              whichever is
                                                                                                              longer
                         <by year>
     Planning and Strategy       Activities involved in developing plans and         For high level planning and strategy: Archive 10 years after date of last
                                 strategy. Activities include, identifying           action (5.7.1)
                                 requirements, undertaking research,
                                 consulting, submitting drafts for final approval
                                 and reviewing
     Policies                    Activities involved in developing and               For high level policies: Archive 10 years after date of last action (see
                                 establishing policies. Activities include,          5.8.1)
                                 identifying requirements, undertaking research,
                                 consulting, analysing processes, submitting
                                 policy proposals for final approval and reviewing

     Procedures                    Activities involved in developing and             For high level procedures: Archive 10 years after date of last action (see
                                   establishing procedures. Activities include,      5.8.1)
                                   identifying requirements, undertaking research,
                                   consulting, analysing processes, procedure
                                   proposals for final approval and reviewing




                                                                                                                                                                  12
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              13
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              14
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              15
                                 Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2      L3      L4                  SCOPE NOTES                                        Disposal      Disposal       Trigger       GDA
                                                                                             Action         Time                     Reference
                                                                                                           Period
AUDIT QUALITY AND                        The function of conducting audits of the
MANAGEMENT                               university's affairs and operations,
                                         including internal and external reviews and
                                         compliance

     External Audits                     Activities involved in undertaking assisting      For Minor Audits: Destroy 7 years after date of last
                                         with and responding to external audit's of the    action (2.1.3)
                                         university's affairs and operations. Activities   For Major Audits: Archive 10 years after date of last
                                         include facilitating the conduct of the audit,    action (2.1.4)
                                         reviewing reports responding to findings and
                                         reviewing procedures
            Academic Audits

                     <by name of audit>
            Clinical Audits
                     <by name of audit>
            Financial Audits
                     <by name of audit>
     Internal Audits                    Activities involved in undertaking internal
                                        audits of the university's affairs and
                                        operations. Activities include identifying
                                        requirements, conducting audits, preparing
                                        reports, responding to findings and reviewing
                                        procedures
            <by name of audit>
     Planning and Strategy              Activities involved in developing plans and        For high level planning and strategy, Archive 10
                                        strategy. Activities include, identifying          years after date of last action (see 5.7.1 for
                                        requirements, undertaking research,                examples)
                                        consulting, submitting drafts for final approval
                                        and reviewing
     Policies                           Activities involved in developing and              For high level policies: Archive 10 years after date
                                        establishing policies. Activities include,         of last action (see 5.8.1)
                                        identifying requirements, undertaking
                                        research, consulting, analysing processes,
                                        submitting policy proposals for final approval
                                        and reviewing




                                                                                                                                                   16
                                Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2     L3      L4                SCOPE NOTES                                      Disposal       Disposal        Trigger    GDA
                                                                                        Action          Time                  Reference
                                                                                                        Period
     Procedures                       Activities involved in developing and           For high level procedures: Archive 10 years after
                                      establishing procedures. Activities include,    date of last action (see 5.8.1)
                                      identifying requirements, undertaking
                                      research, consulting, analysing processes,
                                      procedure proposals for final approval and
                                      reviewing
     Projects                         Activities involved in managing one off         The retention and disposal decisions will be
                                      projects. To be arranged by project             dependent on both the nature of the project and the
                                      methodology being followed by the university.   way in which the associated project files have been
                                                                                      arranged. For example, reports on significant
                                                                                      projects may come under the "Governance"
                                                                                      disposal section while administrative records may
                                                                                      come under Finance (e.g. for budgets) or
            <by name>
     Quality Improvement              Activities involved in developing and           For Minor Reviews/Audits: Destroy 7 years after
                                      implementing the institutions quality           date of last action (2.1.3)
                                      management                                      For Major Reviews/Audits: Archive 10 years after
                                                                                      date of last action (2.1.4)


            Administrative and academic reviews
            Benchmarking
            Business Process Mapping
     Reporting                      Activities involved in the reporting of
                                    operational activities conducted by or for the
                                    university. Activities include quality
                                    assurance, reporting and monitoring. Note -
                                    this excludes financial reporting - see
                                    Financial Management
            <by activity>

                    Background Papers                                                 Destroy      2 years or until no longer 2.7.1
                                                                                                   required
                    Correspondence                                                    Destroy      2 years or until no longer 2.7.1
                                                                                                   required
                    Reports                                                           Archive      10 years     After date    2.7.3
                                                                                                                of last
                                                                                                                action




                                                                                                                                            17
                    Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3   L4        SCOPE NOTES                           Disposal    Disposal     Trigger      GDA
                                                                Action       Time                  Reference
                                                                             Period
                                                              Destroy     7 years     After date   2.7.2
                                                                                      of last
                                                                                      action




                                                                                                                  18
                              Mapping of the University General Disposal Authority to the Functional Classification Model




L1 L2    L3              L4        L5       L6   SCOPE NOTES                               Disposal Action    Disposal        Trigger           GDA
                                                                                                                Time                          Reference
                                                                                                               Period
FINANCIAL MANAGEMENT                             The function of managing and
                                                 delivering financial services to the
                                                 university. This includes
                                                 transactions, investments and
                                                 advice.

   Budget and Forecasting Management             Activities involved in setting and
                                                 managing budgets for the university.
                                                 Activities include setting budgets and
                                                 monitoring actual expenditure against
                                                 planned expenditure.

         <by financial year>
                          Budget
                                   Drafts                                                 Destroy            7 years     After date of last   4.3.1
                                                                                                                         action
                                   Final                                                  Archive            10 years    After date of last   4.3.2
                                                                                                                         action
                         Budget Initiatives                                               Destroy            7 years     After date of last   4.3.1
                                                                                                                         action
                                   <by Business unit>                                     Destroy            7 years     After date of last   4.3.1
                                                                                                                         action
                         Budget Reports                                                   Destroy            7 years     After date of last   4.3.1
                                                                                                                         action
                                   Monthly variance reports                               Destroy            7 years     After date of last   4.3.1
                                                                                                                         action
                                   Quarterly                                              Destroy            7 years     After date of last   4.3.1
                                                                                                                         action
         Capital Expenditure
                         Forecasting                                                      Archive            10 years    After date of last 4.3.2
                                                                                                                         action
   External Revenue                              Activities involved in managing
                                                 external funding from government or
                                                 other external sources. Activities
                                                 include processing funds, monitoring
                                                 expenditure and preparing reports




                                                                                                                                                          19
                               Mapping of the University General Disposal Authority to the Functional Classification Model




L1 L2    L3               L4      L5    L6      SCOPE NOTES                             Disposal Action    Disposal        Trigger           GDA
                                                                                                             Time                          Reference
                                                                                                             Period
         e.g. Marsden                                                                  Destroy            7 years     After date of last   4.3.1
                                                                                                                      action
         e.g. MORST                                                                    Destroy            7 years     After date of last   4.3.1
                                                                                                                      action
         EFTS Funding                                                                  Destroy            7 years     After date of last   4.3.1
                                                                                                                      action
         Fund for Innovation and Excellence in Teaching                                Destroy            7 years     After date of last   4.3.1
                                                                                                                      action
         Performance Based Research Funding                                            Destroy            7 years     After date of last   4.3.1
                                                                                                                      action
   Financial Accounting                         Activities involved in processing,
                                                recording, classifying and analysing
                                                financial transactions. Activities
                                                include transactions between the
                                                university and third parties and the
                                                university and its employees
         Corporate financials
                         <by financial year>
                                 Accounts Payable                                      Destroy            7 years     After date of last   4.5.3
                                                                                                                      action
                                        <by batch file>                                Destroy            7 years     After date of last   4.5.3
                                                                                                                      action
                                  Accounts Receivable                                  Destroy            7 years     After date of last   4.5.3
                                                                                                                      action
                                        <by batch file>                                Destroy            7 years     After date of last   4.5.3
                                                                                                                      action
                                  Asset Management
                                        Additions and Disposals                        Destroy            7 years     After date of last   4.5.3
                                                                                                                      action
                                        Asset Register                                 Destroy            7 years     After date of last   4.5.3
                                                                                                                      action
                                        Depreciation                                   Destroy            7 years     After date of last   4.5.3
                                                                                                                      action
                                        Cash Forecasting                               Destroy            7 years     After date of last   4.5.3
                                                                                                                      action
                                  Credit Card Management                               Destroy            7 years     After date of last   4.5.2
                                                                                                                      action




                                                                                                                                                       20
                  Mapping of the University General Disposal Authority to the Functional Classification Model




L1 L2   L3   L4      L5    L6       SCOPE NOTES                  Disposal Action    Disposal        Trigger           GDA
                                                                                      Time                          Reference
                                                                                      Period
                           Applications                         Destroy            7 years     After date of last   4.5.2
                                                                                               action
                           Issues                               Destroy            7 years     After date of last   4.5.2
                                                                                               action
                           Statements                           Destroy            7 years     After date of last   4.5.2
                                                                                               action
                     Month-end Processing                       Destroy            7 years     After date of last   4.3.1
                                                                                               action
                     <by month>                                 Destroy            7 years     After date of last   4.3.1
                                                                                               action
                           Bank Reconciliations                 Destroy            7 years     After date of last   4.5.3
                                                                                               action
                           General Ledger Reconciliations       Destroy            7 years     After date of last   4.5.3
                                                                                               action
                           Journals                             Destroy            7 years     After date of last   4.3.1
                                                                                               action
                           Payroll Processing                   Destroy            7 years     After date of last   4.2.1
                                                                                               action
                     Taxation and Levies to pay
                            ACC                                 Destroy            7 years     After date of last   4.4.2
                                                                                               action
                           Child Support Deductions             Destroy            7 years     After date of last   4.4.2
                                                                                               action
                           FBT                                  Destroy            7 years     After date of last   4.4.1
                                                                                               action
                           GST                                  Destroy            7 years     After date of last   4.4.1
                                                                                               action
                           PAYE                                 Destroy            7 years     After date of last   4.4.2
                                                                                               action
                           Superannuation (by name of Scheme)   Destroy            7 years     After date of last   4.4.2
                                                                                               action
                           Withholding Tax                      Destroy            7 years     After date of last   4.4.2
                                                                                               action




                                                                                                                                21
                             Mapping of the University General Disposal Authority to the Functional Classification Model




L1 L2   L3              L4      L5    L6         SCOPE NOTES               Disposal Action       Disposal        Trigger           GDA
                                                                                                   Time                          Reference
                                                                                                  Period
                                Year-end Processing                       For major audits                  After date of last 2.1.3/2.1.4
                                                                          archive 10 years                  action
                                                                          after date of last
                                                                          action. For minor
                                                                          audits destroy 7
                                                                          years after date of
                                                                          last action.
        Student financials
                        <by financial year>
                                Accounts Payable                          Destroy               7 years     After date of last   4.3.1
                                                                                                            action
                                      <by batch file>                     Destroy               7 years     After date of last   4.3.1
                                                                                                            action
                                Accounts Receivable                       Destroy               7 years     After date of last   4.3.1
                                                                                                            action
                                      <by batch file>                     Destroy               7 years     After date of last   4.3.1
                                                                                                            action
                                      Debt Management                     Destroy               7 years     After date of last   4.3.1
                                                                                                            action
                                      Invoice Processing                  Destroy               7 years     After date of last   4.5.4
                                                                                                            action
                                Month-end Processing <by month>           Destroy               7 years     After date of last   4.3.1
                                                                                                            action
                                      Bank Reconciliations                Destroy               7 years     After date of last   4.3.1
                                                                                                            action
                                      General Ledger Reconciliations      Destroy               7 years     After date of last   4.3.1
                                                                                                            action
                                      Journals                            Destroy               7 years     After date of last   4.3.1
                                                                                                            action
                                Taxation and Levies to pay                Destroy               7 years     After date of last   4.4.1
                                                                                                            action
                                      GST                                 Destroy               7 years     After date of last   4.4.1
                                                                                                            action
                                      Student Loan Deductions             Destroy               7 years     After date of last   4.4.1
                                                                                                            action
                                Year-end Audit                            Destroy               7 years     After date of last   4.4.1
                                                                                                            action




                                                                                                                                             22
                              Mapping of the University General Disposal Authority to the Functional Classification Model




L1 L2    L3              L4      L5      L6         SCOPE NOTES                                Disposal Action       Disposal        Trigger           GDA
                                                                                                                       Time                          Reference
                                                                                                                       Period
                                         External                                             Destroy               7 years     After date of last 4.4.1
                                                                                                                                action
                                         Internal                                             Destroy               7 years     After date of last 4.4.1
                                                                                                                                action
                                         Year-end Processing                                  Destroy               7 years     After date of last 4.4.1
                                                                                                                                action
   Financial Advice                                 Activities involved in providing          Cross reference to                                   5.4.5, 5.4.6,
                                                    financial advice to Senior                5.4.5, 5.4.6, 9.4.1                                  9.4.1, 9.4.2
                                                    Management or individual                  and 9.4.2
                                                    colleges/faculties/schools                depending on the
                                                                                              scope of the
                                                                                              contents.
         <per Unit/College>
   Financial Delegations and Approvals              Activities involved in managing         Destroy                 7 years     After date of last 4.1.1
                                                    financial approvals and authorities for                                     action
                                                    expenditure and/or incurring debt.
                                                    Activities include processing of
                                                    application, confirming and monitoring
                                                    delegations
                                                    Activities involved in the management
   Insurance
                                                    of insurance for the university.
                                                    Activities include acquiring insurance,
                                                    filing claims and valuations
         Acquisition                                                                          Destroy               7 years     After date of last   4.5.1
                                                                                                                                action
         Claims                                                                               Destroy               7 years     After date of last   4.5.1
                                                                                                                                action
         Payments                                                                             Destroy               7 years     After date of last   4.5.1
                                                                                                                                action
         Reevaluations                                                                        Destroy               7 years     After date of last   4.5.1
                                                                                                                                action




                                                                                                                                                                   23
                                Mapping of the University General Disposal Authority to the Functional Classification Model




L1 L2    L3                L4      L5   L6    SCOPE NOTES                                Disposal Action      Disposal           Trigger          GDA
                                                                                                                Time                            Reference
                                                                                                                Period
         Schedules                                                                      Destroy              7 years        After all          4.5.1
                                                                                                                            conditions have
                                                                                                                            been met and
                                                                                                                            administratively
                                                                                                                            no longer
                                                                                                                            required for
                                                                                                                            reference or
                                                                                                                            legal purposes
   Investments                                Activities involved in managing           Destroy              7 years        After date of last 4.5.2
                                              investments for the university.                                               action
                                              Activities include research, investing
         Foreign Exchange                                                               Destroy              7 years       After date of last 4.5.4
                                                                                                                           action
         Treasury                                                                       Destroy               7 years      After date of last 4.5.2
                                                                                                                           action
   Planning and Strategy                      Activities involved in developing plans   For high level planning and strategy, Archive 10 years after date
                                              and strategy. Activities include,         of last action (see 5.7.1 for examples)
                                              identifying requirements, undertaking
                                              research, consulting, submitting drafts
                                              for final approval and reviewing

   Policies                                   Activities involved in developing and     For high level policies: Archive 10 years after date of last action
                                              establishing policies. Activities         (see 5.8.1)
                                              include, identifying requirements,
                                              undertaking research, consulting,
                                              analysing processes, submitting
                                              policy proposals for final approval and
                                              reviewing
   Procedures                                 Activities involved in developing and     For high level procedures: Archive 10 years after date of last
                                              establishing procedures. Activities       action (see 5.8.1)
                                              include, identifying requirements,
                                              undertaking research, consulting,
                                              analysing processes, procedure
                                              proposals for final approval and
                                              reviewing




                                                                                                                                                              24
                               Mapping of the University General Disposal Authority to the Functional Classification Model




