Australian Capital Territory
Territory Records (Records Disposal Schedule – Information and Communications Technologies Records) Approval 2007 (No 1)
Notifiable instrument NI2007—176
made under the
Territory Records Act 2002, s 19 (Approval of schedules for the disposal of records)

1.	Name of Instrument
This instrument is the Territory Records (Records Disposal Schedule – Information and Communications Technologies Records) Approval 2007 (No 1)
2.	Approval
I approve the Records Disposal Schedule – Information and Communications Technologies Records.
3.	Commencement
This instrument commences on the day after notification.

David Wardle
Director of Territory Records
14 June 2007

Records Disposal Schedule
Information & Communications Technologies Records

INTRODUCTION
PURPOSE
SCOPE
AUTHORITY
STRUCTURE AND RELATIONSHIP TO THE TERRITORY VERSION OF KEYWORD AAA
Territory Version of Keyword AAA
GUIDELINES FOR USE
Coverage of authority
Layout of the schedule
FORMAT OF RECORD
Electronic records
DESTRUCTION OF RECORDS
UPDATING THE RECORDS DISPOSAL SCHEDULE
ASSISTANCE IN USING THE RECORDS DISPOSAL SCHEDULE
RELATED LEGISLATION
DEFINITIONS
Agency
Appraisal
Business Classification Scheme
Principal Officer
Records
Records of an Agency
Records Disposal Schedule
Records Management Program
Recordkeeping Systems
Scope Note
Sentencing
Territory Archives
BUSINESS CLASSIFICATION SCHEME
INFORMATION & COMMUNICATIONS TECHNOLOGIES
RECORDS DISPOSAL SCHEDULE
Acquisition
Agreements
Application administration
Application development
Approvals
Audit
Authorisation
Business continuity management
Committees
Compliance
Conferences
Contracting out
Control
Customer service
Data archiving
Data administration
Digital archive management
Disposal
Distribution
Evaluation
Fees and charges determination
Implementation
Information and communications technology project management
Information architecture administration
Information architecture development
Installation
Intellectual property
Leasing
Leasing-out
Liaison
Maintenance
Modelling
Operating systems administration
Operations
Planning
Policy
Privacy
Procedures
Quality assurance
Registration
Regulatory compliance
Reporting
Reviewing
Security
Tendering
CLASSES FOR RETENTION AS TERRITORY ARCHIVES
Audit
Authorisation
Business continuity management
Committees
Data archiving
Digital archive management
Evaluation
Implementation
Information architecture development
Planning
Policy
Reporting
Reviewing

INTRODUCTION
The Records Disposal Schedule – Information & Communications Technology Records is the official authority for the disposal of records relating to Information & Communications Technology Records.

It is one of a series of Records Disposal Schedules authorised by the Director of Territory Records in accordance with the provisions of the Territory Records Act 2002.  It is used in conjunction with the Territory Administrative Records Disposal Schedule (TARDiS).

PURPOSE
The purpose of this Records Disposal Schedule is to provide for the authorised disposal of Information & Communications Technology records created or maintained by ACT Government agencies.

SCOPE
This Records Disposal Schedule applies to records created or maintained by ACT Government Agencies.  It applies to records in any format, including electronic records.

AUTHORITY
The Director of Territory Records, in consultation with the Territory Records Advisory Council, has approved this Records Disposal Schedule for use.  The schedule does not take effect until it has been incorporated into an agency’s Records Management Program that has been replaced by the Principal Officer of the agency.

Even so, officers using this Records Disposal Schedule should apply it with caution.  They should be aware that the authorisations for disposal are given in terms of the Territory Records Act 2002 only.  Officers must not dispose of records in contravention of this Records Disposal Schedule or other requirements.

This Records Disposal Schedule will remain in force until a new schedule supersedes it or the Director of Territory Records withdraws it from use.

STRUCTURE AND RELATIONSHIP TO THE TERRITORY VERSION OF KEYWORD AAA
A Records Disposal Schedule generally specifies retention periods.  That is, how long records are to be retained by the agency before being destroyed or retained as Territory Archives.

Retention periods set down in this schedule are minimum periods only and an agency may keep records for a longer period if considered necessary for business requirements.  Reasons for longer retention could include legal requirements, administrative need or agency directives.  An agency must not dispose of any records where it is aware of possible legal action for which the records may be required as evidence.

The Records Disposal Schedule – Information & Communications Technology Records has a hierarchical structure that reflects its arrangements according to functions and activities, rather than by subject, and this also reflects a close relationship to the Territory Version of Keyword AAA.  The Records Disposal Schedule is designed to be applicable to all Information & Communications Technology records regardless of titling conventions used, so that records, which have not been titled using the terminology represented by this Records Disposal Schedule, may still be sentenced with relative ease.

Territory Version of Keyword AAA
The Territory Version of Keyword AAA is the general administrative thesaurus produced by the Territory Records Office.  The structure and terms used in this Records Disposal Schedule are closely related to those used in the Territory Version of Keyword AAA, which is based on functional analysis of business activity.  This methodology (i.e., the analysis of business activity) produces a hierarchical model of an organisation’s business activity.  The hierarchical model also represents a classification scheme for the records that document functions, activities and transactions.

The disposal actions listed in this Records Disposal Schedule were determined through the process of appraisal in accordance with Territory Records Office Standard for Records Management No.2 – Appraisal.  Appraisal is based upon the same type of analysis of business activity employed in the classification scheme used in the Territory Version of Keyword AAA.  Essentially, appraisal involves attaching record retention periods and disposal decisions (and even records creation requirements and rules) to the same classification scheme.

GUIDELINES FOR USE
Coverage of authority
The Records Disposal Schedule – Information & Communications Technology Records:
•	covers all Information & Communications Technology   records;
•	is intended to be used in conjunction with TARDiS;
•	specifies the minimum period records should be kept (retention periods);
•	specifies whether, upon the expiry of the retention periods, the records may be destroyed or are required as Territory Archives; and
•	is applicable to records created and maintained in any format, including electronic or formats such as microfiche. 

Layout of the schedule
This Records Disposal Schedule begins with an introduction incorporating definitions and the business classification scheme.  Then each of the functions and activity disposal sets or ‘disposal classes’ relating to the functions are described.  These are followed by a composite list of classes designated ‘Retain as Territory Archives’.  The functions and activity disposal sets show the following details:

Function.  
This is the broad level business function and is displayed in bold capital letters at the top of each page.  It is the highest level in the business classification scheme.  It is followed by the scope note, which provides definitions of the function and a collective view of the business activities that make that function unique.

Activity.  
Activities are the processes or operations that make up the business function.  They are set in bold and italics below the function statement.  This is the second level of the business classification scheme.  The scope of the activity encompasses all of the transactions that take place in relation to the activity.  Activities can relate to many functions with the scope notes covering all of these relationships (e.g., the activity ‘Policy’ is linked to all of the functions).  However, each function and activity set represents a unique unit.

