Access Standard

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Issued Under Public Records Act 2005, Section 27
Scope: Archives New Zealand, Approved Repositories and Local Authorities
Status: Discretionary Best Practise Standard
 

Standard for provision of access to public archives controlled by Archives New Zealand and to local authority archives

This standard sets out legislative requirements and guidance on best practise for the provision of acces to public archives and local authorities
 
Dianne Macaskill signature

Standard issued by Dianne Macaskill, Chief Executive and Chief Archivist
2 August 2006

 

Contents

Acknowledgements
 
1. Introduction
1.1. Purpose
1.2. Scope
1.3. Access to Public Records held under Deferred Transfer Agreements
1.4. Audience
1.5. Structure
 
2. Responsibilities
2.1. Legislative Framework for Access to Public Records
2.2. Access Under The Public Records Act
 
3. Summary of Principles
 
4. Principles
4.1. Right of Access
4.2. Partnership with Users
4.3. Access Channels
4.4. Documentation and Promotion
4.5. Access Facilities
4.6. Service Quality
4.7. Copying and Use
4.8. Protection of Records
4.9. Restricted Records
 
5. Checklist of Minimum Requirements
 
6. Appendix
6.1. Extracts from the Public Records Act 2005
6.2. Extract from the Official Information Act 1982
 
7. Further Guidance
7.1. Legislative Framework for Access to Public Records
7.2. Legislative Framework for Access to Public Authority Records
7.3. Reading List
7.3.1 Recommended Reading for Access Providers
7.3.2 Recommended Reading for Users
7.4. Advice
 

Acknowledgements

This Standard was originally issued in 2001. Development of this Standard was co-ordinated by Evelyn Wareham, Senior Archives Analyst, in the Statutory Regulatory Group, Archives New Zealand. The Standard was developed with the advice and guidance of a working party, comprising:

The Chief Archivist acknowledges the advice and guidance of the working party members, which has been central to the development of this Standard.
 
The provisions in the Standard draw on New Zealand archival practice, international professional literature and various institutional standards and policies. In particular, the Standard draws on Michel Duchein's Obstacles to the Access, Use and Transfer of Information from Archives: RAMP Study (Paris, 1983); the Historic Manuscripts Commission, Standard for Records Repositories (London, 1997); the draft United Kingdom National Standard for Access to Archives (London, 1999); and the Archives and Records Association of New Zealand Policy on Access to Archives (1991).
 
The Standard was revised in 2006 to take account of the Public Records Act 2005, and reissued as a discretionary standard.
 
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1. Introduction

This Standard sets out principles and requirements for provision of access to public archives – that is, public records under the control of the Chief Archivist – and to local authority archives. It is a recommended code of best practice developed by Archives New Zealand to ensure consistently high standards for provision of access, and to support the protection of records through control of access. The Standard aims to guide interpretation of regulatory requirements, and to promote professional best practice.
 
In provision of access to records, it is necessary to balance the interests of users in access to information with the need to protect records to ensure their ongoing preservation. Access providers must also uphold legal and other requirements by withholding access to certain records. Decisions on access should be a result of balancing these interests.
 
Advice on implementation of this Standard is available from Archives New Zealand.

1.1. Purpose

Access to government archives aims to support:

The principle that government information should be made available unless there is good reason to withhold it is stated in the Official Information Act 1982, the Local Government Official Information and Meetings Act 1987, and in the Public Records Act 2005
 
The Access Standard is the Chief Archivist's guidance as to how provisions in the Public Records Act relating to access should be supported in practice. It furthers Archives New Zealand's strategic goals of improving access to the record of government, and of setting and maintaining high quality standards.

1.2. Scope

The Standard applies to 'archival access', that is access to public archives and local authority archives. Public archives are public records which are no longer held by a public office, and have been transferred to the control of the Chief Archivist. Local authority archives are local authority records which have been in existence for 25 years, or are no longer in current use by the local authority.
 
The Public Records Act provides for these archives to be made available to the public, unless they are classified as 'restricted access' records.
 