L1 L2    L3               L4      L5    L6      SCOPE NOTES                                 Disposal Action        Disposal          Trigger          GDA
                                                                                                                      Time                         Reference
                                                                                                                     Period
   Procurement and Tendering                    Activities involved in managing the        For review of procurement see 9.4.1. For remaining material,
                                                selection and purchase of products         Destroy 7 years after date of last action (GDA/2 section 10.5
                                                and services for the university.           here:
                                                Activities include developing              http://continuum.archives.govt.nz/files/file/disposal/gda2.pdf).
                                                requirements, reviewing responses,         NB: there is no direct correlation to procurement and tendering
                                                selection and negotiation                  in the financial class of the University GDA and the reference
         <name of tender>
                        Correspondence                                                     finance GDA was used as a guide for possible retention times
                        Notifications
                        Presentations
                        Reports
                        Responses
                        Tender Documentation
   Projects                                  Activities involved in managing one           The retention and disposal decisions will be dependent on both
                                             off projects                                  the nature of the project and the way in which the associated
                                                                                           project files have been arranged. For example, reports on
                                                                                           significant projects may come under the "Governance" disposal
                                                                                           section while administrative records may come under Finance
                                                                                           (e.g. for budgets) or Administration. An appraisal against the
                                                                                           GDA will be required once the project has been completed.
         <by name>
   Reporting                                    Activities involved in reporting on the    Archive             10 years      After date of last 4.3.2
                                                financial activities and position of the                                     action
                                                university.
         <by financial year>                                                               Archive             10 years      After date of last   4.3.2
                                                                                                                             action
                          Annual Reports                                                   Archive             10 years      After date of last   4.3.2
                                                                                                                             action
                          Position summaries                                               Archive             10 years      After date of last   4.3.2
                                                                                                                             action
                          Statistics                                                       Archive             10 years      After date of last   4.3.2
                                                                                                                             action
                          TAMU                                                             Archive             10 years      After date of last   4.3.2
                                                                                                                             action
                          Universities comparisons                                         Archive             10 years      After date of last   4.3.2
                                                                                                                             action




                                                                                                                                                               25
                               Mapping of the University General Disposal Authority to the Functional Classification Model




L1 L2    L3              L4       L5     L6   SCOPE NOTES                              Disposal Action    Disposal        Trigger           GDA
                                                                                                            Time                          Reference
                                                                                                            Period
   Student Fees                               Activities involved in the management   Destroy            7 years     After date of last 4.5.1
                                              of fees received by the university.                                    action
                                              Activities include processing fees,
                                              receipt and monitoring

         <by financial year>                                                          Destroy            7 years     After date of last   4.5.1
                                                                                                                     action
                         Fee Issues                                                   Destroy            7 years     After date of last   4.5.1
                                                                                                                     action
                         Tuition Fees                                                 Destroy            7 years     After date of last   4.5.1
                                                                                                                     action
                                  Domestic                                            Destroy            7 years     After date of last   4.5.1
                                                                                                                     action
                                  Full Cost                                           Destroy            7 years     After date of last   4.5.1
                                                                                                                     action
   Trusts and Endowments Management           Activities involved in administering
                                              income received from the university's
                                              trusts, scholarships and endowments.
                                               Activities include acknowledging
                                              receipt of funds, monitoring
                                              compliance with terms and conditions
         <name of trust or endowment etc>     and preparing reports                   Archive            10 years    When company 4.6.1 and
                                                                                                                     ceases to exist  4.6.2
                                                                                                                     (Note that this
                                                                                                                     relates to high
                                                                                                                     level
                                                                                                                     documentation
                                                                                                                     e.g. deeds,
                                                                                                                     statement of
                                                                                                                     investment
                                                                                                                     policy and
                                                                                                                     objectives and
                                                                                                                     trust
                                                                                                                     investments
                                                                                                                     manager reports)




                                                                                                                                                      26
                        Mapping of the University General Disposal Authority to the Functional Classification Model




L1    L2       L3       L4          L5   SCOPE NOTES                                 Disposal    Disposal     Trigger    GDA Reference
                                                                                      Action       Time
                                                                                                  Period
GOVERNANCE AND STRATEGIC                 The function of developing and
MANAGEMENT                               establishing the University's high
                                         level governance structure and
                                         rules, and of conducting its
                                         business in accordance with its
                                         governance structure and rules.
      Awards                             Activities involved in the selection and
                                         granting of specific awards. Activities
                                         include seeking nominations, reviewing
                                         applications and notifying outcomes.

               <by name of award>                                                   Archive     10 years    After date   5.4.4 (because
                                                                                                            of last      this information
                                                                                                            action       is captured in the
                                                                                                                         Council minutes)




      Committees                         Activities involved in recording and      Archive      10 years    After date   5.2.1 (Note this is for major committees and working group
                                         administering the work of the                                      of last
                                         university's committees. Committees                                action
                                         of Council. Activities include appointing
                                         and electing members, arranging
                                         meetings, preparing agendas and
                                         supporting papers, recording minutes


               <name of Committee>                                                  Archive     10 years    After date   5.2.1
                                                                                                            of last
                                                                                                            action

                        Agenda and Minutes                                          Archive     10 years    After date   5.2.1
                                                                                                            of last
                                                                                                            action




                                                                                                                                                                  27
               Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3   L4       L5      SCOPE NOTES                  Disposal    Disposal      Trigger    GDA Reference
                                                              Action       Time
                                                                          Period
                        <by year>                           Archive     10 years     After date   5.2.1
                                                                                     of last
                                                                                     action
               Appointments                                 Archive     10 years     After date   5.2.1
                                                                                     of last
                                                                                     action
                        <by year>                           Archive     10 years     After date   5.2.1
                                                                                     of last
                                                                                     action
               Committee Working Party/Group                Destroy     When no      After date   5.2.2 (This
                                                                        longer       of last      applies to minor
                                                                        administrati action       sub committees,
                                                                        vely                      ad hoc
                                                                        required                  committee and
                                                                                                  and/or working
                                                                                                  parties)
               Correspondence                               Destroy     When no      After date   5.2.2 (This
                                                                        longer       of last      applies to minor
                                                                        administrati action       sub committees,
                                                                        vely                      ad hoc
                                                                        required                  committee and
                                                                                                  and/or working
                                                                                                  parties)
                        <by year>                           Destroy     When no      After date   5.2.2 (This
                                                                        longer       of last      applies to minor
                                                                        administrati action       sub committees,
                                                                        vely                      ad hoc
                                                                        required                  committee and
                                                                                                  and/or working
                                                                                                  parties)
               Papers and reports                           Destroy     When no      After date   5.2.2 (This
                                                                        longer       of last      applies to minor
                                                                        administrati action       sub committees,
                                                                        vely                      ad hoc
                                                                        required                  committee and
                                                                                                  and/or working
                                                                                                  parties)




                                                                                                                     28
                           Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2        L3          L4          L5   SCOPE NOTES                               Disposal    Disposal     Trigger     GDA Reference
                                                                                       Action       Time
                                                                                                   Period
     Council                                Activities involved in recording and
                                            administering the work of the
                                            University Council. Activities include
                                            appointing and electing members,
                                            arranging meetings, preparing
                                            agendas and supporting papers,
                                            recording minutes, planning reviews
               Agenda and Minutes           and establishing and maintaining         Archive     10 years    After date    5.4.4
                                                                                                             of last
                                                                                                             action
                           <by year>                                                 Archive     10 years    After date    5.4.4
                                                                                                             of last
                                                                                                             action
               Appointments and Membership                                           Destroy     3 months    After         5.5.2
                                                                                                             declaration
                                                                                                             of election
                                                                                                             result
               Correspondence                                                        Archive     10 years    After date    5.4.3
                                                                                                             of last
                                                                                                             action
                           <by year>
               Elections
                           Agenda and Minutes                                        Destroy     3 months    After         5.5.1
                                                                                                             declaration
                                                                                                             of election
                                                                                                             result
                           Correspondence                                            Destroy     3 months    After         5.5.1
                                                                                                             declaration
                                                                                                             of election
                                                                                                             result
                           Court of Convocation                                      Destroy     3 months    After         5.5.1
                                                                                                             declaration
                                                                                                             of election
                                                                                                             result




                                                                                                                                           29
                        Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3        L4         L5     SCOPE NOTES                                  Disposal    Disposal     Trigger     GDA Reference
                                                                                        Action       Time
                                                                                                    Period
                                   Administration                                     Destroy     3 months    After         5.5.1
                                                                                                              declaration
                                                                                                              of election
                                                                                                              result
                        Electoral Rolls                                               Destroy     3 months    After         5.5.1
                                                                                                              declaration
                                                                                                              of election
                                                                                                              result
                        Nominations                                                   Destroy     3 months    After         5.5.1
                                                                                                              declaration
                                                                                                              of election
                                                                                                              result
                        Notices and Papers                                            Destroy     3 months    After         5.5.1
                                                                                                              declaration
                                                                                                              of election
                                                                                                              result
              Planning and Reporting
                        <by year>                                                     Archive     10 years    After date    5.7.1 (Applies to
                                                                                                              of last       high level
                                                                                                              action        governance
                                                                                                                            related plans)
              Terms of Reference                                                      Archive     10 years    After date    5.4.4
                                                                                                              of last
                                                                                                              action
     Joint Ventures and Subsidiaries      Activities involved in developing,
                                          establishing and monitoring the work of
                                          the joint ventures undertaken by the
                                          university and other entities. Activities
                                          include appointing and electing
                                          members, arranging meetings,
                                          preparing agendas and supporting
                                          papers, recording minutes

              <name of company>




                                                                                                                                                30
               Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3   L4          L5   SCOPE NOTES                  Disposal   Disposal     Trigger   GDA Reference
                                                              Action      Time
                                                                         Period
               Annual Report and Accounts                   Archive                When        5.1.13
                                                                                   company
                                                                                   ceases to
                                                                                   exist
               Board Agenda and Minutes                     Archive                When        5.1.9
                                                                                   company
                                                                                   ceases to
                                                                                   exist
               Board Committee Agenda and Minutes           Archive                When        5.1.10
                                                                                   company
                                                                                   ceases to
                                                                                   exist
               Certificates                                 Archive                When        5.1.14 and
                                                                                   company     5.1.15 (Applies
                                                                                   ceases to   to Directors
                                                                                   exist       Certificates and
                                                                                               Regulation 17
                                                                                               Certificates)
               Constitution                                 Archive                When        5.1.12
                                                                                   company
                                                                                   ceases to
                                                                                   exist
               Registers                                    Archive                When        5.1.8
                                                                                   company
                                                                                   ceases to
                                                                                   exist
               Reporting                                    Archive                When        5.1.9
                                                                                   company
                                                                                   ceases to
                                                                                   exist
               Trust Deeds                                  Archive                When        5.1.4
                                                                                   company
                                                                                   ceases to
                                                                                   exist




                                                                                                                  31
                         Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3         L4        L5     SCOPE NOTES                                 Disposal    Disposal     Trigger    GDA Reference
                                                                                       Action       Time
                                                                                                   Period
     Reporting                            Activities involved developing and         Archive     10 years    After date   5.7.1 xref to
                                          recording formal reporting processes.                              of last      5.4.5 (minor
                                          Activities include collating information                           action       reports) and
                                          and submitting final reports for review                                         5.4.6 (major
                                                                                                                          reports)

     Risk Management                      The activities involved in managing        Archive     10 years    After date   5.4.6 (applies to
                                          risks to the viability or success of the                           of last      final report)
                                          university. Activities include mapping                             action
                                          business processes, identifying and
                                          assessing risk and recommendations
                                          for minimising risks

              Business Continuity Planning                                           Archive     10 years    After date   5.4.6 (applies to
                                                                                                             of last      final report)
                                                                                                             action
              Risk Identification and Assessment                                     Archive     10 years    After date   5.4.6 (applies to
                                                                                                             of last      final report)
                                                                                                             action
     Strategy Development and Planning Activities involved in developing and      Archive        10 years    After date   5.7.1
                                       establishing a strategic plan for the                                 of last
                                       university. Activities include identifying                            action
                                       requirements, consulting on plans,
                                       reviewing, revising and finalising plans
              <by year>                                                           Archive        10 years    After date   5.7.1
                                                                                                             of last
                                                                                                             action
                         Annual Plan                                                 Archive     10 years    After date   5.7.1
                                                                                                             of last
                                                                                                             action
                         Investment Planning                                         Archive     10 years    After date   5.7.1
                                                                                                             of last
                                                                                                             action




                                                                                                                                              32
                        Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3         L4        L5     SCOPE NOTES                              Disposal    Disposal     Trigger    GDA Reference
                                                                                    Action       Time
                                                                                                Period
     Treaty Relationships                Activities involved in developing and    Archive     10 years    After date   5.6.1
                                         maintaining relationships with iwi.                              of last
                                         Activities include arranging meetings,                           action
                                         recording minutes and agreements

              Agenda and Minutes                                                  Archive     10 years    After date   5.6.1
                                                                                                          of last
                                                                                                          action
              Agreements                                                          Archive     10 years    After date   5.6.1
                                                                                                          of last
                                                                                                          action
     Working Parties and Groups         Activities involved in recording and
                                        administering the work of the university
                                        working parties and groups that report
                                        to Council. Activities include appointing
                                        and electing members, arranging
                                        meetings, preparing agendas and
                                        supporting papers, recording minutes.
                                        See also Operational Management for
                                        records relating to Operational
                                        Management Working Parties
              <name of <name of party/group>                                      Destroy     10 years    After date   5.2.2 (This
                                                                                                          of last      applies to minor
                                                                                                          action       sub committees,
                                                                                                                       ad hoc
                                                                                                                       committee and
                                                                                                                       and/or working
                                                                                                                       parties)
                         Agenda and Minutes                                       Destroy     10 years    After date   5.2.2 (This
                                                                                                          of last      applies to minor
                                                                                                          action       sub committees,
                                                                                                                       ad hoc
                                                                                                                       committee and
                                                                                                                       and/or working
                                                                                                                       parties)




                                                                                                                                          33
               Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3   L4       L5      SCOPE NOTES                  Disposal    Disposal     Trigger    GDA Reference
                                                              Action       Time
                                                                          Period
                        <by year>                           Destroy     10 years    After date   5.2.2 (This
                                                                                    of last      applies to minor
                                                                                    action       sub committees,
                                                                                                 ad hoc
                                                                                                 committee and
                                                                                                 and/or working
                                                                                                 parties)
               Appointments                                 Destroy     10 years    After date   5.2.2 (This
                                                                                    of last      applies to minor
                                                                                    action       sub committees,
                                                                                                 ad hoc
                                                                                                 committee and
                                                                                                 and/or working
                                                                                                 parties)
                        <by year>                           Destroy     10 years    After date   5.2.2 (This
                                                                                    of last      applies to minor
                                                                                    action       sub committees,
                                                                                                 ad hoc
                                                                                                 committee and
                                                                                                 and/or working
                                                                                                 parties)
               Correspondence                               Destroy     10 years    After date   5.2.2 (This
                                                                                    of last      applies to minor
                                                                                    action       sub committees,
                                                                                                 ad hoc
                                                                                                 committee and
                                                                                                 and/or working
                                                                                                 parties)
                        <by year>                           Destroy     10 years    After date   5.2.2 (This
                                                                                    of last      applies to minor
                                                                                    action       sub committees,
                                                                                                 ad hoc
                                                                                                 committee and
                                                                                                 and/or working
                                                                                                 parties)




                                                                                                                    34
               Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3   L4      L5    SCOPE NOTES                     Disposal    Disposal     Trigger    GDA Reference
                                                              Action       Time
                                                                          Period
                                                            Destroy     10 years    After date   5.2.2 (This
                                                                                    of last      applies to minor
                                                                                    action       sub committees,
                                                                                                 ad hoc
                                                                                                 committee and
                                                                                                 and/or working
                                                                                                 parties)




                                                                                                                    35
                                      Mapping of the University General Disposal Authority to the Functional Classification Model




ttees and working groups. For sub committees, ad-hoc committees and or working parties see 5.2.2)