Entry No.  
This is the disposal class number allocated based on the function and activity set and the class number of the record.  The barcode is the same as the Entry No. and may be used in an automated recordkeeping system.

Description of Records.  
This is the description of the records documenting the business function, activity and transactions.  The descriptions can relate to one record such as a register or a group of records documenting a particular set of transactions.

Disposal Action.  
This is the minimum period a record must be kept for and is the trigger event from which the disposal date can be calculated.

FORMAT OF RECORD
This Records Disposal Schedule is applicable to any record that performs the function prescribed, irrespective of format.  Records may include:

•	cards;
•	registers;
•	files;
•	microfilm;
•	microfiche;
•	COM (computer output microfiche);
•	electronic records, including various electronic media, and
•	any other formats.

Electronic records
Refers to records created, communicated and maintained by means of electronic equipment.  Information could be maintained/stored in a number of ways – on the database (the main database, or a special archives database); on magnetic media; on optical disks; or on separate hardcopy (paper, COM).

Electronic records must be readily accessible for the length of the specified retention period.  Routine treatment (such as wiping, updating, alterations or re-recording) does not constitute disposal.

DESTRUCTION OF RECORDS
When the approved disposal date for the destruction of records has been reached, appropriate arrangements for their destruction should be made.  It is the responsibility of each agency to ensure that its records are destroyed in a secure and appropriate manner as indicated in the agency Records Management Program.

UPDATING THE RECORDS DISPOSAL SCHEDULE
Records Disposal Schedules are reviewed and updated from time to time.  For suggested amendments or alterations to this schedule please contact the Director of Territory Records.

ASSISTANCE IN USING THE RECORDS DISPOSAL SCHEDULE
Agencies requiring any assistance in the interpretation or implementation of any Records Disposal Schedule are encouraged to contact the Director of Territory Records.

RELATED LEGISLATION
The following legislation is related to the records classes covered by this Records Disposal Schedule:

Electronic Transactions Act 1999 (Cwlth)
Government Procurement Act 2001
Limitations Act 1985 
Territory Records Act 2002

DEFINITIONS

Agency
The Executive, an ACT Court, the Legislative Assembly Secretariat, an administrative unit, a Board of Inquiry, a Judicial or Royal Commission, any other prescribed authority, or an entity declared under the regulations of the Territory Records Act 2002 to be an agency.

Appraisal
The process of evaluating business activities to:
•	determine which records need to be captured;
•	determine how long the records need to be kept to meet business needs; and
•	meet the requirements of organisational accountability and community expectations.

Business Classification Scheme
A hierarchical scheme for identifying and defining the functions, activities and transactions an agency performs in the conduct of its business, and the relationships between them.

Principal Officer
The Chief Executive of an administrative unit, or its equivalent in other types of agencies.

Records
Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transition of business.  This recorded information must be maintained or managed by the agency to provide evidence of their business activities.  Records can be in written, electronic or any other form.

Records of an Agency
Records, in writing, electronic or any other form, under the control of an agency or to which it is entitled to control, kept as a record of its activities, whether it was created or received by the agency.

Records Disposal Schedule
A document approved by the Director of Territory Records, which sets out the types of records an agency must make and how long they must be kept.

Records Management Program
A document that complies with Section 16 of the Territory Records Act 2002 by setting out the means by which an agency will manage its records, and is approved by the agency’s Principal Officer.
Recordkeeping Systems
Information systems that capture, maintain and provide access to records over time.  While the term is often associated with computer software, Recordkeeping Systems also encompass policies, procedures, practices and resources that are applied within an agency to ensure that full and accurate records of business activity are made and kept.

Scope Note
An explanation of terms used in describing the records and the context in which they were made and used.

Sentencing
The process of applying appraisal decisions to individual records by determining the part of a Records Disposal Schedule that applies to the record and assigning a retention period consistent with that part.

Territory Archives
Records preserved for the benefit of present and future generations.

BUSINESS CLASSIFICATION SCHEME

INFORMATION & COMMUNICATIONS TECHNOLOGIES

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Acquisition

The processes of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions.

Agreements

The processes associated with the establishment, maintenance, review and negotiation of agreements.

Application administration

The activities associated with maintaining and using data that is held in a system confined to functionality of the application.

Application development

The activities associated with developing software and programming codes to run business applications.  Includes specifications, testing, pilots, prototyping and metadata requirements.

Approvals
The activities involved in giving or obtaining approval.

Audit

The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the agency in a specified period.  Includes compliance audits, financial audits, operational audits, recordkeeping audits, skill audits, system audits and quality assurance audits.

Authorisation

The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action.

Business continuity management

The activities of identifying potential threats to the agency and providing a disaster recovery framework to enable effective response to those threats that will enable the core business to continue or recover quickly in the event of a disaster.  Includes a disaster recovery policy and guidelines, the capability to quickly recover operations in the event of an IC&T disaster and the continuing operation of business critical systems.

Use TARDiS INFORMATION AND COMMUNICATIONS TECHNOLOGIES – Security for Security of business critical systems. 

Committees

The activities associated with the managing of committees and task forces.  Includes the committee’s establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc.

Use TARDiS STRATEGIC MANAGEMENT – Committees for audit committees.

Compliance

The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the agency is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

Conferences

The activities involved in arranging or attending conferences held either by the agency or by other agencies.  Includes registrations, publicity and reports of participants etc.

Contracting out

The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing.

Control

The activities associated with creating, maintaining and evaluating control mechanisms. Includes classification, indexing, registration, forms design etc to ensure maximum control over records and recordkeeping systems. Also includes control mechanisms for other information resources and systems.

Customer service

The activities associated with the planning, monitoring and evaluation of services provided to customers by the agency.

Data archiving

The activities involved with transferring data held on agency information technology and communications infrastructure to another storage medium and/or backup facility.  Includes conversion, migration and reproduction activities.

Database administration

The activities associated with building, prototyping and testing databases.  Includes management of user rules, passwords, performance tuning , monitoring usage, performance tuning and response times.

Digital archive management

Activities associated with the management of digital archive records including: metadata, preservation, conservation, migration, import and export, system rollbacks and retrieval processes.

Disposal

The process of disposing of property no longer required by the agency, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage.

Distribution

The activities associated with disseminating items, correspondence or publications through sales, deliveries, or other customer services. 

Enquiries

The activities associated with handling requests for information about the agency and its services by the general public, agency employees or another agency.

Evaluation

The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring.

Fees and charges determination

The activities associated with determining fees and charges.

Implementation

The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes installation of equipment. Also includes monitoring to ensure the implementation goes according to schedule and that standards are met and includes first aid treatment. Use Installation for installing equipment.