The Standard is intended to apply to records in all media without exception. It encompasses various means of accessing records, whether on-site or online.
 
The Standard applies to:

The Standard does not apply to:

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1.3. Access to Public Records Held Under Deferred Transfer Agreements

Public records which are more than 25 years old will normally be held by Archives New Zealand. However, public offices may hold public records which are more than 25 years old under an agreement to defer transfer. These records must be classified as 'open access' or 'restricted access'. If classified as open access records, these records must be available for inspection free of charge. If these records are restricted, access conditions or restrictions must be specified and entered in Archives New Zealand's public access register.

1.4. Audience

The Access Standard is aimed at those responsible for providing access to public archives and local authority archives. Management and access service staff in the organisations covered in the above scope will be responsible for upholding particular requirements of the Standard.
 
The Standard outlines the rights, responsibilities and needs of all groups regarding access. In particular it aims to provide for Māori interests and cultural practice, given the Public Records Act's support for the spirit of partnership and goodwill envisaged by the Treaty of Waitangi. It should be of assistance to users of records who want to understand the underlying principles and requirements governing archival access.

1.5. Structure

The Standard is structured around principles that should be taken into account for the provision of archival access to records. Each principle comprises:

A summary of the principles is given in section three.
 
The minimum requirements for each principle are brought together as a checklist in section five, to provide a simple mechanism for measuring compliance with the minimal provisions of the Standard.
 
In most instances, the principles in this Standard are at a high level of generality, in order to allow flexibility for implementation in different situations. Additional guidance is provided through recommendations for further reading in section seven. It is expected that the Standard will be supported with more detailed guidance on key issues through supplementary tools.
 
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2. Responsibilities

This Standard is issued by the Chief Archivist to support the implementation of requirements in the Public Records Act relating to access to archives. Archives New Zealand, public offices, local authorities and accountability offices, such as the Privacy Commissioner, all have different responsibilities regarding access to archives.
 
This Standard does not in any way derogate from obligations and entitlements under other statutes and Government policies.
 
Public offices' responsibilities regarding access are outlined in:

Both enjoin state sector agencies to make information available easily, widely and equitably to the people of New Zealand (except where legal reasons preclude this availability).

2.1. Legislative Framework for Access to Public Records

Statutes that provide frameworks and mechanisms for access to central government records include the Official Information Act 1982, Privacy Act 1993 and Public Records Act 2005, as well as numerous statutes applying access provisions to specific categories of records (for example, the Land Transfer Act 1952, Births, Deaths and Marriages Registration Act 1995, Tax Administration Act 1994 and Public Finance Act 1989).
 
Statutes that provide frameworks and mechanisms for access to local government records include the Local Government Official Information and Meetings Act 1987, Privacy Act 1993 and Public Records Act 2005, as well as numerous statutes applying access provisions to specific categories of records (for example, the Building Act 2004 and the Resource Management Act 1991).
 
The charts provided in section seven illustrate, for users seeking access to records, the relationships between these frameworks.

2.2. Access under the Public Records Act

This standard applies to all public archives and local authority archives, regardless of location (refer to section 1.2 Scope).
 
When public or local authority archives are classified for access the administrative head of the controlling public office or local authority must consider whether there are good reasons to restrict public access to the record and whether another enactment requires the record to be withheld from public access. Guidance on implementing provisions in the Public Records Act for setting access conditions is provided in the Archives New Zealand Continuum publication Making Access Decisions Under the Public Records Act
 
The Public Records Act also contains the following sections relating to access, copying, publication and copyright.1

S43 - Requirement to classify access status
S44 - Basis for determining access status
S45 - Requirement to classify access status of local authority records
S46 - Basis for determining access status of local authority records
S47 - Public inspection of open access records
S48 - Publication or copying of public archives
S49 - Prohibition on public access or copying
S50 - Period for which restricted access may apply
S57 - Application of Copyright Act 1994
S58 - Application of Official Information Act 1982
S59 - Charges for services.
 