                                                                                                                                    36
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              37
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              38
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              39
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              40
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              41
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              42
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              43
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              44
                          Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2      L3         L4      SCOPE NOTES                                      Disposal      Disposal          Trigger          GDA
                                                                                  Action         Time                           Reference
                                                                                                Period
HEALTH AND SAFETY               The function of managing the impact of
                                the universities operations on the health
                                and safety of its staff, students and
                                others while on its premises and in other
                                places where they may be affected by its
                                operations, and of ensuring compliance
                                with legislation on health and safety
                                matters.
     Emergency Management       Activities involved in planning for emergency   For working papers and drafts: Destroy 2 years after
                                situations and responding to these.             date of last action, or until no longer administratively
                                Activities include developing plans and         required, whichever is longer (2.3.2)
                                conducting test procedures and drills           For final plans: destroy when superceded (2.3.3)
             Evacuation Plans
             Planning
     Hazard Management          Activities involved in identifying, recording
                                and evaluating health and safety hazards
             Radiation and Radioactive Materials Management
                         Analytical Equipment                                   Destroy       5 years       After date of      13.6.3
                                                                                                            last action
                        Radiation Dose Records                                  Destroy       10 years      After date of      13.6.5
                                                                                                            last action
                        Records of Radioactive Materials                        Destroy       10 years      After date of      13.6.1
                                                                                                            last action
                        Safety Plan                                             Destroy       10 years      After date of      13.6.4
                                                                                                            last action
                        Transfers                                               Destroy       10 years      After date of      13.6.2
                                                                                                            last action
             Register                                                           Archive       10 years      After date of      11.3.1
                                                                                                            last action
             Risk Evaluations                                                   Archive       10 years      After date of      11.3.1
                                                                                                            last action




                                                                                                                                            45
                              Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2         L3         L4       SCOPE NOTES                                      Disposal       Disposal         Trigger         GDA
                                                                                      Action          Time                        Reference
                                                                                                     Period
     Occupational Health            Activities involved in managing, monitoring    For files relating to staff exposed to asbestos see 7.8.3
                                    and recording occupational health issues

                ACC Records                                                        Destroy       7 years       After date of     7.8.1
                                                                                                               last action

                           Cases                                                   Destroy       7 years       After date of     7.8.1
                                                                                                               last action

                           Claims                                                  Destroy       7 years       After date of     7.8.1
                                                                                                               last action

                           Reporting                                               Destroy       7 years       After date of     7.8.1
                                                                                                               last action

                Accident Reports                                                   Destroy       10 years       After date of    7.8.2
                                                                                                                last
                                                                                                                employment
                Incident Management                                                Destroy        10 years      After date of    7.8.2
                                                                                                                last
                                                                                                                employment
                Rehabilitation and Assessments                                     Destroy        10 years      After date of    7.8.2
                                                                                                                last
                                                                                                                employment
     Planning and Strategy          Activities involved in developing plans and    For high level planning and strategy: Archive 10 years
                                    strategy. Activities include, identifying      after date of last action (see 5.7.1 for examples)
                                    requirements, undertaking research,
                                    consulting, submitting drafts for final
                                    approval and reviewing
     Policies                       Activities involved in developing and          For high level policies: Archive 10 years after date of
                                    establishing policies. Activities include,     last action (see 5.8.1)
                                    identifying requirements, undertaking
                                    research, consulting, analysing processes,
                                    submitting policy proposals for final approval
                                    and reviewing




                                                                                                                                               46
                           Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3          L4      SCOPE NOTES                                     Disposal        Disposal      Trigger          GDA
                                                                                   Action           Time                     Reference
                                                                                                   Period
     Procedures                   Activities involved in developing and          For high level procedures: Archive 10 years after date
                                  establishing procedures. Activities include,   of last action (see 5.8.1)
                                  identifying requirements, undertaking
                                  research, consulting, analysing processes,
                                  procedure proposals for final approval and
                                  reviewing
     Training and Awareness Programmes involved in education, training and
                                 Activities                                      Destroy      2 years      After date of    7.24.1
                                 raising awareness on health and safety                                    last action or
                                 matters to staff                                                          when
                                                                                                           administratively
                                                                                                            no longer
                                                                                                           required,
                                                                                                           whichever is
                                                                                                           longer
              Campaigns                                                          Destroy      2 years      After date of    7.24.1
                                                                                                           last action or
                                                                                                           when
                                                                                                           administratively
                                                                                                            no longer
                                                                                                           required,
                                                                                                           whichever is
                                                                                                           longer
              Departmental Training                                              Destroy      2 years      After date of    7.24.1
                                                                                                           last action or
                                                                                                           when
                                                                                                           administratively
                                                                                                            no longer
                                                                                                           required,
                                                                                                           whichever is
                                                                                                           longer




                                                                                                                                          47
                         Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3            L4    SCOPE NOTES                          Disposal    Disposal       Trigger        GDA
                                                                    Action       Time                      Reference
                                                                                 Period
          Induction                                               Destroy     2 years     After date of    7.24.1
                                                                                          last action or
                                                                                          when
                                                                                          administratively
                                                                                           no longer
                                                                                          required,
                                                                                          whichever is
                                                                                          longer
          Orientation                                             Destroy     2 years     After date of    7.24.1
                                                                                          last action or
                                                                                          when
                                                                                          administratively
                                                                                           no longer
                                                                                          required,
                                                                                          whichever is
                                                                                          longer




                                                                                                                       48
                            Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2          L3       L4               SCOPE NOTES                                Disposal Action    Disposal          Trigger            GDA
                                                                                                        Time Period                         Reference

HUMAN RESOURCES                            The function of managing staff
                                           employed either permanently or on
                                           contract by the university
     Employee Exit Management              Activities involved in managing the
                                           departure of university employees.
                                           Activities include redundancy
                                           arrangements and interviewing departing
                                           staff

                 Exit Interviews                                                     Destroy            2 years       After date of last   7.1.1 xref to
                                                                                                                      action or when       7.15
                                                                                                                      administratively
                                                                                                                      no longer
                                                                                                                      required, which
                                                                                                                      ever is longer

                 Redundancy                                                          Destroy            7 years       After date of last   4.2.1
                                                                                                                      action
                 Retirement Planning                                                 Destroy            2 years       After date of last   7.24.1
                                                                                                                      action or when
                                                                                                                      administratively
                                                                                                                      no longer
                                                                                                                      required, which
                                                                                                                      ever is longer

     Employee Networks                     Activities involved in managing the
                                           university's relationships with various
                                           groups of employees. Activities include
                                           meetings and consultation on specific
                                           issues.

                 Agenda and Minutes        Note: Relates to significant input from   Archive            10 years      After date of last   7.12.1
                                           Employee Networks                                                          action
                 Submissions               Note: Relates to significant input from   Archive            10 years      After date of last   7.12.1
                                           Employee Networks                                                          action
                          <by subject>




                                                                                                                                                           49
                             Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2          L3         L4                 SCOPE NOTES                               Disposal Action    Disposal          Trigger           GDA
                                                                                                           Time Period                        Reference

     Employee Relations                       Activities involved in managing
                                              grievances, disputes, discrimination
                                              complaints, disciplinary matters and
                                              dismissals. Activities include meetings
                                              notes and agreements.
                 Disciplinary action          Does not include information placed on    Destroy            7 years       After date of last   7.7.1
                                              personnel files                                                            action
                 Mediation Services           Does not include information placed on    Destroy            7 years       After date of last   7.7.1
                                              personnel files                                                            action
                 Monitoring group-based staffing issues                                 Destroy            7 years       After date of last   7.7.1
                                                                                                                         action
                 Personal grievances           Does not include information placed on   Destroy            7 years       After date of last   7.7.1
                                               personnel files                                                           action
     Equal Employment Opportunities (EEO)      Activities involved in developing,       Archive            10 years      After date of last   7.16.2
                                               promoting and monitoring EEO policies                                     action
                                               and procedures within the university.
                                               Activities include organising and
                                               attending committees and networks and
                                               monitoring against programmes




                 Advisory Committee                                                     Archive            10 years      After date of last   7.16.2
                                                                                                                         action
                 Cultural development                                                   Archive            10 years      After date of last   7.16.2
                                                                                                                         action
                 EEO Management plans                                                   Archive            10 years      After date of last   7.16.2
                                                                                                                         action
                 Networks                                                               Archive            10 years      After date of last   7.16.2
                                                                                                                         action




                                                                                                                                                          50
                               Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2            L3        L4                    SCOPE NOTES                                  Disposal Action     Disposal          Trigger           GDA
                                                                                                                   Time Period                        Reference

     Industrial Relations                          Activities involved in managing the
                                                   university's relationships with
                                                   organisations representing its workforce.
                                                   Activities include communication,
                                                   consultation, collective bargaining and
                                                   reporting



                   Individual employment agreements                                            This should be
                                                                                               held on personnel
                                                                                               files. See class
                                                                                               7.15

                   Industrial issues
                              Stoppages reporting (relates to significant stoppages)           Archive             10 years      After date of last   7.10.3
                                                                                                                                 action
                   Liaison and administration of collective employment agreements              Destroy             2 years       After all            7.10.2
                                                                                                                                 conditions have
                                                                                                                                 been met and
                                                                                                                                 administratively
                                                                                                                                 no longer
                                                                                                                                 required.
                             <name of union>                                                   Destroy             2 years       After all            7.10.2
                                                                                                                                 conditions have
                                                                                                                                 been met and
                                                                                                                                 administratively
                                                                                                                                 no longer
                                                                                                                                 required.

                   Negotiations for collective employment agreements
                             <name of union>                                               Archive                 10 years      After date of last   7.10.3
                                                 Covers major negotiations, discussions and disputes                             action




                                                                                                                                                                  51
                               Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2            L3        L4                    SCOPE NOTES                                  Disposal Action       Disposal            Trigger           GDA
                                                                                                                     Time Period                          Reference

     Leave Management                             Activities involved in maintaining a         Destroy              7 years         After date of last   7.11.1
                                                  complete record of leave arrangements                                             action
                                                  (doesn't include information placed on
                                                  Personnel Files)




                  <by type of leave>
     Payroll Management                           Activities involved in managing an
                                                  individual's pay. Activities include
                                                  authorising and processing deductions
                                                  and notifications to employees



                                              Note: this does not include
                  Payroll forms, correspondence about an individual pay information       Destroy               7 years        After date of last 4.2.1
                                              placed on Personnel Files                                                        action
     Planning and Strategy                    Activities involved in developing plans     For high level planning and strategy: Archive 10 years after date of
                                              and strategy. Activities include,           last action (see 5.7.1 for examples)
                                              identifying requirements, undertaking
                                              research, consulting, submitting drafts for
                                              final approval and reviewing




     Policies                                     Activities involved in developing and        For high level policies: Archive 10 years after date of last action
                                                  establishing policies. Activities include,   (see 5.8.1)
                                                  identifying requirements, undertaking
                                                  research, consulting, analysing
                                                  processes, submitting policy proposals
                                                  for final approval and reviewing




                                                                                                                                                                      52
                            Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2           L3       L4                    SCOPE NOTES                                   Disposal Action       Disposal           Trigger           GDA
                                                                                                                    Time Period                         Reference

     Procedures                                  Activities involved in developing and         For high level procedures: Archive 10 years after date of last action
                                                 establishing procedures. Activities           (see 5.8.1)
                                                 include, identifying requirements,
                                                 undertaking research, consulting,
                                                 analysing processes, procedure
                                                 proposals for final approval and reviewing
     Recruitment and Selection                   Activities involved in recruiting and
                                                 selecting staff to fill positions. Activities
                                                 includes authorisation, advertising,
                                                 enquiries, processing applications,
                                                 interviews and offers



                  Number of Vacancy                                                           Destroy              Until no                            7.16.1
                                                                                                                   longer
                                                                                                                   administrative
                                                                                                                   ly required
                           Advertising                                                        Destroy              Until no                            7.16.1
                                                                                                                   longer
                                                                                                                   administrative
                                                                                                                   ly required
                           Analysis of competency requirements, job design                    Destroy              Until no                            7.16.1
                                                                                                                   longer
                                                                                                                   administrative
                                                                                                                   ly required
                           Appeals                                                            Destroy              Until no                            7.16.1
                                                                                                                   longer
                                                                                                                   administrative
                                                                                                                   ly required
                           Job descriptions                                                   Destroy              Until no                            7.16.1
                                                                                                                   longer
                                                                                                                   administrative
                                                                                                                   ly required
                           Unsolicited job applications                                       Destroy              Until no                            7.16.1
                                                                                                                   longer
                                                                                                                   administrative
                                                                                                                   ly required




                                                                                                                                                                       53
                             Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2           L3        L4               SCOPE NOTES                                   Disposal Action    Disposal          Trigger           GDA
                                                                                                             Time Period                        Reference

     Remuneration Setting                    Activities involved in developing and
                                             implementing pay structures and reward
                                             schemes. Activities include developing
                                             policies and procedures, evaluation of
                                             roles, monitoring of salary rates and
                                             ranges




                  Annual reviews                                                          Destroy            7 years       After date of last   7.19.1
                                                                                                                           action
                  Job evaluation             Note this doesn't include information        Destroy            7 years       After date of last   7.6.1
                                             placed on Personnel Files                                                     action



                  Remuneration surveys                                                    Destroy            7 years       After date of last   7.19.1
                                                                                                                           action
                  Salary rates and ranges                                                 Destroy            7 years       After date of last   7.19.1
                                                                                                                           action
                  Superannuation subsidies                                                Destroy            7 years       After date of last   7.22.1
                                                                                                                           action
     Staff Benefits and Support              Activities involved in developing and
                                             implementing welfare and support
                                             services within the university. Activities
                                             include policy proposals and plans,
                                             developing policies and procedures,
                                             implementing, monitoring and auditing of
                                             programmes and specific initiatives




                  Employee Assistance Programme                                           Destroy            7 years       After date of last   7.8.1
                                                                                                                           action
                  Harassment Prevention                                                   Destroy            7 years       After date of last   7.8.1
                                                                                                                           action




                                                                                                                                                            54
                            Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2          L3       L4                SCOPE NOTES                                    Disposal Action    Disposal          Trigger           GDA
                                                                                                             Time Period                        Reference

                 Medical Schemes                                                          Destroy            7 years       After date of last   7.22.1
                                                                                                                           action
                 Superannuation                                                           Destroy            7 years       After date of last   7.22.1 xref
                                                                                                                           action               with 2.11.1
                                                                                                                                                and 2.11.2
                          <by name of scheme>                                             Destroy            7 years       After date of last   7.22.1 xref
                                                                                                                           action               with 2.11.1
                                                                                                                                                and 2.11.2
     Staff Development and Performance      Activities involved in providing university
                                            staff with training and development
                                            opportunities. Activities include
                                            identifying training needs, selecting
                                            and/or developing training courses,
                                            providing financial assistance, managing
                                            staff performance and providing advice




                 Academic development       Does not include information placed on        Destroy            2 years       After date of last   7.24.1
                                            Personnel Files                                                                action or when
                                                                                                                           administratively
                                                                                                                           no longer
                                                                                                                           required,
                                                                                                                           whichever is
                                                                                                                           longer
                 Career development         Does not include information placed on        Destroy            2 years       After date of last   7.24.1
                                            Personnel Files                                                                action or when
                                                                                                                           administratively
                                                                                                                           no longer
                                                                                                                           required,
                                                                                                                           whichever is
                                                                                                                           longer




                                                                                                                                                              55
                             Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2           L3        L4                  SCOPE NOTES                               Disposal Action    Disposal          Trigger           GDA
                                                                                                            Time Period                        Reference