Information and communications technologies project management

The activities associated with the management of projects with a significant information and communication technologies component from initial client agency initiation to stable production delivery. Use INFORMATION AND COMMUNICATIONS TECHNOLOGES – Agreements for Service Level Agreement and Support Agreements.

Information architecture administration

The administration of strategic information architecture including the design, development and deployment of software, middleware and hardware.

Information architecture development

The activities involved in designing the fundamental organization of a system embodied by all of its components, hardware, middleware and software, their relationships to each other and to the environment and the principles guiding its design and evolution.

Installation

Activities involved in placing equipment in position and connecting and adjusting it for use. 

Intellectual property

The activities involved in managing the agency's intellectual property, both published and unpublished, and the use of material held by the agency in which another party owns the intellectual property. Includes management of copyright, design, patents and trademarks, royalties and matters of confidentiality, such as trade secrets, which are not available to the public under Freedom of Information (FOI) legislation.

Leasing

The activities involved in leasing items, equipment, accommodation, premises or real estate from another agency. Includes the process of chartering.

Leasing-out

The activities involved in leasing-out items, equipment, accommodation, premises or real estate to another agency or person for a specified period and agreed price. Includes the formal documentation setting out conditions, rights, responsibilities etc of both parties. Also includes subleasing. 

Liaison

The activities associated with maintaining regular general contact between the agency and professional associations, professionals in related fields, other private sector organisations and community groups. Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects that are not joint ventures.

Maintenance

The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external conditions of premises, equipment, vehicles etc.

Meetings

The activities associated with adhoc gatherings held to formulate, discuss, update or resolve issues and matters pertaining to managing the section, department, or agency as a whole.  Includes arrangements, agenda, taking of minutes etc.  Excludes committee meetings.

Modelling

The processes involved in designing, testing and evaluating sample model profiles of systems under analysis.

Operating system administration

The activities associated with the administration of computing and telecommunications appliances at the operating system level.

Operations

The activities associated with keeping computer systems in effective operation on a daily basis. Includes fault reporting, help and desktop support.

Planning

The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.

Policy

The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making, as the basis from which the agency’s operating procedures are determined.

Privacy

The activities associated with applying the principles of privacy. Includes data protection in relation to privacy. Also includes the process of collection, handling, use and disclosure of records of a private, personal, or confidential nature to maintain that the rights of a living person (or immediate family) are secure from unauthorised disclosure or access to such information.

Procedures

Standard methods of operating laid down by an agency according to formulated policy.

Quality assurance

The activities involved with the development, monitoring and reviewing of quality assurance programs in the agency.

Registration

The activities to record, catalogue, inventory or list.  The establishment and maintenance of registers containing information required by legislation.

Regulatory compliance

The activities associated with investigations and monitoring of compliance with codes, standards, regulations, legislative requirements, or contractual obligations to which licensees, carriers or service providers, cabling and equipment providers, or users are subject. Includes information gathering and investigations into industry compliance, as well as performance and audit reports produced and reviewed as a result of the compliance monitoring process.

Reporting

The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns.

Reviewing

The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.

Security

The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks.

Tendering

The activities involved in receiving and assessing tenders, of making offers and finalizing contract arrangements for the supply, sale or purchase of goods and services.

RECORDS DISPOSAL SCHEDULE

INFORMATION & COMMUNICATIONS TECHNOLOGIES

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

 Acquisition

The processes of gaining ownership or use of property and other items or the provision of services required in the conduct of business through purchase or requisitions.

Entry	Description of Records	Disposal Action	
160.003.1 *160.003.1*	Records documenting the acquisition of goods and services where there is no tender or contract process (i.e. where the cost of the acquisition is below the threshold for tendering or where a purchase is made against a period contract). Includes: formal requests for quotes, orders, handover reports, routine forms and correspondence relating to the acquisition.

[For the acquisition of goods and services through a tender process, use – Tendering.

For the management of contracted out services, use – Contracting-out.

For managing financial transactions supporting acquisition activities, use FINANCIAL MANAGEMENT – Accounting and/or FINANCIAL MANAGEMENT – Payments]
	Destroy 7 years after action completed	
160.003.2 *160.003.2*	Records documenting acquisitions not proceeded with.	Destroy 2 years after action completed	

INFORMATION & COMMUNICATIONS TECHNOLOGIES

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Agreements

The processes associated with the establishment, maintenance, review and negotiation of agreements.

Entry	Description of Records	Disposal Action	
160.006.1 *160.006.1*	Final version of agreements. Includes maintenance agreements and software licence files	Destroy 7 years after expiry or other termination of agreement
	
160.006.2 *160.006.2*	Records relating to the negotiations, establishment, maintenance and review of agreements.	Destroy 2 years after action completed

Application administration

The activities associated with maintaining and using data that is held in a system confined to functionality of the application.

Entry	Description of Records	Disposal Action	
160.345.1
*160.345.1*	Records documenting the migration of records between electronic systems and from one electronic medium to another. Includes strategies for the migration and quality assurance checks to confirm accuracy of the migration process.
	Destroy 3 years after data migrated or destroyed	
160.345.2 *160.345.2*	Records documenting the maintenance of agency-wide data dictionaries.	Destroy when superseded	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Application development

The activities associated with developing software and programming codes to run business applications.  Includes specifications, testing, pilots, prototyping and metadata requirements.

Entry	Description of Records	Disposal Action	
160.010.1 *160.010.1*	Records documenting testing activities and results. Includes: testing strategy, testing plan, result forms test report, rectification plans, remediation process and testing records, etc.
	Destroy 7 years after last action	
160.010.2 *160.010.2*	Records documenting the development, modification and maintenance of specific applications to meet business needs which go into production. Includes: feasibility studies, pilot studies, final version of all system documentation, user and technical manuals, application specific data dictionaries, final version of business rules, final version of user requirements, final version of system specifications, rectification of problems (includes Year 2000 remediation), requests for system changes, final sign-off by all parties.
	Destroy 5 years after (sub)system is defunct and any data supported is either migrated or destroyed	
160.010.3
*160.010.3*	Records documenting the development and modification of specific applications to meet business needs, which do not go into production or are otherwise abandoned. Includes: feasibility studies, pilot studies, system documentation, user and technical manuals, application specific data dictionaries, business rules, user requirements, system specifications.	Destroy 2 years after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Approvals
The activities involved in giving or obtaining approval.

Entry	Description of Records	Disposal Action	
			
160.242.1 *160.242.1*	Records documenting permissions including group, program, function, asset and level.	Destroy 7 years after last action	

Audit

The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the agency in a specified period.  Includes compliance audits, financial audits, operational audits, recordkeeping audits, skill audits, system audits and quality assurance audits.

Entry	Description of Records	Disposal Action	
			
160.013.1 *160.013.1*	Final report of an external audit (e.g. conducted by an external authority such as the ACT Auditor General's Office) where:
-	The audit report is qualified by the Auditor-General
-	There are major or significant changes to practices
-	Final report of an internal or external audit where:
o	The audit report has been accepted by the Auditor-General; and
o	There are no changes or only minor routine changes to practices. 
Includes recommendations and implementation plans.
	Retain as Territory Archives	
160.013.2
*160.013.2*	Planning and conduct of internal and external audits.	Destroy 7 years after action completed
	
160.013.3 *160.013.3*	Other internal or external audits.	Destroy 5 years after action completed	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Authorisation

The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action.

Entry	Description of Records	Disposal Action	
160.014.1 *160.014.1*	Approvals and connection permits and registers.	Retain as Territory Archives
	
160.014.2 *160.014.2*	Delegations of powers to agency staff to authorise administrative action	Destroy 7 years after delegation expires
	
160.014.3 *160.014.3*	Records documenting permissions including group, program, function, asset and level.	Destroy 7 years after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Business continuity management

The activities of identifying potential threats to the agency and providing a disaster recovery framework to enable effective response to those threats that will enable the core business to continue or recover quickly in the event of a disaster.  Includes a disaster recovery policy and guidelines, the capability to quickly recover operations in the event of an ICT disaster and the continuing operation of business critical systems.

Use TARDiS INFORMATION AND COMMUNICATIONS TECHNOLOGIES – Security for Security of business critical systems. 

Entry	Description of Records	Disposal Action	
			
160.346.1 *160.346.1*	Business continuity strategies.  Including priority lists and resource recovery strategies.	Retain as Territory Archives
	
160.346.2 *160.346.2*	Business impact analysis.	Destroy 7 years after last action
	
160.346.3 *160.346.3*	Development of the business continuity policy, plan and guidelines including, the crisis management plan and the resumption plans.  Includes the final policy, plans and guidelines.
	Destroy 7 years after last action
	
160.346.4 *160.346.4*	Records documenting the exercise program and auditing of business continuity management.	Destroy 2 years after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Committees

The activities associated with the managing of committees and task forces.  Includes the committee’s establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc.

Use TARDiS STRATEGIC MANAGEMENT – Committees for audit committees.

Entry	Description of Records	Disposal Action	
160.020.1 *160.020.1*	External committees formed to manage or advise.  Includes finals of documents:
•	Establishing the committee
•	Terms of reference
•	Appointment of members
•	Minutes
•	Reports 
•	Recommendations
•	Supporting documents such as briefing papers and discussion papers

	Retain as Territory Archives
	
160.020.2 *160.020.2*	Internal committees formed to manage or advise. Includes final versions of documents:
•	Establishing the committee
•	Terms of reference
•	Appointment of members
•	Minutes
•	Reports
•	Recommendations
•	Supporting documents such as briefing papers and discussion papers
	Destroy 7 years after last action
	
160.020.3 *160.020.3*	Working papers and administration of committees.  Includes:
•	Agenda
•	Notice of meetings
•	Draft minutes 
•	Room bookings
	Destroy 6 months after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Compliance

The activities associated with complying with mandatory or optional accountability, fiscal, legal, regulatory or quality standards or requirements to which the agency is subject. Includes compliance with legislation and with national and international standards, such as the ISO 9000 series.

Entry	Description of Records	Disposal Action	
			
160.021.1 *160.021.1*	Records documenting agency compliance with mandatory or optional standards or with statutory requirements relating to the function. Includes the Information Technology Infrastructure Library (ITIL) and ISO/IEC 20000 standard on IT service management.
	Destroy 7 years after action completed	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Conferences

The activities involved in arranging or attending conferences held either by the agency or by other agencies.  Includes registrations, publicity and reports of participants etc.

Entry	Description of Records	Disposal Action	
			
160.022.1 *160.022.1*	Conferences arranged by agency.  Includes:
-	Program development;
-	Invitations to speakers;
-	Promotion activities;
-	Registrations;
-	Venue bookings;
-	Copies of financial statements.
	Destroy 3 years after action completed	
160.022.2 *160.022.2*	Reports commenting on and assessing conferences.
	Destroy 3 years after action completed
	
160.022.3 *160.022.3*	Master of unpublished proceedings and reports, speeches and papers from conferences	Destroy 3 years after action completed
	
160.022.4 *160.022.4*	Published proceedings from conferences.	Destroy 6 months after last action
	
160.022.5 *160.022.5*	Attendance of staff at conferences arranged by other organisations.  Includes conference promotion material, programs and registration forms.

[For travel and accommodation arrangements made for staff to attend conferences, use TARDiS Personnel – Arrangements.]	Destroy 6 months after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Contracting out

The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services.  Includes outsourcing.

Entry	Description of Records	Disposal Action	
			
160.025.1
*160.025.1*	Records documenting contract management. Includes: minutes of meetings with main stakeholders, performance and evaluation reports.	Destroy 7 years after last action 	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Control

The activities associated with creating, maintaining and evaluating control mechanisms. Includes classification, indexing, registration, forms design etc to ensure maximum control over records and recordkeeping systems. Also includes control mechanisms for other information resources and systems.

Entry	Description of Records	Disposal Action	
			
160.026.1 *160.026.1*	Records documenting the allocation and administration of numbers through the determination of a number allocation system. Includes: 
-	Draft number allocation system 
-	Notifications 
-	Carrier service provider number allocation applications 
-	Number and block number allocation requests 
-	Number surrenders, transfers and withdrawals
	Destroy 7 years after last action 	
160.026.2 *160.026.2*	System logs, which are used to show a history of access or change to data (e.g. system access logs, internet access logs, system change logs and audit trails etc).	Destroy 7 years after action completed
	
160.026.3 *160.026.3*	Records documenting the development of control mechanisms (e.g. authenticity and version control).	Destroy 5 years after mechanism is superseded
	
160.026.4 *160.026.4*	Records documenting the way metadata is allocated and maintained.	Destroy 1 year after last action
	
160.026.5 *160.026.5*	Records documenting the maintenance of E-mail address lists (internal and external) and/or telephone lists, telephone call pick up groups etc.
	Destroy 6 months after last action	
160.026.6 *160.026.6*	System logs, which are not used to show a history of access or change to data (e.g. backup logs).	Destroy 6 months after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Customer service

The activities associated with the planning, monitoring and evaluation of services provided to customers by the agency.