                            Advice/enquiries    Does not include information placed on   Destroy            2 years       After date of last   7.24.1
                                                Personnel Files                                                           action or when
                                                                                                                          administratively
                                                                                                                          no longer
                                                                                                                          required,
                                                                                                                          whichever is
                                                                                                                          longer
                            Succession planning Does not include information placed on   Destroy            2 years       After date of last   7.24.1
                                                Personnel Files                                                           action or when
                                                                                                                          administratively
                                                                                                                          no longer
                                                                                                                          required,
                                                                                                                          whichever is
                                                                                                                          longer
                                                                                         Destroy            2 years       After date of last   7.24.1
                                                                                                                          action or when
                                                                                                                          administratively
                                                                                                                          no longer
                                                                                                                          required,
                                                                                                                          whichever is
                                                                                                                          longer
                  Conferences                   Does not include information placed on   Destroy            2 years       After date of last   7.24.1
                                                Personnel Files                                                           action or when
                                                                                                                          administratively
                                                                                                                          no longer
                                                                                                                          required,
                                                                                                                          whichever is
                                                                                                                          longer
     Performance Management
                           <by name of employee>
                 Promotions Process           Does not include information placed on     Destroy            7 years       After date of last   7.14.1
                                              Personnel Files                                                             action
                 Staff exchanges              Does not include information placed on     Destroy            7 years       After date of last   7.14.1
                                              Personnel Files                                                             action




                                                                                                                                                           56
                     Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3        L4                   SCOPE NOTES                               Disposal Action    Disposal          Trigger           GDA
                                                                                                     Time Period                        Reference

          Staff training administration Does not include information placed on    Destroy            2 years       After date of last   7.24.1
                                        Personnel Files                                                            action or when
                                                                                                                   administratively
                                                                                                                   no longer
                                                                                                                   required,
                                                                                                                   whichever is
                                                                                                                   longer
                    Training calendar    Does not include information placed on   Destroy            2 years       After date of last   7.24.1
                                         Personnel Files                                                           action or when
                                                                                                                   administratively
                                                                                                                   no longer
                                                                                                                   required,
                                                                                                                   whichever is
                                                                                                                   longer
                                          overview
                    Training planning andDoes not include information placed on   Destroy            2 years       After date of last   7.24.1
                                         Personnel Files                                                           action or when
                                                                                                                   administratively
                                                                                                                   no longer
                                                                                                                   required,
                                                                                                                   whichever is
                                                                                                                   longer
                    Training providers   Does not include information placed on   Destroy            2 years       After date of last   7.24.1
                                         Personnel Files                                                           action or when
                                                                                                                   administratively
                                                                                                                   no longer
                                                                                                                   required,
                                                                                                                   whichever is
                                                                                                                   longer
          Study awards                   Does not include information placed on   Destroy            2 years       After date of last   7.24.1
                                         Personnel Files                                                           action or when
                                                                                                                   administratively
                                                                                                                   no longer
                                                                                                                   required,
                                                                                                                   whichever is
                                                                                                                   longer




                                                                                                                                                    57
                            Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2          L3        L4               SCOPE NOTES                                      Disposal Action    Disposal          Trigger           GDA
                                                                                                               Time Period                        Reference

                 Study Leave                Does not include information placed on          Destroy            2 years       After date of last   7.24.1
                                            Personnel Files                                                                  action or when
                                                                                                                             administratively
                                                                                                                             no longer
                                                                                                                             required,
                                                                                                                             whichever is
                                                                                                                             longer
                 Training courses           Does not include information placed on          Destroy            2 years       After date of last   7.24.1
                                            Personnel Files                                                                  action or when
                                                                                                                             administratively
                                                                                                                             no longer
                                                                                                                             required,
                                                                                                                             whichever is
                                                                                                                             longer
                 First Aid Training         Does not include information placed on          Destroy            2 years       After date of last   7.24.1
                                            Personnel Files                                                                  action or when
                                                                                                                             administratively
                                                                                                                             no longer
                                                                                                                             required,
                                                                                                                             whichever is
                                                                                                                             longer
                 Induction Courses          Does not include information placed on          Destroy            2 years       After date of last   7.24.1
                                            Personnel Files                                                                  action or when
                                                                                                                             administratively
                                                                                                                             no longer
                                                                                                                             required,
                                                                                                                             whichever is
                                                                                                                             longer
     Workforce Planning                     Activities involved in identifying skill sets
                                            and numbers required for the university
                                            and implementing and monitoring plans

                 Organisational Charts      Applies to consolidated organisational          Archive            10 years      After date of last   7.13.1
                                            charts                                                                           action
                 Staff Statistics Reports   Applies to annual consolidated                  Archive            10 years      After date of last   7.13.1
                                            summaries of employee establishment                                              action
                                            numbers and structures




                                                                                                                                                              58
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              59
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              60
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              61
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              62
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              63
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              64
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              65
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              66
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              67
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              68
                                   Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2        L3       L4         L5        L6               SCOPE NOTES                   Disposal    Disposal         Trigger          GDA Reference
                                                                                             Action       Time
                                                                                                         Period
INFORMATION MANAGEMENT                            The function of managing the
                                                  university's information holdings,
                                                  systems and services
     Collection Management                        Activities involved in managing the
                                                  university's collections, for example
                                                  donated archives, art collections,
                                                  pottery collections etc.. Activities
                                                  include acquiring and preserving
                                                  collections, determining storage needs
                                                  and appropriate conditions, promoting
                                                  the use of special collections and
                                                  applying collections policies

               <Name of the Collection>
                      Acquisitions
                                 Identification and Selection of collections               Archive     Retain permanently               3.2.1
                                 Inventories                                               Archive     Retain permanently               3.3.1
                      Conservation and Preservation                                        Destroy     2 years     After date of last   3.4.1
                                                                                                                   action or until no
                                                                                                                   longer required,
                                                                                                                   whichever is
                                                                                                                   longer
                                   Storage Control Systems                                 Destroy     2 years     After date of last   3.4.1
                                                                                                                   action or until no
                                                                                                                   longer required,
                                                                                                                   whichever is
                                                                                                                   longer
                                   Surveys                                                 Destroy     2 years     After date of last   3.4.1
                                                                                                                   action or until no
                                                                                                                   longer required,
                                                                                                                   whichever is
                                                                                                                   longer
                                   Treatments                                              Destroy     2 years     After date of last   3.4.1 xref with 3.4.2
                                                                                                                   action or until no
                                                                                                                   longer required,
                                                                                                                   whichever is
                                                                                                                   longer
                        Deaccessioning and Disposal                                        Archive     Retain permanently               3.5.1




                                                                                                                                                                69
                                     Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2          L3      L4          L5       L6               SCOPE NOTES             Disposal    Disposal           Trigger          GDA Reference
                                                                                        Action       Time
                                                                                                     Period
                         Lending                                                      Destroy     7 years       After date of last   3.7.1
                                                                                                                action or until no
                                                                                                                longer required,
                                                                                                                whichever is
                                                                                                                longer
                         Promotion
                                     Enquiries                                        Destroy     Until no longer administratively 3.6.1
                                                                                                  required
                                     Exhibitions                                      Destroy     2 years     After date of last     3.6.1
                                                                                                              action or until no
                                                                                                              longer required,
                                                                                                              whichever is
                                                                                                              longer
                                    Guides                                            Archive     Retain permanently                 3.6.2
                         Valuations                                                   Archive     Retain permanently                 3.2.1
     Information Communications and TechnologyActivities involved in developing and
                                               Management
                                              maintaining the university's
                                              communications and technology.
                                              activities include planning,
                                              maintaining, delivery services and
                                              monitoring use and standards.
                 Operations and Maintenance
                         Data Management                                              Destroy     Retain for active life of system   8.4.1

                                     Data Validation                                  Destroy     Retain for active life of system   8.4.1

                                     Data warehousing                                 Destroy     Retain for active life of system   8.4.1

                         Infrastructure Management`                                   Destroy     Retain for active life of system   8.4.1
                                     Desktop Hardware and Software                    Destroy     Retain for active life of system   8.4.1

                         External Standards Compliance                                Destroy     Retain for active life of system   8.4.1

                         Network Back-up & Disaster Recovery                          Destroy     Retain for active life of system   8.4.1

                                     Backup Regimes                                   Destroy     Retain for active life of system   8.4.1

                                     Disaster Recovery Plans                          Destroy     Retain for active life of system   8.4.1




                                                                                                                                                       70
                          Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3   L4        L5       L6                SCOPE NOTES      Disposal    Disposal            Trigger         GDA Reference
                                                                      Action       Time
                                                                                  Period
               Network Hardware and Software                        Destroy     Retain for active life of system   8.4.1

                         Licencing                                  Destroy     Retain for active life of system   8.4.1

                         Procurement                                Destroy     Retain for active life of system   8.4.1

                         System Performance Monitoring              Destroy     Retain for active life of system   8.4.1

                          [By Measure
               Technical Architecture or Report]

                         Architecture Model                         Destroy     After system is defunct and all    8.10.2
                                                                                other records relating to the
                                                                                system have been destroyed
                                                                                according to the
                                                                                recommendations of the GDA



                         Overview                                   Destroy     After system is defunct and all    8.10.2
                                                                                other records relating to the
                                                                                system have been destroyed
                                                                                according to the
                                                                                recommendations of the GDA




               System Maintenance
                         [By System]
                                  Bug Fixes                         Destroy     Retain for active life of system   8.4.1 xref to 8.1.1

                                  Decommissioning                   Destroy     Retain for active life of system   8.4.1 xref to 8.1.1

                                  End-user Feedback                 Destroy     Retain for active life of system   8.4.1 xref to 8.1.1

                                  Enhancements                      Destroy     Retain for active life of system   8.4.1 xref to 8.1.1

                                  Issues                            Destroy     Retain for active life of system   8.4.1 xref to 8.1.1




                                                                                                                                         71
                             Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3      L4         L5      L6                 SCOPE NOTES     Disposal    Disposal            Trigger         GDA Reference
                                                                         Action       Time
                                                                                     Period
                                     Standard maintenance pattern      Destroy     Retain for active life of system   8.4.1 xref to 8.1.1

                                     Supplier Relationship             Destroy     Retain for active life of system   8.4.1 xref to 8.1.1

                                     Support Logs                      Destroy     Retain for active life of system   8.4.1 xref to 8.1.1

                                     Support Reports                   Destroy     Retain for active life of system   8.4.1 xref to 8.1.1

                                     Upgrades                          Destroy     Retain for active life of system   8.4.1 xref to 8.1.1

          Service Management
                  User Support Services
                            Application Training                       Destroy     Retain for active life of system   8.4.1

                             Help Desk Call Logs                       Destroy     Retain for active life of system   8.4.1

                             Help Desk Tools and Resources             Destroy     Retain for active life of system   8.4.1

                                     Administration Tools              Destroy     Retain for active life of system   8.4.1

                                     Helpdesk Handbook                 Destroy     Retain for active life of system   8.4.1

                             Issue Management                          Destroy     Retain for active life of system   8.4.1

                             Knowledge Base                            Destroy     Retain for active life of system   8.4.1

                                     e.g. Hints and Tips               Destroy     Retain for active life of system   8.4.1

                             Licenses & Agreements                     Destroy     Retain for active life of system   8.4.1

                             Service Level Agreements

                                     By Agreement or year              Destroy     7 years       After date of last   9.9.1
                                                                                                 action

                             User Access                               Destroy     Retain for active life of system   8.4.1

                             Work Requests                             Destroy     Retain for active life of system   8.4.1




                                                                                                                                            72
                                    Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2         L3        L4        L5      L6              SCOPE NOTES                   Disposal    Disposal            Trigger         GDA Reference
                                                                                           Action       Time
                                                                                                       Period
                          Vendor/Supplier Account Management                                         Retain for active life of system
                                    By Company Name                                      Destroy     Retain for active life of system   8.4.1

                                            Issues                                       Destroy     Retain for active life of system   8.4.1

                                            Meetings                                     Destroy     Retain for active life of system   8.4.1

                                            Reporting                                    Destroy     Retain for active life of system   8.4.1

     Information Security Management             Activities involved in managing the Destroy         2 years       After date of last   8.1.1
                                                 university's information security                                 action or until no
                                                 requirements. Activities include                                  longer required,
                                                 managing access to sure systems and                               whichever is
                                                 investigating security breaches                                   longer
                Access management                                                    Destroy         2 years       After date of last   8.1.1
                                                                                                                   action or until no
                                                                                                                   longer required,
                                                                                                                   whichever is
                                                                                                                   longer
                Data Management                                                          Destroy     2 years       After date of last   8.1.1
                                                                                                                   action or until no
                                                                                                                   longer required,
                                                                                                                   whichever is
                                                                                                                   longer
                Requests for Secure Areas                                                Destroy     2 years       After date of last   8.1.1
                                                                                                                   action or until no
                                                                                                                   longer required,
                                                                                                                   whichever is
                                                                                                                   longer
                Security Breaches                                                        Destroy     2 years       After date of last   8.1.1
                                                                                                                   action or until no
                                                                                                                   longer required,
                                                                                                                   whichever is
                                                                                                                   longer
     Library Management                          Activities involved in managing the      Destroy    Until no longer administratively   8.6.1
                                                 university's library. Activities include            required
                                                 services to customers and maintaining
                                                 technical services.
                Collections Management                                                    Destroy    Until no longer administratively 8.6.1
                                                                                                     required




                                                                                                                                                          73
                                       Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2           L3      L4           L5    L6               SCOPE NOTES                    Disposal     Disposal          Trigger          GDA Reference
                                                                                              Action        Time
                                                                                                            Period
                  Copyright Compliance                                                      Destroy      Until no longer administratively 8.6.1
                                                                                                         required but recommend retain


                  Customer Services                                                         Destroy      Until no longer administratively 8.6.1
                                                                                                         required
                  Digitisation                                                              Destroy      Until no longer administratively 8.6.1
                                                                                                         required
                  Interloan Agreements                                                      Destroy      Until no longer administratively 8.6.1
                                                                                                         required
                  Technical Services                                                        Destroy      Until no longer administratively 8.6.1
                                                                                                         required
     Mail and Distribution Management             Activities involved in managing and       Destroy      For administrative files - Destroy 2 years after date of
                                                  implementing the receipt and                           last action or until administratively no longer required,
                                                  distribution of mail                                   whichever is longer (8.7.1). For operational records,
                                                                                                         destroy 7 years after date of last action (8.7.2)

     Planning and Strategy                        Activities involved in developing plans   For high level planning and strategy: Archive 10 years after date of
                                                  and strategy. Activities include,         last action (see 5.7.1)
                                                  identifying requirements, undertaking
                                                  research, consulting, submitting drafts
                                                  for final approval and reviewing

     Policies                                     Activities involved in developing and  For high level policies: Archive 10 years after date of last action
                                                  establishing policies. Activities      (see 5.8.1)
                                                  include, identifying requirements,
                                                  undertaking research, consulting,
                                                  analysing processes, submitting policy
                                                  proposals for final approval and
                                                  reviewing

     Procedures                                   Activities involved in developing and     For high level procedures: Archive 10 years after date of last action
                                                  establishing procedures. Activities       (see 5.8.1)
                                                  include, identifying requirements,
                                                  undertaking research, consulting,
                                                  analysing processes, procedure
                                                  proposals for final approval and
                                                  reviewing




                                                                                                                                                                     74
                                    Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2         L3      L4          L5       L6                SCOPE NOTES                     Disposal      Disposal          Trigger          GDA Reference
                                                                                                Action          Time
                                                                                                               Period
     Projects                                       Activities involved in managing one off   The retention and disposal decisions will be dependent on both the
                                                    projects                                  nature of the project and the way in which the associated project
                                                                                              files have been arranged. For example, reports on significant
                                                                                              projects may come under the "Governance" disposal section while
                                                                                              administrative records may come under Finance (e.g. for budgets)
                                                                                              or Administration. An appraisal against the GDA will be required
                                                                                              once the project has been completed.