Entry	Description of Records	Disposal Action	
			
160.030.1 *160.030.1*	Records documenting the planning, monitoring and evaluation of customer services. Includes market research, feedback mechanisms and performance and response time monitoring.
	Destroy 7 years after action completed	
160.030.2
*160.030.2*	Records documenting the development of internal service charters for the provision of information, communications and technology services in an agency.	Destroy 7 years after action completed	

Data administration

The activities associated with building, prototyping and testing databases.  Includes management of user rules, passwords, performance tuning , monitoring usage, performance tuning and response times.

Entry	Description of Records	Disposal Action	
			
160.031.1
*160.031.1*	Records documenting user rules and passwords of databases.
	Destroy 5 years after last action	
160.031.2 *160.031.2*	Records documenting performance tuning and monitoring usage and response times of databases.	Destroy 5 years after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Data archiving

The activities involved with transferring data held on agency information technology and communications infrastructure to another storage medium and/or backup facility.  Includes conversion, migration and reproduction activities.

Entry	Description of Records	Disposal Action	
			
160.347.1
*160.347.1*	Records documenting the archiving of records from electronic systems. Includes strategies for quality assurance checks to confirm accuracy of the migration and archiving process.	Retain as Territory Archives	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Digital archive management

Activities associated with the management of digital archive records including: metadata, preservation, conservation, migration, import and export, system rollbacks and retrieval processes.

Entry	Description of Records	Disposal Action	
			
160.348.01 *160.348.01*	Records documenting the management of export of archived websites.
	Retain as Territory Archives	
160.348.02
*160.348.02*	Records documenting the management of retrieval processes of archived websites.
	Retain as Territory Archives	
160.348.03 *160.348.03*
	Records documenting the management of snapshots.	Retain as Territory Archives	
160.348.04 *160.348.04*
	Records documenting the management of contextual metadata relating to websites.	Retain as Territory Archives	
160.348.05 *160.348.05*
	Records documenting the content management system.	Retain as Territory Archives	
160.348.06
*160.348.06*
	Records documenting the management of preservation and conservation procedures for archived websites.	Retain as Territory Archives	
160.348.07 *160.348.07*
	Records documenting the management of migration of archived websites.	Retain as Territory Archives	
160.348.08 *160.348.08*
	Records documenting the way that individual objects are defined and maintained.	Destroy 15 years after last action	
160.348.09
*160.348.09*
	Records documenting the management of change logs	Destroy 15 years after last action	
160.348.10 *160.348.10*
	Records documenting activity logs.	Destroy 7 years after last action	
160.348.11 *160.348.11*	Records documenting activity logs of e-business data elements	Destroy 7 years after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Disposal

The process of disposing of property no longer required by the agency, by sale, transfer, termination of lease, auction, donation or destruction. Includes destruction or transfer, and the program of activities to facilitate the orderly transfer of semi-active and inactive records from current office space into storage.

Entry	Description of Records	Disposal Action	
			
160.034.1 *160.034.1*	Records documenting the disposal of Territory owned assets. Includes independent valuation, certificate verifying that work undertaken on asset was prior to valuation, written quotes, auction records and routine forms and correspondence relating to the disposal of assets.
	Destroy 7 years after disposal of asset	
160.034.2
*160.034.2*	Records documenting the disposal of leased assets. Includes written notices and correspondence to and from leasing companies in relation to return of assets, handover report and notification that agency or their nominee wishes to purchase assets.	Destroy 3 years after disposal of asset	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Distribution

The activities associated with disseminating items, correspondence or publications through sales, deliveries, or other customer services. 

Entry	Description of Records	Disposal Action	
			
160.036.1
*160.036.1*	Records documenting the distribution of information and communication technology equipment to locations. Includes consignment notes.	Destroy 7 years after action completed	

Enquiries

The activities associated with handling requests for information about the agency and its services by the general public, agency employees or another agency.

Entry	Description of Records	Disposal Action	
			
160.040.1 *160.040.1*	Records documenting the handling of public enquiries about programs, products and services.
	Destroy 5 years after last action
	
160.040.2
*160.040.2*	Ad-hoc requests for information from agency databases.	Destroy 2 years after action completed	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Evaluation

The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring.

Entry	Description of Records	Disposal Action	
			
160.042.1 *160.042.1*	External and internal reports evaluating the Information and Communications Technologies function.
	Retain as Territory Archives	
160.042.2 *160.042.2*	Records documenting the evaluation of potential or existing services and systems.
	Destroy 7 years after action completed
	
160.042.3 *160.042.3*	Initial evaluation of 'commercial-off-the-shelf' (COTS) products and services to be used in new technology or telecommunications projects (including shared system suite and endorsed suppliers). Also includes justification of decisions not to proceed with whole of- government solutions.
	Destroy 7 years after action completed	
160.042.4 *160.042.4*	Initial evaluation of whole-of-government solutions to be used in new technology or telecommunications projects (including shared system suite and endorsed suppliers). Also includes justification of decisions not to proceed with whole of- government solutions.
	Destroy 7 years after last action	
160.042.5 *160.042.5*	Records documenting analysis of business processes. Includes systems analysis and business process analysis.
	Destroy 7 years after last action
	
160.042.6 *160.042.6*	Working papers supporting external or internal reports evaluating the information and communications technologies function.	Destroy 6 months after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Fees and charges determination

The activities associated with determining fees and charges.

Entry	Description of Records	Disposal Action	
			
160.201.1
*160.201.1*	Records associated with the setting and review of licence, lease, connection and other fees. Includes revenue forecasts, monitoring outcomes and statistical analysis of trends.
	Destroy 3 years after last action	
160.201.2
*160.201.2*	Records relating to setting and appraisal of fees, charges and prices.	Destroy 2 years after last action

Implementation

The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes installation of equipment. Also includes monitoring to ensure the implementation goes according to schedule and that standards are met and includes first aid treatment.

Use Installation for installing equipment.

Entry	Description of Records	Disposal Action	
			
160.053.1
*160.053.1*	Records documenting the implementation of plans, policies, strategies, procedures and instructions. Includes monitoring implementation activities (e.g. regular backups) and the introduction of new equipment and software to a wide audience.	Retain as Territory Archives	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Information and communications technology project management

The management of projects with a significant information and communication technologies component from initial client agency initiation to stable production delivery.  Use INFORMATION AND COMMUNICATIONS TECHNOLOGES – Agreements for Service Level Agreement and Support Agreements.

Entry	Description of Records	Disposal Action	
			
160.349.1
*160.349.1*	Records documenting project management processes and activities.	Destroy 7 years after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Information architecture administration

The administration of strategic information architecture including the design, development and deployment of software, middleware and hardware.

Entry	Description of Records	Disposal Action	
			
160.350.1
*160.350.1*	Software/ hardware upgrade project files. Software/ hardware review and evaluation files- Project documentation Implementation plans Project communication and change management- files. Technical specifications Functional specification Project requests.
	Destroy 7 years after last action	

Information architecture development

The activities involved in designing the fundamental organization of a system embodied by all of its components, hardware, middleware and software, their relationships to each other and to the environment and the principles guiding its design and evolution.