               <by name>
     Records Management                        Activities involved in managing the
                                               university's records. Activities include
                                               developing systems for capturing and
                                               controlling records, determining
                                               storage needs and appropriate
                                               conditions, applying disposal
                                               decisions to records and training
                                               university staff
                Institutional Archives Management                                             Destroy      10 years     After system is    8.3.2 but xref to 'Planning & Strategy' and 'Policies' as appropriate
                                                                                                                        defunct or until
                                                                                                                        no longer
                                                                                                                        administratively
                                                                                                                        required
                Recordkeeping Programme                                                       Destroy      10 years     After system is    8.3.2 but xref to 'Planning & Strategy' and 'Policies' as appropriate
                                                                                                                        defunct or until
                                                                                                                        no longer
                                                                                                                        administratively
                                                                                                                        required
                Records Creation and Capture                                                  Destroy      10 years     After system is    8.3.2
                                                                                                                        defunct or until
                                                                                                                        no longer
                                                                                                                        administratively
                                                                                                                        required
                        File Classification Structures                                        Destroy      10 years     After system is    8.3.2
                                                                                                                        defunct or until
                                                                                                                        no longer
                                                                                                                        administratively
                                                                                                                        required
                Records Storage and Handling




                                                                                                                                                                                              75
                                    Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3         L4         L5      L6               SCOPE NOTES                     Disposal    Disposal          Trigger          GDA Reference
                                                                                              Action       Time
                                                                                                           Period
                         Off-site Storage                                                   Destroy     2 years      After date of last   8.1.1
                                                                                                                     action
                         Storage Requirements                                               Destroy     2 years     After date of last    8.1.1
                                                                                                                    action
                         Storage Surveys                                                    Destroy     2 years     After date of last    8.1.1
                                                                                                                    action
              Retention and Disposal                                                        Archive     Retain permanently                8.8.1 or 8.8.2




              Destruction Requests and Certificates                                         Archive     Retain permanently                8.8.1 or 8.8.2




                         Schedule Maintenance                                               Archive     Retain permanently                8.8.1 or 8.8.2
                         Transfer Lists                                                     Archive     Retain permanently                8.8.1 or 8.8.2
              Training                                                                      Destroy     2 years     After date of last    7.24.1
                                                                                                                    action or when
                                                                                                                    administratively
                                                                                                                    no longer
                                                                                                                    required, which
                                                                                                                    ever is longer


     Web Management                              Activities involved in managing the
                                                 university's website. Activities include
                                                 development and design and
                                                 maintenance of the site.
              Site Development                                                              Destroy     Until no longer administratively 8.5.2 xref 8.5.3 for significant development and design
                                                                                                        required



              Web Standards                                                                 Destroy     Until no longer administratively 8.5.2
                                                                                                        required




                                                                                                                                                                                          76
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              77
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              78
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              79
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              80
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              81
Mapping of the University General Disposal Authority to the Functional Classification Model




                                                                                              82
                                Mapping of the University General Disposal Authority to the Functional Classification Model




and 'Policies' as appropriate




and 'Policies' as appropriate




                                                                                                                              83
                  Mapping of the University General Disposal Authority to the Functional Classification Model




ment and design




                                                                                                                84
                            Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2      L3        L4      SCOPE NOTES                                         Disposal     Disposal         Trigger        GDA             Comments
                                                                                    Action        Time                        Reference
                                                                                                 Period
LEGAL SERVICES              The function of managing the university's
                            legal affairs
     Contracts and          Activities involved in the legal aspects of            For minor contracts, Destroy 7 years after date of last action (9.2.2)
     Agreements             negotiating, maintaining and reviewing                 For significant contracts, Archive when all conditions have been met and
     Management             contracts, agreements, deeds, leases and               administratively no longer required for reference purposes (9.2.3)
                            MOUs
            <by name of contract>                                                  Distinctions btwn section 9.2 (Contract Management) and 9.9 (Legal
            Exchange Agreements                                                    Agreements) needs to be made clearer before accurate mapping.
            Signed Contracts

     Investigations            Activities involved in the investigation of
                               events, issues and incidences that impact on
                               the university. Activities include investigation,
                               facilitation, monitoring and reporting
             Fraud and Theft                                                       For Minor Fraud and Theft: Destroy, 7 years from date of last action (2.4.1)
                                                                                   For Significant Fraud and Theft: Archive 10 years after date of last action
                                                                                   (2.4.2)

             Incidences                                                            For Minor Incidences: Destroy, 7 years from date of last action or when no
                                                                                   longer legally required to be retained, whichever is longer (2.5.2)
                                                                                   For Significant Incidences: Archive 10 years after event resolved and all
                                                                                   legal and administrative requirements completed (2.5.3)

             Issues                                                                For Minor Issues: Destroy 2 years after date of last action or until no longer
                                                                                   administratively required for reference purposes, whichever is longer
                                                                                   (2.6.1)
                                                                                   For Significant Issues, Archive 10 years from date of last action (2.6.2)

             Security and Vetting                                                  Destroy     7 years       After date of    2.9.1        Does not include
                                                                                                             last action or                material that
                                                                                                             last date of                  appears on the
                                                                                                             employment,                   personnel file
                                                                                                             whichever is
                                                                                                             relevant




                                                                                                                                                                    85
                             Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2      L3         L4     SCOPE NOTES                                       Disposal     Disposal         Trigger         GDA            Comments
                                                                                  Action        Time                        Reference
                                                                                               Period
     Legal Advice              Activities involved in providing legal opinions   For advice on minor issues: Destroy 7 years after date of last action.
                               and advice to the university                      (9.4.1)
             <by subject>                                                        For advice on significant issues: Archive 10 years after date of last action
                                                                                 (9.4.2)

     Legislation               Activities involved in monitoring compliance      Archive     10 years      After date of   2.7.3
     Management and            with various legal requirements                                             last action.
     Compliance
              <by name of Act/Regulation>
     Legislation              Activities involved in advising on proposed or     For minor submissions: Destroy, 2 years after date of last action or until
                              existing legislation                               administratively no longer required, whichever is longer (9.5.1).
                                                                                 For significant submissions: Archive 10 years after date of last action
                                                                                 (9.5.2)
              <by piece of legislation>
     Litigation Management Activities involved in managing legal actions         Archive     10 years      After date of   9.3.1         Applies to
                                by or against the university                                               last action                   significant records
                                                                                                                                         that are not held in
                                                                                                                                         the court or some
                                                                                                                                         other judicial body
                                                                                                                                         records
             <by name of case/action>                                            Archive     10 years      After date of   9.3.1         Applies to
                                                                                                           last action                   significant records
                                                                                                                                         that are not held in
                                                                                                                                         the court or some
                                                                                                                                         other judicial body
                                                                                                                                         records
     Monitoring and            Activities involved in monitoring and applying    Archive     10 years      After date of   9.3.1         Applies to
     Application of            legal requirements                                                          last action                   significant records
     Instruments                                                                                                                         that are not held in
                                                                                                                                         the court or some
                                                                                                                                         other judicial body
                                                                                                                                         records




                                                                                                                                                                86
                              Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2      L3          L4     SCOPE NOTES                                   Disposal    Disposal        Trigger         GDA            Comments
                                                                               Action       Time                        Reference
                                                                                           Period
             Licensing                                                       Archive     10 years      After date of   9.3.1         Applies to
                                                                                                       last action                   significant records
                                                                                                                                     that are not held in
                                                                                                                                     the court or some
                                                                                                                                     other judicial body
                                                                                                                                     records
             Search Warrants                                                 Archive     10 years      After date of   9.3.1         Applies to
                                                                                                       last action                   significant records
                                                                                                                                     that are not held in
                                                                                                                                     the court or some
                                                                                                                                     other judicial body
                                                                                                                                     records
             Trespass Notices                                                Archive     10 years      After date of   9.3.1         Applies to
                                                                                                       last action                   significant records
                                                                                                                                     that are not held in
                                                                                                                                     the court or some
                                                                                                                                     other judicial body
                                                                                                                                     records
     Requests for Information Activities associated with response to enquires
                              received by the university. Activities include
                              responding to general enquiries as well as
                              those received under specific legislation
            Official Information Act Requests                                 Destroy    7 years       After date of   12.14.1
                                                                                                       last action
                                                                                                       and when no
                                                                                                       longer
                                                                                                       required for
                                                                                                       administrative/
                                                                                                       legal purposes

             Privacy Act Requests                                            For requests that set precedent: Archive 10 years after date of last action
                                                                             (12.17.1)
                                                                             For requests that set no precedent: Destroy 7 years after date of last
                                                                             action (12.17.2)




                                                                                                                                                            87
                             Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2      L3         L4     SCOPE NOTES                                   Disposal    Disposal      Trigger        GDA       Comments
                                                                              Action       Time                     Reference
                                                                                          Period
     Trusts and Endowments Activities associated with the legal aspects of
                           managing trusts and endowments. Activities
                           include negotiating terms and conditions
             <by name of trust/endowment>                                    Archive    10 years    After date of   4.6.2
                                                                                                    last action
                                                                                                    and when no
                                                                                                    longer
                                                                                                    required for
                                                                                                    administrative/
                                                                                                    legal purposes




                                                                                                                                           88
                          Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2    L3        L4     L5                  SCOPE NOTES                 Disposal Disposal        Trigger            GDA Reference
                                                                             Action    Time
                                                                                      Period
OPERATIONAL MANAGEMENT              The function of managing the
                                    operational units of the university.
                                    For the whole of university level see
                                    Governance and Strategic
                                    Management

     Committees                     Activities involved in recording and    Destroy             When no longer     5.2.2 xref to 5.2.1 (5.2.2
                                    administering the work of the                               administratively   does not include major
                                    operational units. Activities include                       required           Faculty meetings etc).
                                    appointing and electing members,                                               Need to examine
                                    arranging meetings, preparing agendas                                          reporting lines before
                                    and supporting papers, recording                                               placing groups here.
                                    minutes. For committees reporting to
                                    Council see Governance and Strategic
                                    Management
           <name of Committee>                                              Destroy             When no longer     5.2.2
                                                                                                administratively
                                                                                                required
                                                                            Destroy             When no longer     5.2.2
                                                                                                administratively
                     Agenda and Minutes                                                         required
                           <by year>                                        Destroy             When no longer     5.2.2
                                                                                                administratively
                                                                                                required
                                                                            Destroy             When no longer     5.2.2
                                                                                                administratively
                     Appointments                                                               required
                            <by year>                                       Destroy             When no longer     5.2.2
                                                                                                administratively
                                                                                                required
                                                                            Destroy             When no longer     5.2.2
                                                                                                administratively
                     Correspondence                                                             required
                            <by year>                                       Destroy             When no longer     5.2.2
                                                                                                administratively
                                                                                                required




                                                                                                                                                89
                              Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2     L3          L4     L5                    SCOPE NOTES                  Disposal Disposal       Trigger              GDA Reference
                                                                                   Action    Time
                                                                                            Period
                                                                                  Destroy           When no longer         5.2.2
                                                                                                    administratively
                        Papers and reports                                                          required
     Reporting                         Activities involved developing and         Destroy 7 years   After date of last     5.4.5
                                       recording formal reporting processes.                        action
                                       Activities include collating information
                                       and submitting final reports for review
     Risk Management                 Activities involved in developing and        Destroy   7 years   After date of last   5.4.5
                                     establishing risk management                                     action
                                     assessments and processes.
                                     Activities involved in developing and
     Strategy Development and Planning                                            Destroy   7 years   After date of last   5.4.5
                                     establishing planning for the operational                        action
                                     unit. Activities include identifying
                                     requirements, consulting on plans,
                                     reviewing and revising plans and
                                     finalising plans
            e.g. Annual Plan                                                      Destroy   7 years   After date of last   5.4.5
                                                                                                      action
     Working Parties and Groups         Activities involved in recording and      Destroy             When no longer       5.2.2
                                        administering the work of the                                 administratively
                                        operational unit working parties and                          required
                                        groups. Activities include appointing
                                        and electing members, arranging
                                        meetings, preparing agendas and
                                        supporting papers, recording minutes
            <name of party/group>                                                 Destroy             When no longer       5.2.2
                                                                                                      administratively
                                                                                                      required
                                                                                  Destroy             When no longer       5.2.2
                                                                                                      administratively
                        Agenda and Minutes                                                            required
                              <by year>                                           Destroy             When no longer       5.2.2
                                                                                                      administratively
                                                                                                      required
                                                                                  Destroy             When no longer       5.2.2
                                                                                                      administratively
                        Appointments                                                                  required




                                                                                                                                               90
                    Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3   L4     L5             SCOPE NOTES             Disposal Disposal      Trigger           GDA Reference
                                                              Action    Time
                                                                       Period
                      <by year>                              Destroy           When no longer     5.2.2
                                                                               administratively
                                                                               required
                                                             Destroy           When no longer     5.2.2
                                                                               administratively
               Correspondence                                                  required
                      <by year>                              Destroy           When no longer     5.2.2
                                                                               administratively
                                                                               required
                                                             Destroy           When no longer     5.2.2
                                                                               administratively
                                                                               required




                                                                                                                      91
                              Mapping of the University General Disposal Authority to the Functional Classification Model




L1      L2   L3          L4             SCOPE NOTES                             Disposal      Disposal         Trigger         GDA
                                                                                 Action         Time                         Reference
                                                                                               Period

                               The function of managing the
PROPERTY AND FACILITIES MANAGEMENT
                                        university's property and facilities


        Asset Property Management       Activities involved in the physical    For major assets: Destroy 7 years after date of last
                                        assets of the university               action (11.5.1)
                                                                               For minor assets: Destroy 2 years after date of last
                                                                               action (11.5.2)
             Depreciation




             Disposal




             Inventories




             Valuation




        Campus Operations               Activities involved in managing and
                                        administering campus operations.
                                        Activities include maintenance,
                                        cleaning and traffic management
             Cleaning                                                          Destroy      7 years       After date of     11.5.1
                                                                                                          last action




                                                                                                                                         92
                            Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3        L4                   SCOPE NOTES                              Disposal    Disposal       Trigger          GDA
                                                                                   Action       Time                        Reference
                                                                                               Period

          Grounds Maintenance                                                    Destroy     7 years     After date of      11.5.1
                                                                                                         last action



          Traffic Management




                    Applications for Permits                                     Destroy     2 years     After date of      11.12.1
                                                                                                         last action or
                                                                                                         until no longer
                                                                                                         administratively
                    Fines                                                        Destroy     2 years     required, of
                                                                                                         After date         11.12.1
                                                                                                         last action or
                                                                                                         until no longer
                                                                                                         administratively
     Compliance                          Activities involved in monitoring and                           required,
                                         maintaining legal and compliance
                                         requirements. Activities include
                                         surveys, notifications reports and
                                         correspondence.

          Certifications                 Note: Applies only to administration,   Destroy     7 years     After date of      11.1.3
                                         actual certificates must be retained                            last action




          Code of Compliance                                                     Archive     10 years    After              11.1.4
                                                                                                         superseded




                                                                                                                                        93
                            Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2    L3          L4             SCOPE NOTES                                 Disposal    Disposal       Trigger       GDA
                                                                                   Action       Time                     Reference
                                                                                               Period

           Defect Notices                                                        Destroy     7 years     After date of   11.1.3
                                                                                                         last action



     Facilities Booking               Activities involved in hiring university
                                      facilities and equipment to third
                                      parties

           Non Teaching Spaces                                                   Destroy     2 years     After date of   11.5.2
                                                                                                         last action


           Teaching Spaces                                                       Destroy     2 years     After date of   11.5.2
                                                                                                         last action



     Fittings and Equipment           Activities involved in the           Destroy           7 years     After date of   11.8.1
                                      management of fittings and                                         last action
                                      equipment either owned or leased by
                                      the university
     Flora and Fauna Management       Activities involved in handling,     Destroy           2 years     After date of   11.4.1
                                      relocating or disposing protected                                  last action
                                      flora and fauna under the control of
                                      the university. Activities include
                                      registration of species and surveys.
           Registers                                                             Destroy     2 years     After date of   11.4.1
                                                                                                         last action



           Surveys                                                               Destroy     2 years     After date of   11.4.1
                                                                                                         last action




                                                                                                                                     94
                            Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3         L4               SCOPE NOTES                               Disposal    Disposal       Trigger       GDA
                                                                                 Action       Time                     Reference
                                                                                             Period

     Property Maintenance             Activities involved in maintaining       Destroy     7 years     After date of   11.5.1 xref to 11.5.2
                                      property owned by the university.                                last action
                                      Activities include general inspections
                                      and developing and implementing
                                      maintenance programmes


          Accommodation Moves                                                  Destroy     7 years     After date of   11.5.1
                                                                                                       last action




          Cleaning                                                             Destroy     7 years     After date of   11.5.1
                                                                                                       last action



          Infrastructure Utilities                                             Destroy     7 years     After date of   11.5.1
                                                                                                       last action



          Inspections                                                          Destroy     7 years     After date of   11.5.1
                                                                                                       last action


          Leased Properties                                                    Destroy     7 years     After date of   11.5.1
                                                                                                       last action



          Signage                                                              Destroy     7 years     After date of   11.5.1
                                                                                                       last action




                                                                                                                                               95
                          Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3       L4                   SCOPE NOTES                              Disposal     Disposal        Trigger         GDA
                                                                                  Action        Time                        Reference
                                                                                               Period

     Planning and Development           Activities involved in developing       For University Owned property: Archive 10 years after
                                        newly acquired land or building,        date of last action (11.7.1).
                                        redeveloping or refurbishing existing   For Non University Owned property: Destroy 7 years
                                        holdings. Activities include            after end of lease (11.7.2)
                                        developing business cases,
                                        undertaking consultation, developing
                                        specifications, obtaining consents,
                                        undertaking development work and
                                        inspecting completed work


          <by name of specific development>




                   Building Specifications




                   Business Case




                   Construction Designs




          Space Management                                                      Destroy      2 years      After date of     11.5.2
                                                                                                          last action


                   Timetabling                                                  Destroy      2 years      After date of     11.5.2
                                                                                                          last action




                                                                                                                                        96
                           Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2    L3       L4               SCOPE NOTES                              Disposal      Disposal         Trigger          GDA
                                                                               Action         Time                          Reference
                                                                                             Period

     Policies                        Activities involved in developing and   For high level policies: Archive 10 years after date of
                                     establishing policies. Activities       last action (see 5.8.1)
                                     include, identifying requirements,
                                     undertaking research, consulting,
                                     analysing processes, submitting
                                     policy proposals for final approval
                                     and reviewing
     Procedures                      Activities involved in developing and   For high level procedures: Archive 10 years after date of
                                     establishing procedures. Activities     last action (see 5.8.1)
                                     include, identifying requirements,
                                     undertaking research, consulting,
                                     analysing processes, procedure
                                     proposals for final approval and
                                     reviewing
     Projects                        Activities involved in managing one     The retention and disposal decisions will be dependent
                                     off projects                            on both the nature of the project and the way in which
                                                                             the associated project files have been arranged. For
                                                                             example, reports on significant projects may come under
           <by name>                                                         the "Governance" disposal section while administrative
                                                                             records may come under Finance (e.g. for budgets) or
                                                                             Administration. An appraisal against the GDA will be
                                                                             required once the project has been completed.
     Property Management             Activities involved in the             For major property management: Destroy 7 years after
                                     management of properties owned         date of last action (11.5.1)
                                     and/or administered by the university. For minor property management: Destroy 2 years after
                                                                            date of last action (11.5.2)
           <by name of property>




                                                                                                                                         97
                            Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2    L3        L4               SCOPE NOTES                          Disposal    Disposal       Trigger          GDA
                                                                            Action       Time                        Reference
                                                                                        Period

     Security                         Activities involved in protecting
                                      property from damage and
                                      unauthorised access. Activities
                                      include security inspections,
                                      surveillance, responding to and
                                      investigating security breaches

           Breaches/Infringements                                         Destroy     7 years     After date of      11.6.2
                                                                                                  last action


           Insurrections                                                  Destroy     7 years     After date of      11.6.2
                                                                                                  last action


           Key Register                                                   Destroy     2 years     After date of      11.6.1
                                                                                                  last action or
                                                                                                  when no longer
                                                                                                  administratively
           Passes                                                         Destroy     2 years     required, of
                                                                                                  After date         11.6.1
                                                                                                  last action or
                                                                                                  when no longer
                                                                                                  administratively
           Rosters                                                        Destroy     2 years     required, of
                                                                                                  After date         11.6.1
                                                                                                  last action or
                                                                                                  when no longer
                                                                                                  administratively
           Security Installations                                         Destroy     7 years     required, of
                                                                                                  After date         11.6.2
                                                                                                  last action




                                                                                                                                 98
                           Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3          L4              SCOPE NOTES                             Disposal    Disposal       Trigger       GDA
                                                                               Action       Time                     Reference
                                                                                           Period

     Sustainability Management        Activities associated with the          Destroy    10 years    After date of   11.9.1
                                      management and reporting of                                    last action
                                      sustainability and carbon neutrality in
                                      relation to the university's facilities


          Reporting                                                          Destroy     10 years    After date of   11.9.1
                                                                                                     last action



     Vehicles and Related Machinery   Activities involved in the             Destroy     7 years     After date of   11.13.1
                                      maintenance service and operation                              last action
                                      of university vehicles

          Fleetcard Records                                                  Destroy     7 years     After date of   11.13.1
                                                                                                     last action



          Maintenance                                                        Destroy     7 years     After date of   11.13.1
                                                                                                     last action


          Running Sheets                                                     Destroy     7 years     After date of   11.13.1
                                                                                                     last action



          Warrant of Fitness                                                 Destroy     7 years     After date of   11.13.1
                                                                                                     last action




                                                                                                                                 99
                          Mapping of the University General Disposal Authority to the Functional Classification Model




L1      L2      L3         L4             SCOPE NOTES                                  Disposal      Disposal       Trigger      GDA          Suggested
                                                                                        Action         Time                     Referenc       Changes
                                                                                                      Period                       e
                             The function of raising and
PUBLIC AFFAIRS AND COMMUNICATIONS
                                          maintaining the university's profile
                                          and managing relationships with the
                                          public

        Corporate Identity and Branding   Activities involved in developing
                                          policies and procedures for the
                                          design and use of the university's
                                          corporate identity and brand.
                                          Activities include establishing formal
                                          protection for use of the brand and
                                          controlling use
                Intellectual Property                                                Retain         10 years        After date     5.3.1
                                                                                     permanently                    of last
                                                                                                                    action
                Requests for Use                                                     Destroy        6 months after date of         12.1.2
                                                                                                    last action or until
                                                                                                    administratively no
        Donations, Endowments, Gifts      Activities involved in making or           For minor/token gifts presented or received by the university: Destroy
        and Bequests                      receiving donations to or from other       2 years after date of last action or until no longer administratively
                                          organisations or individuals.              required, whichever is longer (ref 12.5.1)
                                          Activities include identifying potential
                                          receipts or donors and initiating and      For significant gifts/donations i.e. those that have substantial value,
                                          documenting arrangements                   national importance, long-term benefit: Archive 10 years after date of
                                                                                     last action (ref 12.5.2)
                Presented by the University
                Received by the University
        Enquiries                        Activities associated with the              Destroy        6 months after date of      12.6.1
                                         response to general enquiries                              last action or until
                                         received by the university. (For OIA                       administratively no
                                         and Privacy Act Enquiries see Legal                        longer required
                                         Services)




                                                                                                                                                               100
                     Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2     L3       L4           SCOPE NOTES                         Disposal    Disposal     Trigger     GDA         Suggested
                                                                       Action       Time                  Referenc      Changes
                                                                                   Period                    e
     Events and Ceremonies        Activities involved in managing
                                  publicity and communications for
                                  university events.

                                                                     Destroy     2 years     After date   12.2.3
                                                                                             of last
                                                                                             action or
                                                                                             until no
                                                                                             longer
                                                                                             administrati
                                                                                             vely
                                                                                             required,
                                                                                             whichever
            Celebrations                                                                     is longer
            Graduations                                              Destroy     1 year      After date   14.5.3     Note: A master
                                                                                             of last                 copy of the
                                                                                             action or               Graduation
                                                                                             until no                Programme
                                                                                             longer                  should be
                                                                                             administrati            retained
                                                                                             vely                    (14.5.4) and
                                                                                             required,               records relating
                                                                                             whichever               to protocols
                                                                                             is longer               should be
                                                                                                                     retained (14.5.5)

            Honorary Degrees                                         Archive     10 years    After date   14.5.6
                                                                                             of last
                                                                                             action
            Prizes                                                                                                   See section
                                                                                                                     14.7 for relevant
                                                                                                                     actions




                                                                                                                                         101
                      Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2     L3        L4            SCOPE NOTES                                Disposal    Disposal        Trigger      GDA        Suggested
                                                                                Action        Time                    Referenc      Changes
                                                                                             Period                       e
            Public Lecture Series                                             Destroy     Until no longer             12.18.1
                                                                                          administratively required
                                                                                          or needed for reference
                                                                                          purposes

            Visits                                                            Archive     10 years     After date     12.21.1    Note: Relates to
                                                                                                       of last                   significant visits
                                                                                                       action                    only
     Fundraising Campaigns          Activities involved in soliciting funds   Destroy     7 years      After date     12.3.2
                                    directly from organisations and                                    of last
                                    individuals. Activities include                                    action
                                    identifying requirements, designing
                                    campaigns, handling enquiries and
                                    organising events




             <name of campaign>
     Market Research                Activities involved in preparing and
                                    collating information for use in
                                    publications and documents for the
                                    university and media


                                                                              Destroy     7 years      After date     12.11.1
                                                                                                       of last
            Data                                                                                       action
                                                                              Destroy     7 years      After date     12.11.1
                                                                                                       of last
            Reports                                                                                    action
                                                                              Destroy     7 years      After date     12.11.1
                                                                                                       of last
            Surveys                                                                                    action




                                                                                                                                                      102
                        Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3        L4              SCOPE NOTES                              Disposal     Disposal       Trigger       GDA         Suggested
                                                                                  Action        Time                     Referenc       Changes
                                                                                                Period                        e
                                     Activities involved in marketing the
     Marketing and Advertising Campaigns                                     See class 12.3 of the GDA. Note that there are
                                     university. Activities include planning different disposal actions for minor and significant
                                     and implementing campaigns and          campaigns
                                     monitoring impact
              Developing Brand Awareness
              Specific Campaigns <by name>
                        <by name of advertisement>
              Student Recruitment
     Media                             Activities involved in managing the
                                       university's relationship with the
                                       media. Activities include managing
                                       communications with and through
                                       the media and monitoring media
                                       coverage

              Media Clippings                                                  Destroy        Until no longer             12.12.1
                                                                                              administratively required

              Press Releases                                                   Destroy        Until no longer             12.12.1
                                                                                              administratively required

     Photos/Visual/Audiovisual Images Activities associated with managing      See class 12.15
                                      visual material produced by and for
                                      the university
              Release agreements                                               Destroy        7 years         After date  9.9.1
                                                                                                              of last
                                                                                                              action
     Planning and Strategy              Activities involved in developing       For high level planning and strategy: Archive 10 years after date of
                                        plans and strategy. Activities include, last action (see 5.7.1 for examples)
                                        identifying requirements, undertaking For low level planning and strategy: Destroy 7 years after date of last
                                        research, consulting, submitting        action
                                        drafts for final approval and reviewing




                                                                                                                                                        103
                         Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2         L3        L4          SCOPE NOTES                               Disposal       Disposal       Trigger       GDA          Suggested
                                                                                 Action           Time                    Referenc        Changes
                                                                                                 Period                        e
     Policies                         Activities involved in developing and   For high level policies: Archive 10 years after date of last action (see
                                      establishing policies. Activities       5.8.1)
                                      include, identifying requirements,      For low level policies: Destroy 7 years after date of last action
                                      undertaking research, consulting,
                                      analysing processes, submitting
                                      policy proposals for final approval
                                      and reviewing

     Procedures                       Activities involved in developing and   For high level procedures: Archive 10 years after date of last action
                                      establishing procedures. Activities     (see 5.8.1)
                                      include, identifying requirements,      For low level procedures: Destroy 7 years after date of last action
                                      undertaking research, consulting,
                                      analysing processes, procedure
                                      proposals for final approval and
                                      reviewing
     Projects                         Activities involved in managing one     The retention and disposal decisions will be dependent on both the
                                      off projects                            nature of the project and the way in which the associated project files
                                                                              have been arranged. For example, reports on significant projects
                                                                              may come under the "Governance" disposal section while
                                                                              administrative records may come under Finance (e.g. for budgets) or
                                                                              Administration. An appraisal against the GDA will be required once
                                                                              the project has been completed.
             <by name>.
     Publishing                       Activities involved in producing,     Note: Archive 1 copy of published/printed material not lodged with
                                      distributing and marketing            the Legal Deposit Office
                                      publications prepared by the
                                      university. Activities include
                                      preparing content, designing,
                                      producing, distributing and marketing
                                      publications
                Distribution                                                  Destroy        6 months or until no         12.1.2
                                                                                             longer administratively
                                                                                             required




                                                                                                                                                         104
                     Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2     L3          L4            SCOPE NOTES                              Disposal     Disposal      Trigger     GDA        Suggested
                                                                                Action        Time                  Referenc      Changes
                                                                                             Period                     e
            Marketing                                                         Destroy     6 months or until no      12.1.2
                                                                                          longer administratively
                                                                                          required
            Production                                                        Destroy     6 months or until no      12.1.2
                                                                                          longer administratively
                                                                                          required
            Reprographics Services                                            Destroy     6 months or until no      12.1.2
                                                                                          longer administratively
                                                                                          required
     Relationship Management          Activities involved in managing the
                                      university's relationships with
                                      external agencies. Activities include
                                      liaising with government, other
                                      institutions and private sector.
            Associations                                                      Destroy     7 years      After date   12.16.1
                                                                                                       of last
                                                                                                       action
            Corporate Relationships                                           Archive     10 years     After date   12.10.2
                                                                                                       of last
                                                                                                       action




            Government                                                        Archive     10 years     After date   12.9.1     Note -12.9.1
                                                                                                       of last      and        covers minor
                                                                                                       action       12.9.2     relations and
                                                                                                                               has a destroy
                                                                                                                               action; 12.9.2
                                                                                                                               covers
                                                                                                                               significant
                                                                                                                               relations and
                                                                                                                               has an archive
                                                                                                                               action.




                                                                                                                                                105
                   Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3        L4               SCOPE NOTES                Disposal     Disposal     Trigger     GDA         Suggested
                                                                 Action        Time                  Referenc      Changes
                                                                              Period                    e
                    <Name of Agency>




          Local Government                                    Archive      10 years     After date   12.9.1     Note -12.9.1
                                                                                        of last      and        covers minor
                                                                                        action       12.9.2     relations and
                                                                                                                has a destroy
                                                                                                                action; 12.9.2
                                                                                                                covers
                                                                                                                significant
                                                                                                                relations and
                                                                                                                has an archive
                                                                                                                action.