Entry	Description of Records	Disposal Action	
			
160.351.1 *160.351.1*	Records documenting the reference architecture of a high-level system design free of implementation details.	Retain as Territory Archives	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Installation

Activities involved in placing equipment in position and connecting and adjusting it for use. 

Entry	Description of Records	Disposal Action	
			
160.058.1
*160.058.1*	Records documenting installation, configuration and relocation of information, communications and technology services equipment and facilities. Includes cabling from wall socket to a device and configuration of network hubs.
	Destroy 10 years after action completed	
160.058.2
*160.058.2*	Records documenting configuration of whole-of-government software.
	Destroy 5 years after software is defunct and any data supported is either migrated or destroyed
	
160.058.3 *160.058.3*	Records documenting the configuring and installation of agency specific software.
	Destroy 5 years after last action	

Intellectual property

The activities involved in managing the agency's intellectual property, both published and unpublished, and the use of material held by the agency in which another party owns the intellectual property. Includes management of copyright, design, patents and trademarks, royalties and matters of confidentiality, such as trade secrets, which are not available to the public under Freedom of Information (FOI) legislation.

Entry	Description of Records	Disposal Action	
			
160.060.1
*160.060.1*	Applications made by the agency to use portions of software developed by another agency, organisation or individual.
	Destroy 7 years after action completed
	
160.060.2 *160.060.2*	Requests from the public and other agencies for permission to reproduce portions of agency-developed software.	Destroy 7 years after action completed	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Leasing

The activities involved in leasing items, equipment, accommodation, premises or real estate from another agency. Includes the process of chartering.

Entry	Description of Records	Disposal Action	
			
160.063.1 *160.063.1*	Records documenting the administration and management of leased equipment. Includes reports received from leasing companies.	Destroy 7 years after last action	

Leasing-out

The activities involved in leasing-out items, equipment, accommodation, premises or real estate to another agency or person for a specified period and agreed price. Includes the formal documentation setting out conditions, rights, responsibilities etc of both parties. Also includes subleasing. 

Entry	Description of Records	Disposal Action	
			
160.064.1
*160.064.1*	Records documenting arrangements for the leasing out of equipment and facilities to other bodies.	Destroy 7 years after last action

Liaison

The activities associated with maintaining regular general contact between the agency and professional associations, professionals in related fields, other private sector organisations and community groups. Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects that are not joint ventures.

Entry	Description of Records	Disposal Action	
			
160.067.1 *160.067.1*	Records documenting liaison activities undertaken with professional associations, private sector organisations and community groups. Includes collaboration on projects, exchange of information and all the activities of a member of an organisation.	Destroy 3 years after action completed	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Maintenance

The activities associated with the upkeep, repair, servicing, modification and preservation of internal/external conditions of premises, equipment, vehicles etc.

Entry	Description of Records	Disposal Action	
			
160.069.1 *160.069.1*
	Records documenting the maintenance and modification of software.	Destroy 3 years after action completed
	
160.069.2
*169.069.2*	Records documenting the maintenance and modification of hardware.
	Destroy 3 years after last action	
160.069.3 *160.069.3*	Record documenting the maintenance of middleware.	Destroy 3 years after last action	

Meetings

The activities associated with maintaining regular general contact between the agency and professional associations, professionals in related fields, other private sector organisations and community groups. Includes sharing informal advice and discussions, membership of professional associations and collaborating on projects that are not joint ventures.

Entry	Description of Records	Disposal Action	
			
160.072.1 *160.072.1*	Final version of minutes and supporting documents tabled at meetings held to support the function. Includes meetings with external agencies.
	Destroy 3 years after action completed	
160.072.2
*160.072.2*	Working papers documenting the conduct and administration of meetings held to support the function. Includes agenda, notices of meetings and draft minutes.	Destroy 6 months after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Modelling

The processes involved in designing, testing and evaluating sample model profiles of systems under analysis.

Entry	Description of Records	Disposal Action	
			
160.074.1 *160.074.1*	Accepted version of implemented model.	Retain as Territory Archives
	
160.074.2
*160.074.2*	Development of business or technical models or prototypes used to support the function.	Destroy 7 years after action completed	

Operating systems administration

The activities associated with the administration of computing and telecommunications appliances at the operating system level.

Entry	Description of Records	Disposal Action	
			
160.352.1
*160.352.1*	Records on operating system configuration, installation and tuning, including:
-	monitoring operating system health and statistics 
-	File system management 
-	Backups and restores 
-	Operating System patches 
-	Installation and maintenance of common utilities and applications	Destroy 2 years after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Operations

The activities associated with keeping computer systems in effective operation on a daily basis. Includes fault reporting, help and desktop support.

Entry	Description of Records	Disposal Action	
			
160.076.1 *160.076.1*	Help desk call logs ‘Back Office’ documentation Network documentation Database documentation Database ‘Health Check’ reports
	Destroy 7 years after last action	
160.076.2 *160.076.2*	Records relating to help desk operations. Includes: minor maintenance and advice, technical assistance to an individual, requests to reset passwords, requests to recover data from backup tapes, etc
	Destroy 1 year after action completed	

Planning

The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.

Entry	Description of Records	Disposal Action	
			
160.079.1
*160.079.1*	Final version of major plans. Includes: System security plan, Information system security plan, Business continuity plan, Forensic plan, Information technology strategic management plan, Access control plans, Counter-disaster plans relating to information and communications technology, telecommunications plan
	Retain as Territory Archives	
160.079.2 *160.079.2*
	Final version of other plans.	Destroy 5 years after action completed
	
160.079.3 *160.079.3*	Working papers used in developing plans. Includes draft plans, reports analysing issues, and comments on draft plans.
	Destroy 1 year after adoption of final plan	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Policy

The activities associated with setting and review of license, lease, connection and other fees.  Includes revenue forecasts, monitoring outcomes and statistical analysis of trends.

Entry	Description of Records	Disposal Action	
			
160.080.1 *160.080.1*
	Final version of policies	Retain as Territory Archives	
160.080.2 *160.080.2*	Records documenting the development and establishment of policies. Includes 
-	policy proposals, 
-	research papers, 
-	results of consultations, 
-	comments received
-	supporting/dissenting reports, and
-	major drafts 
Includes: Information system security policy, IT security policy, Small system security scheme policy and Mobile phone policy.
	Destroy 5 years after policy is superseded	
160.080.3
*160.080.3*	Working papers documenting the development of policies.	Destroy 3 years after policy is superseded	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Privacy

The activities associated with applying the principles of privacy. Includes data protection in relation to privacy. Also includes the process of collection, handling, use and disclosure of records of a private, personal, or confidential nature to maintain that the rights of a living person (or immediate family) are secure from unauthorised disclosure or access to such information.