          NZ Tertiary Institutions                            Destroy      7 years      After date   12.16.1
                                                                                        of last
                                                                                        action
                    <name of institution>                     Destroy      7 years      After date   12.16.1
                                                                                        of last
                                                                                        action
          Overseas Institutions                               Archive      10 years     After date   12.10.2
                                                                                        of last
                                                                                        action




          Parliament                                          See 12.9.1 and 12.92




                                                                                                                                 106
                     Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2     L3          L4        SCOPE NOTES                              Disposal    Disposal     Trigger      GDA        Suggested
                                                                            Action       Time                  Referenc      Changes
                                                                                         Period                    e
            Private Sector                                                Destroy     7 years     After date   12.16.1
                                                                                                  of last
                                                                                                  action




     Sponsorship                  Activities involved in sponsoring                                                       Applies to
                                  organisations, individuals or events.                                                   significant
                                  Activities include identifying                                                          sponsorships
                                  opportunities, negotiating deals and
                                  reporting                               Archive     10 years    After date   12.20.2
                                                                                                  of last
            Agreements                                                                            action
                                                                          Destroy     7 years     After date   12.20.1
                                                                                                  of last
            Applications                                                                          action
                                                                          Archive     10 years    After date   12.20.2
                                                                                                  of last
            Reporting                                                                             action




                                                                                                                                         107
                                      Mapping of the General Disposal Authority to the Functional Classification Model




L1 L2           L3          L4        SCOPE NOTES                                   Disposal    Disposal       Trigger      GDA         Comments
                                                                                     Action    Time Period                Reference
RESEARCH MANAGEMENT           The function of managing academic
                              research
                              Activities involved in the management of
  Anatomy and Specimen Management                                                  Destroy     7 years       After date   13.3.2      Note: Does not
                              anatomy and specimen research activities                                       of last                  cover
                              undertaken by the university. Activities                                       action                   specimens and
                              include licensing, registration and acquisition                                                         samples - see
                              and disposal                                                                                            the Human
                                                                                                                                      Tissues Act
                                                                                   Destroy     7 years       After date   13.3.2
                                                                                                             of last
                Acquisition                                                                                  action
                                                                                   Destroy     7 years       After date   13.3.2
                                                                                                             of last
                Licence to Practise                                                                          action
                                                                                   Destroy     7 years       After date   13.3.2
                                                                                                             of last
                Record of Disposal                                                                           action
                                                                                   Destroy     7 years       After date   13.3.2
                                                                                                             of last
                Specimen Registers                                                                           action
                                                                                   Destroy     7 years       After date   13.3.2
                                                                                                             of last
              Storage and Management                                                                         action
  Animal Management            Activities involved in the management of            Destroy     7 years       After date   13.3.1
                               animal research activities undertaken by the                                  of last
                               university. Activities include licensing, records                             action
                               of treatment and undertaking breeding
                               programmes
                                                                                   Destroy     7 years       After date   13.3.1
                                                                                                             of last
                Breeding Management                                                                          action
                                                                                   Destroy     7 years       After date   13.3.1
                                                                                                             of last
                Veterinary Applications                                                                      action




                                                                                                                                                       108
                                Mapping of the General Disposal Authority to the Functional Classification Model




L1 L2          L3          L4   SCOPE NOTES                                      Disposal    Disposal       Trigger      GDA         Comments
                                                                                  Action    Time Period                Reference
  Dataset Management            Activities involved in managing raw research                                                       This activity is
                                data and making it available to other parties                                                      not covered by
                                                                                                                                   the Public
                                                                                                                                   Records Act as
                                                                                                                                   it is academic
                                                                                                                                   material and is
                                                                                                                                   therefore not
                                                                                                                                   included in the
                                                                                                                                   GDA.
                                                                                                                                   The actual data
                                                                                                                                   is not covered
                                                                                                                                   by the PRA, but
                                                                                                                                   what the
                                                                                                                                   protocols etc for
                                                                                                                                   managing the
                                                                                                                                   use of it are
                                                                                                                                   covered and
                Access
                Preservation
  Ethics and Bio-Safety         Activities involved in assessing                Destroy     20 years      After date   13.2.1
                                appropriateness of research on ethical                                    of last
                                grounds. Activities establishing ethical and                              action
                                safety requirements for research, assessing
                                applications, notifying outcomes and
                                investigating complaints
  Funding Administration        Activities involved in obtaining and            Destroy     7 years       After date   13.4.1
                                administering research funding and                                        of last
                                maintaining relationships with funders.                                   action
                                Activities include preparing applications and
                                submissions, negotiating terms and
                                conditions, administering funding and
                                preparing and submitting reports
                                                                                Destroy     7 years       After date   13.4.1
                                                                                                          of last
               <name of Funding body>                                                                     action




                                                                                                                                                       109
                                    Mapping of the General Disposal Authority to the Functional Classification Model




L1 L2           L3          L4      SCOPE NOTES                                    Disposal     Disposal      Trigger      GDA         Comments
                                                                                    Action     Time Period               Reference
                                                                                  Destroy     7 years      After date   13.4.1
                                                                                                           of last
                            Applications                                                                   action
                                                                                  Destroy     7 years      After date   13.4.1
                                                                                                           of last
                            Correspondence                                                                 action
                                                                                  Destroy     7 years      After date   13.4.1
                                                                                                           of last
                            Evidence Portfolios                                                            action
                                                                                  Destroy     7 years      After date   13.4.1
                                                                                                           of last
                            Peer Esteem items                                                              action
                                                                                  Destroy     7 years      After date   13.4.1
                                                                                                           of last
                            Research Output                                                                action
  Intellectual Property ManagementActivities associated with documenting and      Archive     10 years     After date   13.5.1       See also class
                                   protecting intellectual property rights of                              of last                   13.5.2 for
                                   individuals and/or the university                                       action                    records about
                                                                                                                                     use of
                                                                                                                                     intellectual
                                                                                                                                     property
                                                                                  Archive     10 years     After date   13.5.1
                                                                                                           of last
                Commercialisation of Intellectual Property                                                 action
                                                                                  Archive     10 years     After date   13.5.1
                                                                                                           of last
                Patent Applications and Management                                                         action
                                                                                  Archive     10 years     After date   13.5.1
                                                                                                           of last
               Trademarks                                                                                  action
                                A
  Laboratory and Field Management ctivities involved in the management of field   Destroy     2 years      After date   13.3.4
                                and laboratory research. Activities include                                of last
                                instructions and maintenance records                                       action

                                                                                  Destroy     2 years      After date   13.3.4
                                                                                                           of last
                Cleaning Records                                                                           action




                                                                                                                                                      110
                                     Mapping of the General Disposal Authority to the Functional Classification Model




L1 L2            L3          L4      SCOPE NOTES                                       Disposal       Disposal       Trigger         GDA         Comments
                                                                                        Action      Time Period                   Reference
                                                                                      Destroy      2 years        After date     13.3.4
                                                                                                                  of last
                 Instructions for Use of Facilities                                                               action
                                                                                      Destroy      2 years        After date     13.3.4
                                                                                                                  of last
                 Requests for Consumables                                                                         action
                                                                                      Destroy      2 years        After date     13.3.4
                                                                                                                  of last
                Rosters                                                                                           action
  Permits and Licencing              Activities involved in the management of         These records were not identified as part of the GDA. There are some
                                     permits and licencing. Activities include        examples that can be used as percent e.g. the Drug Registers for
                                     applications, auditing and tracking use of       Student Health are destroyed after 10 years. It is also possible that
                                     materials                                        some of these records would come under Administration and
                                                                                      Management (13.1.1) and Facility Management (13.3.1) If no direct
                                                                                      mapping can be made to these areas it is recommended that records
                                                                                      associated with Permits and Licencing be retained until the schedule is
                                                                                      updated.
               Drug Registers
               ERMA Permits
               Licencing of Laboratories and Audits
               Licencing of Staff and Audits
  Planning and Strategy            Activities involved in developing plans and        For high level planning and strategy: Archive 10 years after date of last
                                   strategy. Activities include, identifying          action (see 5.7.1 for examples)
                                   requirements, undertaking research,
                                   consulting, submitting drafts for final approval
                                   and reviewing
  Policies                           Activities involved in developing and            For high level policies: Archive 10 years after date of last action (see
                                     establishing policies. Activities include,       5.8.1)
                                     identifying requirements, undertaking
                                     research, consulting, analysing processes,
                                     submitting policy proposals for final approval
                                     and reviewing




                                                                                                                                                                  111
                                      Mapping of the General Disposal Authority to the Functional Classification Model




L1 L2           L3          L4        SCOPE NOTES                                      Disposal       Disposal       Trigger        GDA           Comments
                                                                                         Action      Time Period                 Reference
  Procedures                          Activities involved in developing and           For high level procedures: Archive 10 years after date of last action (see
                                      establishing procedures. Activities include,    5.8.1)
                                      identifying requirements, undertaking
                                      research, consulting, analysing processes,
                                      procedure proposals for final approval and
                                      reviewing
  Projects                            Activities involved in managing one off         Destroy        7 years        After date   13.1.1
                                      research projects                                                             of last
                                                                                                                    action
                                                                                      Destroy       7 years         After date   13.1.1
                                                                                                                    of last
                <by name>                                                                                           action
                            Lab Books                                                 Destroy       7 years         After date   13.1.1
                                                                                                                    of last
                                                                                                                    action
                            Meeting Minutes                                           Destroy       7 years         After date   13.1.1
                                                                                                                    of last
                                                                                                                    action
                            Reports                                                   Destroy       7 years         After date   13.1.1
                                                                                                                    of last
                                                                                                                    action
                            Research Outputs                                          Destroy       7 years         After date   13.4.1
                                                                                                                    of last
                                                                                                                    action
  Research Equipment and MaterialActivities involved in the planning, acquiring       For Equipment and Material relating to Radioactive
                                 and commissioning of equipment for research          Material, see section 13.6. for purchasing of
                                 purposes                                             remaining equipment, see finance and property and
                                                                                      facilities

  Research Reporting                  Activities involved in disseminating research   Archive one                                12.19.1
                                      results                                         copy of
                                                                                      published/pr
                                                                                      inted
                                                                                      material not
                                                                                      lodged with
                External
                            Presentations                                                                                        12.9.1




                                                                                                                                                                   112
                           Mapping of the General Disposal Authority to the Functional Classification Model




L1 L2   L3         L4      SCOPE NOTES                            Disposal     Disposal     Trigger      GDA       Comments
                                                                   Action     Time Period              Reference
                   Publications                                 Archive one Retain                    12.9.1
                                                                copy of      permanently
                                                                published/pr
                                                                inted
                                                                material not
                                                                lodged with
                                                                the Legal
                                                                Deposit
                                                                Office


        Internal
                   Presentations                                                                      12.9.1
                   Publications                                 Archive one Retain                    12.9.1
                                                                copy of      permanently
                                                                published/pr
                                                                inted
                                                                material not
                                                                lodged with
                                                                the Legal
                                                                Deposit
                                                                Office




                                                                                                                              113
                        Mapping of the University General Disposal Authority to the Functional Classification Model




L1    L2        L3           L4         SCOPE NOTES                              Disposal      Disposal          Trigger         GDA
                                                                                  Action      Time Period                      Reference

STUDENT ADMINISTRATION                  The function of administering
                                        policies, procedures and
                                        processes for the university's
                                        students
      Academic and Course Advice        Activities associated with providing    This
                                        advice to enrolled students on          information
                                        academic matters                        should be
                                                                                maintained
                                                                                on the
                                                                                student
                                                                                record. See
                                                                                14.10.1

               <by name of student>



      Admissions             See        Activities involved in admitting
                             Applicat   domestic and international students
                             ions       to the university. Activities include
                             below      determining criteria, processing
                                        applications and notification of
      Applications                      applications request
                  Forms and Supporting Documentation                            For successful applications: Destroy 7 years after
                  Interviews                                                    completion of course or programme of study by student
                  Notification of Outcomes                                      (14.1.2)
                  Offers of Places                                              For unsuccessful applications: Destroy 1 year after the
                  Vetting                                                       date of last action (14.1.3)
      Criteria for Admission                                                    Archive        Retain                          14.1.1
                                                                                               permanently




                                                                                                                                           114
                        Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2        L3             L4       SCOPE NOTES                           Disposal      Disposal           Trigger          GDA
                                                                              Action      Time Period                        Reference

     Awards/Scholarships and         Activities involved in administering
     Prizes/Bursaries/Fellowships    rewards for results in annual
                                     examinations, essay, compositions
                                     and other forms of assessment.
                                     Activities include inviting
                                     nominations, considering
                                     nominations and supporting
               Applications and nominations                                 Destroy       2 years          After date of last 14.7.1
                                                                                                           action or until no
                                                                                                           longer
                                                                                                           administratively
                                                                                                           required,
                                                                                                           whichever is
                                                                                                           longer
               Funds Management                                             Destroy        7 years         After date of last 14.7.4
                                                                                                           action or until no
                                                                                                           longer
                                                                                                           administratively
                                                                                                           required,
                                                                                                           whichever is
                                                                                                           longer
               Master List                                                  Archive        10 years        After date of last 14.7.2
                                                                                                           action
     Disciplinary Matters              Activities involved in undertaking   For disciplinary matters where allegation investigated and
                                       disciplinary proceedings against     found to be supported (Serious): Archive 10 years after the
                                       students for breaches of the         date of last action or until no longer administratively
                                       university's regulations or for      required, whichever is longer. (14.2.1)
                                       misconduct. Activities include       For disciplinary matters where allegation investigated and
                                       investigating complaints and         found to be supported (Minor): Destroy 7 years after date
                                       allegations against students,        of last action of until no longer administratively required,
               Academic Misconduct                                          whichever is longer (14.2.2)
               Inquiry                                                      For matters that did not proceed/ no offence: Destroy 7
               Investigations                                               years after date of last action or until no longer
               Referrals                                                    administratively required, whichever is longer (14.2.3)
                                                                            Administration associated with management of processes
                                                                            of disciplinary hearings: Destroy, 7 years after date of last
                                                                            action or until no longer administratively required,
                                                                            whichever is longer (14.2.4)


                                                                                                                                            115
                                                                          For disciplinary matters where allegation investigated and
                                                                          found to be supported (Serious): Archive 10 years after the
                                                                          date of last action or until no longer administratively
                                                                                                    Functional
                        Mapping of the University General Disposal Authority to thelonger. (14.2.1)Classification Model
                                                                          required, whichever is
                                                                          For disciplinary matters where allegation investigated and
                                                                          found to be supported (Minor): Destroy 7 years after date
                                                                          of last action of until no longer administratively required,
                                                                          whichever is longer (14.2.2)
L1   L2        L3            L4     SCOPE NOTES                             Disposal         did not proceed/ Trigger
                                                                          For matters thatDisposal                              GDA
                                                                                                              no offence: Destroy 7
                                                                              Action      Time Period
                                                                          years after date of last action or until no longer Reference
                                                                          administratively required, whichever is longer (14.2.3)
               Student Code of Conduct Breaches                           Administration associated with management of processes
                                                                          of disciplinary hearings: Destroy, 7 years after date of last
                                                                          action or until no longer administratively required,
                                                                          whichever is longer (14.2.4)
     Enrolments                     Activities involved in administrative For administratively arrangement associated with
                                    arrangements for enrolling domestic enrolments: Destroy 2 years after enrolment period
                                    and international students into       concerned or until administratively no longer required,
                                    courses. Activities include           whichever is longer (14.3.1)
                                    processing requests and registering For remaining records: Destroy 6 years after completion of
               Doctoral Programme students and credit transfer            course or programme of study by student, then destroy
               Extra Mural                                                (14.3.2)
               Foundation
               Postgraduate
               Short Courses
               Summer Schools
               Undergraduate
     Exchange Programmes and        Activities involved in the
     Study Abroad                   management of student exchange
                                    programmes between the university
                                    and other institutions. Activities
                                    include drafting agreement and
                                    contract, professional applications
               Agreements                                                 Destroy        10 years        After date of last 12.10.1
                                                                                                         action
               Applications                                               Destroy        2 years         After date of last 14.8.1
                                                                                                         action or until no
                                                                                                         longer
                                                                                                         administratively
                                                                                                         required,
                                                                                                         whichever is
                                                                                                         longer




                                                                                                                                          116
                        Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3              L4   SCOPE NOTES                             Disposal    Disposal          Trigger           GDA
                                                                            Action    Time Period                        Reference

              Assessment                                                  Destroy     2 years       After date of last 14.8.1
                                                                                                    action or until no
                                                                                                    longer
                                                                                                    administratively
                                                                                                    required,
                                                                                                    whichever is
                                                                                                    longer
              Notifications                                               Destroy     2 years       After date of last 14.8.1
                                                                                                    action or until no
                                                                                                    longer
                                                                                                    administratively
                                                                                                    required,
                                                                                                    whichever is
                                                                                                    longer
     Fees and Charges              Activities involved in collection      Destroy     7 years       After date of last        14.4
                                   tuition fees. Activities include                                 action or until no
                                   processing applications. For records                             longer
                                   relating to the payment of fees see                              administratively
                                   Financial and Accounting records                                 required,
                                   4.5.1                                                            whichever is
                                                                                                    longer

              Exam charges                                                Destroy     7 years       After date of last         14.4
                                                                                                    action or until no
                                                                                                    longer
                                                                                                    administratively
                                                                                                    required,
                                                                                                    whichever is
                                                                                                    longer
              Fee and Charges applications                                Destroy     7 years       After date of last         14.4
                                                                                                    action or until no
                                                                                                    longer
                                                                                                    administratively
                                                                                                    required,
                                                                                                    whichever is
                                                                                                    longer




                                                                                                                                      117
                      Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3           L4        SCOPE NOTES                              Disposal    Disposal         Trigger          GDA
                                                                               Action    Time Period                      Reference

              Fee Reconsiderations                                           Destroy     7 years       After date of last         14.4
                                                                                                       action or until no
                                                                                                       longer
                                                                                                       administratively
                                                                                                       required,
                                                                                                       whichever is
                                                                                                       longer
              Transcript Requests                                            Destroy                   Until no longer    14.13.2
                                                                                                       administratively
                                                                                                       required
     Graduation                      Activities involved in administering
                                     the conferment of degrees to the
                                     university's students. Activities
                                     include issuing lists, organising the
                                     production of degree certificates and
                                     ceremony and handling requests
              Alumni Advisement                                              Destroy     2 years       After date of last 12.2.2
                                                                                                       action or until no
                                                                                                       longer
                                                                                                       administratively
                                                                                                       required,
                                                                                                       whichever is
                                                                                                       longer
              Approval to Graduate                                           Destroy     2 years       After date of last 14.5.1
                                                                                                       action or until no
                                                                                                       longer
                                                                                                       administratively
                                                                                                       required,
                                                                                                       whichever is
                                                                                                       longer




                                                                                                                                         118
                             Mapping of the University General Disposal Authority to the Functional Classification Model




L1        L2         L3             L4       SCOPE NOTES                          Disposal    Disposal          Trigger           GDA
                                                                                   Action    Time Period                        Reference

                     Ceremony                                                    Destroy     1 year        After date of last 14.5.3
                                                                                                           action or until no
                                                                                                           longer
                                                                                                           administratively
                                                                                                           required,
                                                                                                           whichever is
                                                                                                           longer
                     Programme                                                   Retain                    After date of last 14.5.4
                                                                                 Master                    action
                                                                                 Copy
                                                                                 Destroy     1 year        After date of last   14.5.3
                                                                                                           action or until no
                                                                                                           longer
                                                                                                           administratively
                                                                                                           required,
                                                                                                           whichever is
                                    Speakers                                                               longer
                                                                                 Destroy     1 year        After date of last   14.5.3
                                                                                                           action or until no
                                                                                                           longer
                                                                                                           administratively
                                                                                                           required,
                                                                                                           whichever is
                                    Venue                                                                  longer
                     Protocols                                                   Archive     10 years      After date of last   14.5.5
                                                                                                           action
                     Register of Graduates                                       Archive     10 years      After date of last   14.5.2
                                                                                                           action
International Student Administration         Activities involved in administering Destroy    7 years       After date last      14.11.1
                                             visa applications and monitoring the                          action
                                             care of international students.
                                             Activities include processing
                                             applications and interviewing
                                             students to determine their needs
                     Applications            and reporting                        Destroy    7 years       After date last      14.11.1
                                                                                                           action




                                                                                                                                            119
                        Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2         L3            L4       SCOPE NOTES                              Disposal      Disposal            Trigger          GDA
                                                                                 Action      Time Period                         Reference

                Audit                                                          Destroy       7 years          After date last   14.11.1
                                                                                                              action
                Visas and Insurance                                            Destroy        7 years         After date last   14.11.1
                                                                                                              action
     Planning and Strategy             Activities involved in developing       For high level planning and strategy: Archive 10 years
                                       plans and strategy. Activities          after date of last action (see 5.7.1 for examples)
                                       include, identifying requirements,
                                       undertaking research, consulting,
                                       submitting drafts for final approval
                                       and reviewing
                                       Activities involved in developing and   For high level policies: Archive 10 years after date of last
     Policies
                                       establishing policies. Activities       action (see 5.8.1)
                                       include, identifying requirements,
                                       undertaking research, consulting,
                                       analysing processes, submitting
                                       policy proposals for final approval
     Procedures                        Activities involved in developing and   For high level procedures: Archive 10 years after date of
                                       establishing procedures. Activities     last action (see 5.8.1)
                                       include, identifying requirements,
                                       undertaking research, consulting,
                                       analysing processes, procedure
                                       proposals for final approval and
     Student Associations              Activities involved in maintaining      Archive       10 years        After date of last 12.10.2
                                       relationships with Student                                            action
                                       Associations. Activities include
                                       meetings and correspondence.

               <by name of Association>
     Student Complaints              Activities involved in recording and
                                     investigating complaints made by
                                     students




                                                                                                                                              120
                        Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3             L4       SCOPE NOTES                             Disposal    Disposal         Trigger          GDA
                                                                               Action    Time Period                      Reference

              Appeals                 This section relates to appeals for    Destroy     2 years       After date of last 10.1.1
                                      exam grades                                                      action

              Grievances              Note: this section is for Minor         Destroy    2 years       After date of last 12.4.1
                                      complaints that do not have any                                  action or until no
                                      direct impact on university policies or                          longer
                                      registered as an incident                                        administratively
                                                                                                       required,
                                                                                                       whichever is
                                                                                                       longer
              Inquiries                                                      Destroy     6 months      After date of last 12.6.1
                                                                                                       action or until no
                                                                                                       longer
                                                                                                       administratively
                                                                                                       required,
                                                                                                       whichever is
                                                                                                       longer
     Student Records                 Activities involved in keeping a
                                     complete and accurate record of a
                                     students academic progress and
                                     results and responding to requests
                                     for individual students records.
                                     Activities include collecting data,
                                     updating records and searching for
              <by student>           information and replying to requests
                           Final transcript                                  Archive     Retain                          14.13.1
                                                                                         permanently
                             Maintenance                                     Destroy     7 years       After date of last 14.10.1
                                                                                                       action




                                                                                                                                      121
                      Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2       L3              L4   SCOPE NOTES                            Disposal    Disposal          Trigger           GDA
                                                                           Action    Time Period                        Reference

              Practical Work                                             Destroy     2 years       After date of last   14.6.1
                                                                                                   action or until no
                                                                                                   longer
                                                                                                   administratively
                                                                                                   required,
                                                                                                   whichever is
                                                                                                   longer
              Requests                                                   Destroy                   Until no longer      14.13.2
                                                                                                   administratively
                                                                                                   required
     Student Recruitment           Activities involved in the recruitment Destroy    2 years       After date of last   14.9.1
                                   of potential students to the university                         action or until no
                                                                                                   longer
                                                                                                   administratively
                                                                                                   required,
                                                                                                   whichever is
                                                                                                   longer
              Careers Fairs                                              Destroy     2 years       After date of last   14.9.1
                                                                                                   action or until no
                                                                                                   longer
                                                                                                   administratively
                                                                                                   required,
                                                                                                   whichever is
                                                                                                   longer
              International                                              Destroy     2 years       After date of last   14.9.1
                                                                                                   action or until no
                                                                                                   longer
                                                                                                   administratively
                                                                                                   required,
                                                                                                   whichever is
                                                                                                   longer




                                                                                                                                    122
                     Mapping of the University General Disposal Authority to the Functional Classification Model




L1   L2   L3              L4    SCOPE NOTES                    Disposal    Disposal         Trigger          GDA
                                                                Action    Time Period                      Reference

          National                                            Destroy     2 years       After date of last 14.9.1
                                                                                        action or until no
                                                                                        longer
                                                                                        administratively
                                                                                        required,
                                                                                        whichever is
                                                                                        longer
          Prospects                                           Destroy     2 years       After date of last 14.9.1
                                                                                        action or until no
                                                                                        longer
                                                                                        administratively
                                                                                        required,
                                                                                        whichever is
                                                                                        longer
          School Visits                                       Destroy     2 years       After date of last 14.9.1
                                                                                        action or until no
                                                                                        longer
                                                                                        administratively
                                                                                        required,
                                                                                        whichever is
                                                                                        longer




                                                                                                                       123
                              Mapping of University General Disposal Authority to Functional Classification Model




L1    L2        L3     L4           SCOPE NOTES                             Disposal    Disposal       Trigger       GDA
                                                                             Action       Time                     Reference
                                                                                         Period
STUDENT SERVICES              The function of providing
                              services to the university's
                              students
      Accommodation Services Activities involved in the
                              management of accommodation
                              services provided either directly or
                              indirectly by the university.
                              Activities include operation and
                              maintenance of premises and
             Halls of Residence                                            Destroy     1 year      After date of   15.1.1
                                                                                                   last action
                       Applications for Student Residents                  Destroy     1 year      After date of   15.1.1
                                                                                                   last action
                       Catering                                            Destroy     1 year      After date of   15.1.1
                                                                                                   last action
                       Instructions                                        Destroy     1 year      After date of   15.1.1
                                                                                                   last action
                       Rosters                                             Destroy     1 year      After date of   15.1.1
                                                                                                   last action
                       Surveys                                             Destroy     1 year      After date of   15.1.1
                                                                                                   last action
                University Managed Accommodation                           Destroy     7 years     After date of   15.1.2
                                                                                                   last action
                       Complaints                                          Destroy     7 years     After date of   15.1.2
                                                                                                   last action
                       Correspondence                                      Destroy     7 years     After date of   15.1.2
                                                                                                   last action
                       Resident's files                                    Destroy     7 years     After date of   15.1.2
                                                                                                   last action
      Child Care Services           Activities involved in the provision
                                    of child care services either
                                    provided directly or contracted by
                                    the university for staff and
                                    students. Activities include
                                    operation and maintenance of
                                    facilities, reviewing applications
                                    and profiles for individuals




                                                                                                                               124
                               Mapping of University General Disposal Authority to Functional Classification Model




L1   L2        L3      L4             SCOPE NOTES                          Disposal    Disposal       Trigger       GDA
                                                                            Action       Time                     Reference
                                                                                         Period
               Administration                                             Destroy     2 years     From date of    15.2.1
                                                                                                  last action
                       Catering and Menus                                 Destroy     2 years     From date of    15.2.1
                                                                                                  last action
                       Fees                                               Destroy     2 years     From date of    15.2.1
                                                                                                  last action
                       Surveys                                            Destroy     2 years     From date of    15.2.1
                                                                                                  last action
               Application and Selection
                      Application forms                                   Destroy     2 years     From date of    15.2.2
                                                                                                  last action
                       Notifications                                      Destroy     2 years     From date of    15.2.2
                                                                                                  last action
                       Waiting List                                       Destroy     2 years     From date of    15.2.2
                                                                                                  last action
                       Client Files                                       Destroy     7 years     From the date   15.2.3
                                                                                                  the child
                                                                                                  ceases to
                                                                                                  attend the
                                                                                                  service
     Health Services                  Activities involved in the provision
                                      of health care services to students,
                                      staff and external clients.
                                      Activities include service
                                      management and treatment
               Appointments           records.                             Destroy    2 years     After date of   15.4.1
                                                                                                  last action
               Clinical Governance                                        Archive     10 years    After date of   5.8.1
                                                                                                  last action
               Clinical Protocols and Procedures                          Archive     10 years    After date of   5.8.1
                                                                                                  last action




                                                                                                                              125
                              Mapping of University General Disposal Authority to Functional Classification Model




L1   L2       L3     L4         SCOPE NOTES                    Disposal     Disposal       Trigger        GDA
                                                                Action        Time                      Reference
                                                                             Period
              Counselling Services                            Destroy or   10 years    Beginning on     15.4.2
                                                              Discharge                the day after
                                                                                       the date shown
                                                                                       in the health
                                                                                       information as
                                                                                       the most recent
                                                                                       date on which a
                                                                                       provider
                                                                                       provided
                                                                                       services to that
                                                                                       individual

              Patient Files                                   Destroy or   10 years    Beginning on     15.4.2
                                                              discharge                the day after
                                                                                       the date shown
                                                                                       in the health
                                                                                       information as
                                                                                       the most recent
                                                                                       date on which a
                                                                                       provider
                                                                                       provided
                                                                                       services to that
                                                                                       individual


              Prescription and Drug Management                Destroy      10 years    After date of    15.4.3
                                                                                       last action
              Regulations                                     Destroy      7 years     After            2.10.1
                                                                                       regulations
                                                                                       superceded/
                                                                                       completed and
                                                                                       no longer
                                                                                       required for
                                                                                       administrative
                                                                                       purposes
     Relationship Management    For contracts see Legal 9.2




                                                                                                                    126
                               Mapping of University General Disposal Authority to Functional Classification Model




L1   L2         L3      L4        SCOPE NOTES                             Disposal    Disposal       Trigger       GDA
                                                                           Action       Time                     Reference
                                                                                       Period
                DHB               Note: for significant relationship     Archive     10 years    After date of   12.10.2
                                  issues                                                         last action
                PHO               Note: for significant relationship     Archive     10 years    After date of   12.10.2
                                  issues                                                         last action
     Orientation                  Activities involved in the planning    Destroy     2 years     After date of   15.5.1
                                  and management of student                                      last action
                                  orientation. Activities include
                                  planning for orientation week and
                                  programmes
                Displays                                                 Destroy     2 years     After date of   15.5.1
                                                                                                 last action
                Event Planning                                           Destroy     2 years     After date of   15.5.1
                                                                                                 last action
                Information sessions                                     Destroy     2 years     After date of   15.5.1
                                                                                                 last action
                                Activities involved in the provision
     Sport and Recreational Services                                     Destroy     2 years     After date of   15.6.1
                                of recreational services to                                      last action
                                students, staff and external clients
                                and management of facilities.
                                Activities include client
                                management and roster activities

                Bookings                                                 Destroy     2 years     After date of   15.6.1
                                                                                                 last action
                Client Files                                             Destroy     2 years     After date of   15.6.1
                                                                                                 last action
                Equipment                                                Destroy     2 years     After date of   15.6.1
                                                                                                 last action
                Timetables                                               Destroy     2 years     After date of   15.6.1
                                                                                                 last action
     Support Services             Activities involved in the provision   Destroy     7 years     After date of   15.7.1 xref
                                  of support services to students.                               last action     with 15.4.2
                                  Activities include career advice,
                                  hardship support, transition and
                                  retention, learning support, Maori
                                  services, Pacific Island services
                                  and disability support.




                                                                                                                               127
                        Mapping of University General Disposal Authority to Functional Classification Model




L1   L2   L3    L4             SCOPE NOTES                    Disposal    Disposal       Trigger       GDA
                                                               Action       Time                     Reference
                                                                            Period
                                                             Destroy
          <name of support service e.g. Career Advisory Services>        7 years     After date of   15.7.1
                                                                                     last action
                Application Forms                           Destroy      7 years     After date of   15.7.1
                                                                                     last action
                Client Files                                Destroy      7 years     After date of   15.7.1
                                                                                     last action
                Critical Incident Care                      Destroy      7 years     After date of   15.7.1
                                                                                     last action
                Hardship                                    Destroy      7 years     After date of   15.7.1
                                                                                     last action
                Mentoring                                   Destroy      7 years     After date of   15.7.1
                                                                                     last action
                Pastoral Care                               Destroy      7 years     After date of   15.7.1
                                                                                     last action




                                                                                                                 128

				
DOCUMENT INFO
Shared By:
Categories:
Tags:
Stats:
views:6
posted:1/7/2012
language:
pages:128