Entry	Description of Records	Disposal Action	
			
160.081.1 *160.081.1*	Records documenting investigations into alleged breaches of privacy involving the use of information, communications and technology applications or systems. Includes referral of those breaches to law enforcement authorities and/or the Office of the Privacy Commissioner.
	Destroy 15 years after action completed	
160.081.2
*160.081.2*	Records documenting the application of privacy and guidelines to agency information, communications and technology applications and systems.	Destroy 7 years after action completed	

Procedures

Standard methods of operating laid down by an agency according to formulated policy.

Entry	Description of Records	Disposal Action	
			
160.082.1 *160.082.1*
	Master set of agency manuals, handbooks, directives etc.	Destroy 5 years after last action	
160.082.2
*160.082.2*	Records documenting the development of procedures.	Destroy 1 year after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Quality assurance

The activities involved with the development, monitoring and reviewing of quality assurance programs in the agency.

Entry	Description of Records	Disposal Action	
			
160.085.1 *160.085.1*	Records documenting the development, monitoring and reviewing of quality assurance programs.	Destroy 5 years after last action	

Registration

The activities to record, catalogue, inventory or list.  The establishment and maintenance of registers containing information required by legislation.

Entry	Description of Records	Disposal Action	
			
160.155.1
*160.155.1*	Approvals and connection permits and registers.	Destroy 7 years after last edit date	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Regulatory compliance

The activities associated with investigations and monitoring of compliance with codes, standards, regulations, legislative requirements, or contractual obligations to which licensees, carriers or service providers, cabling and equipment providers, or users are subject. Includes information gathering and investigations into industry compliance, as well as performance and audit reports produced and reviewed as a result of the compliance monitoring process.

Entry	Description of Records	Disposal Action	
			
160.353.1
*160.353.1*	Records documenting the monitoring of customer compliance with mandatory or optional standards and statutory requirements through the conduct of compliance investigations and audits, including audits of telecommunications compliance records and audits of cabling installations. Includes: 
-	non-compliance complaint 
-	liaison and consultation papers 
-	notification to complainant that matter is to be investigated
-	draft investigation report and recommendations 
-	complaint referrals 
-	remedial directions	Destroy 7 years after last action	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Reporting

The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns.

Entry	Description of Records	Disposal Action	
			
160.088.1
*160.088.1*
	Final version of internal formal reports and reports made to external agencies.	Retain as Territory Archives	
160.088.2
*160.088.2*	Final version of periodic internal reports used to monitor and document recurring activities. Includes the collection and reporting of statistical information, for e.g. system or network downtime and help desk statistics.
	Destroy 7 years after action completed	
160.088.3 *160.088.3*
	Working papers documenting the development of all reports. Includes drafts and comments received.	Destroy 2 years after action completed
	
160.088.4 *160.088.4*	Responses to surveys.	Destroy 2 years after action completed	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Reviewing

The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.

Entry	Description of Records	Disposal Action	
			
160.093.1
*160.093*
	Final report of review of agency programs and operations.	Retain as Territory Archives	
160.093.2 *160.093.2*	Records documenting testing activities and results. Includes: testing strategy, testing plan, result forms test report, etc.	Destroy 7 years after action completed
	
160.093.3
*1610.093.3*
	Certificates of compliance/completion.	Destroy 7 years after action completed
	
160.093.4 *160.093.4*
	Records documenting the development of methodologies for conducting reviews.	Destroy 7 years after action completed
	
160.093.5 *160.093.5*
	Records documenting post implementation reviews	Destroy 7 years after action completed
	
160.093.6 *160.093.6*	Working papers documenting the conduct of a review into programs and operations.	Destroy 2 years after action completed	

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Security

The activities associated with measures taken to protect people, premises, equipment or information from accidental or intentional damage or from unauthorised access. Includes the security classification of personnel and criminal record checks.

Entry	Description of Records	Disposal Action	
			
160.097.1
*160.097.1*	Records documenting the implementation of security arrangements. Includes authentication, encryption, reports on security leaks, investigation into alleged security breaches and referral of those breaches to law enforcement authorities.
	Destroy 7 years after action completed	
160.097.2
*160.097.2*	Records documenting the control of removable media in secure systems. Includes inventory of removable items, media musters and register of media import and export (e.g. floppy disks and the removal of hard disks).
	Destroy 7 years after action completed	
160.097.3
*160.097.3*	Records documenting the oversight of projects by a 'security accreditation authority' and appropriate certifying authorities. Includes appointment of members to the authorities.
	Destroy 7 years after action completed	
160.097.4 *160.097.4*	Requests for approval to connect equipment to agency networks, either on agency premises or via dial-up communications links.	Destroy 3 years after action completed	

 INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Tendering

The activities involved in receiving and assessing tenders, of making offers and finalizing contract arrangements for the supply, sale or purchase of goods and services.

Entry	Description of Records	Disposal Action	
			
160.104.1 *160.104.1*
	Signed contracts under seal resulting from tenders and supporting records.	Destroy 12 years after completion or other termination of contract
	
160.104.2
*160.104.2*	Records documenting the development and issue of tender documentation. Includes Statement of Requirements, Request for Proposals, Expression of Interest, Request for Tender (RFT) and draft contract.
	Destroy 7 years after tender process completed	
160.104.3 *160.104.3*	Evaluation of tenders received against selection criteria. Includes records documenting arrangements for carrying out the evaluation process, evaluation report, recommendations, final report and public notices.
	Destroy 7 years after tender process completed	
160.104.4 *160.104.4*
	Records documenting post-offer negotiations and due diligence checks.	Destroy 7 years after tender process completed
	
160.104.5 *160.104.5*
	Tender register.	Destroy 7 years after last entry	
160.104.6 *160.104.6*
	Signed simple contracts and agreements resulting from tenders and supporting records.	Destroy 7 years after completion or agreement or other termination of contract

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

… continued Tendering

The activities involved in receiving and assessing tenders, of making offers and finalizing contract arrangements for the supply, sale or purchase of goods and services.

Entry	Description of Records	Disposal Action	
			
160.104.7 *160.104.7*	Contract register.	Destroy 7 years after last entry
	
160.104.8 *160.104.8*	Records of unsuccessful tenders or a tender process where there is no suitable bidder, or where the tender process has been discontinued. Includes submissions, notification of outcome and reports on debriefing sessions.	Destroy 3 years after tender process completed or decision made not to continue with the tender	

CLASSES FOR RETENTION AS TERRITORY ARCHIVES

Classes for retention as Territory Archives

INFORMATION & COMMUNICATIONS TECHNOLOGIES

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Audit

The activities associated with officially checking financial, quality assurance and operational records to ensure they have been kept and maintained in accordance with agreed or legislated standards and correctly record the events, processes and business of the agency in a specified period.

Includes compliance audits, financial audits, operational audits, recordkeeping audits, skill audits, system audits and quality assurance audits.

Entry	Description of Records	Disposal Action	
			
160.013.1 *160.013.1*	Final report of an external audit (e.g. conducted by an external authority such as the ACT Auditor General's Office) where:
-	The audit report is qualified by the Auditor-General
-	There are major or significant changes to practices
-	Final report of an internal or external audit where:
o	The audit report has been accepted by the Auditor-General; and
o	There are no changes or only minor routine changes to practices. 
Includes recommendations and implementation plans.
	Retain as Territory Archives	

Authorisation

The process of delegating power to authorise an action and the seeking and granting permission to undertake a requested action.

Entry	Description of Records	Disposal Action	
160.014.1 *160.014.1*	Approvals and connection permits and registers.	Retain as Territory Archives

Classes for retention as Territory Archives

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.
Business continuity management

The activities of identifying potential threats to the agency and providing a disaster recovery framework to enable effective response to those threats that will enable the core business to continue or recover quickly in the event of a disaster.  Includes a disaster recovery policy and guidelines, the capability to quickly recover operations in the event of an ICT disaster and the continuing operation of business critical systems.

Use TARDiS INFORMATION AND COMMUNICATIONS TECHNOLOGIES – Security for Security of business critical systems. 

Entry	Description of Records	Disposal Action	
			
160.346.1 *160.346.1*	Business continuity strategies.  Including priority lists and resource recovery strategies.	Retain as Territory Archives

Committees

The activities associated with the managing of committees and task forces.  Includes the committee’s establishment, appointment of members, terms of reference, proceedings, minutes of meetings, reports, agenda etc.

Use TARDiS STRATEGIC MANAGEMENT – Committees for audit committees.

Entry	Description of Records	Disposal Action	
160.020.1 *160.020.1*	External committees formed to manage or advise.  Includes finals of documents:
•	Establishing the committee
•	Terms of reference
•	Appointment of members
•	Minutes
•	Reports 
•	Recommendations
Supporting documents such as briefing papers and discussion papers	Retain as Territory Archives

Classes for retention as Territory Archives

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Data archiving
The activities involved with transferring data held on agency information technology and communications infrastructure to another storage medium and/or backup facility.  Includes conversion, migration and reproduction activities.

Entry	Description of Records	Disposal Action	
			
160.347.1
*160.347.1*	Records documenting the archiving of records from electronic systems. Includes strategies for quality assurance checks to confirm accuracy of the migration and archiving process.	Retain as Territory Archives	

Classes for retention as Territory Archives

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Digital archive management

Activities associated with the management of digital archive records including: metadata, preservation, conservation, migration, import and export, system rollbacks and retrieval processes.

Entry	Description of Records	Disposal Action	
			
160.348.01 *160.348.01*	Records documenting the management of export of archived websites.
	Retain as Territory Archives	
160.348.02
*1.348.02*	Records documenting the management of retrieval processes of archived websites.
	Retain as Territory Archives	
160.348.03 *160.348.03*
	Records documenting the management of snapshots.	Retain as Territory Archives	
160.348.04 *160.348.04*
	Records documenting the management of contextual metadata relating to websites.	Retain as Territory Archives	
160.348.05 *160.348.05*
	Records documenting the content management system.	Retain as Territory Archives	
160.348.06
*160.348.06*
	Records documenting the management of preservation and conservation procedures for archived websites.	Retain as Territory Archives	
160.348.07 *160.348.07*
	Records documenting the management of migration of archived websites.	Retain as Territory Archives	

Classes for retention as Territory Archives

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Evaluation

The process of determining the suitability of potential or existing programs, items of equipment, systems or services in relation to meeting the needs of the given situation. Includes systems analysis and ongoing monitoring.

Entry	Description of Records	Disposal Action	
			
160.042.1 *160.042.1*	External and internal reports evaluating the Information and Communications Technologies function.
	Retain as Territory Archives	

Implementation

The activities associated with carrying out or putting into action, plans, policies, procedures or instructions, all of which could be internally or externally driven. Includes manual or automated databases, applications or systems, but excludes installation of equipment. Also includes monitoring to ensure the implementation goes according to schedule and that standards are met and includes first aid treatment.

Use Installation for installing equipment.

Entry	Description of Records	Disposal Action	
			
160.053.1
*160.053.1*	Records documenting the implementation of plans, policies, strategies, procedures and instructions. Includes monitoring implementation activities (e.g. regular backups) and the introduction of new equipment and software to a wide audience.	Retain as Territory Archives	

Classes for retention as Territory Archives

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Information architecture development

The activities involved in designing the fundamental organization of a system embodied by all of its components, hardware, middleware and software, their relationships to each other and to the environment and the principles guiding its design and evolution.

Entry	Description of Records	Disposal Action	
			
160.351.1 *160.351.1*	Records documenting the reference architecture of a high-level system design free of implementation details.	Retain as Territory Archives	

Modelling

The processes involved in designing, testing and evaluating sample model profiles of systems under analysis.

Entry	Description of Records	Disposal Action	
			
160.074.1 *160.074.1*	Accepted version of implemented model.	Retain as Territory Archives

Planning

The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs.

Entry	Description of Records	Disposal Action	
			
160.079.1
*160.079.1*	Final version of major plans. Includes: System security plan, Information system security plan, Business continuity plan, Forensic plan, Information technology strategic management plan, Access control plans, Counter-disaster plans relating to information and communications technology, telecommunications plan.	Retain as Territory Archives	

Classes for retention as Territory Archives

INFORMATION & COMMUNICATIONS TECHNOLOGY

The function of managing the planning, provision, development or acquisition of information and communication technologies including:
·	Specifying, developing, testing and implementing applications systems and databases to support business needs;
·	Enterprise licensing for whole-of-government software;
·	Provision of data centres, end user equipment and telecommunications networks; and
·	Maintenance of software libraries.

Policy

The activities associated with setting and review of license, lease, connection and other fees.  Includes revenue forecasts, monitoring outcomes and statistical analysis of trends.

Entry	Description of Records	Disposal Action	
			
160.080.1 *160.080.1*
	Final version of policies	Retain as Territory Archives	

Reporting

The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns.

Entry	Description of Records	Disposal Action	
			
160.088.1
*160.088.1*
	Final version of internal formal reports and reports made to external agencies.	Retain as Territory Archives	
Reviewing

The activities involved in re-evaluating or re-examining products, processes, procedures, standards and systems. Includes recommendations and advice resulting from these activities.

Entry	Description of Records	Disposal Action	
			
160.093.1
*160.093.1*
	Final report of review of agency programs and operations.	Retain as Territory Archives