1. The full text of these sections can be found in the appendix.
 
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3. Summary of Principles

Provisions for Access

 
1. Right of Access
Access to open access records should be provided equitably, without obstruction and without fees or charges for basic access services.
 
2. Partnership with Users
Access should be a partnership between access providers and all users of the records, and access providers should develop effective partnerships with Māori.
 
3. Access Channels
Various channels for providing access to records should be provided in order to open records to a range of users.
 
4. Documentation and Promotion
Documentation describing records should be produced in a timely manner and made widely available. Access providers should actively promote use of records.
 
5. Access Facilities
The physical and technical environment for access should be appropriate to the nature of the records and the number and needs of users.
 
6. Service Quality
Access should be provided efficiently and meet specified standards for quality of service.
 
7. Reproduction and Use
Services should be available for copying of records, in accordance with legal obligations and conditions of access.

 

Controls on Access

 
8. Protection of Records
Procedures and physical measures should protect records from unauthorised access, destruction, alteration and removal.
 
9. Restricted Records and Special Access
The access provider should clearly distinguish, for users, which records are open access and which are restricted access. Users should be informed of processes for access to restricted access records.
 
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4. Principles

Provisions for Access

Records should be useable: records should be identifiable, retrievable, accessible and available when needed.

4.1. Right of Access

Access to open access records should be provided equitably, without obstruction and without fees or charges for basic access services.
 
In principle, people have a right to access records, unless there is good reason to withhold them. (For information on access to restricted records see section 4.9.)
 
Access providers should make open access records available in a manner that aims to be equitable for all users, regardless of their nationality, background, age, qualifications or research interests. Access formalities should be kept as simple as possible while ensuring protection of records from unauthorised access, destruction, alteration or removal.
 
Under s47 of the Public Records Act 2005, open access records must be made available for inspection by members of the public free of charge. This means that basic access services should be provided without the levy of any fees or charges. Basic services include the registration of users, availability of finding aids, provision of facilities or channels to enable records to be viewed, and advice on the location and availability of specified records and use of finding aids.
 
Users should be aware of and respect the policies and rules of the institution providing access, and know their responsibilities in helping to ensure the protection of records. New users should provide evidence of their identity, and sign an undertaking to comply with use conditions and access rules. Where users do not comply with access rules, their access rights may be suspended.
 
Minimum Requirements

  1. 'Provision of service is consistently applied to all users.
  2. Basic access services are provided without any fees or charges.
  3. Users are made aware of their access rights and their responsibility to comply with the policies and rules of the access provider.
     

4.2. Partnership with Users

Access should be a partnership between access providers and all users of the records, and access providers should develop effective partnerships with Māori.
 
Accessing records is a collaborative task between those who care for the records and those who are interested in using them. This partnership should be taken into consideration in the development of access policies and practices, to ensure that they aim to meet the expectations and needs of both custodians and users.
 
The diversity and knowledge of the user community should be recognised, welcomed and respected by access providers. Access providers should encourage and be responsive to different groups, especially those that are under-represented as users of records due to social, language or other barriers. They should regularly examine the interests and needs of potential and existing user groups, and ensure their policies and services are adjusted regularly to best suit all users. Groups that are not active or regular users of the service may be targeted in communication and marketing strategies. For example, Pacific people could be targeted through exhibitions of records relating to Pacific history, indexes to Pacific sources, or research guides on subject areas of interest to specific Pacific communities.
 
Access providers should demonstrate a commitment to responsibilities under the Treaty of Waitangi. They should seek to work in partnership with Māori to improve services for Māori users, and encourage use of relevant records. Access service staff should be familiar with Māori protocol and tikanga2 and te reo Māori3.
 
Minimum Requirements

  1. Users' interests and needs are analysed at regular intervals, and policies and practices adjusted accordingly.
  2. Access policies demonstrate commitment to the Treaty of Waitangi.
  3. Access service staff are familiar with Māori protocol and tikangi and te reo Māori.

2 Māori customary ways of doing things.
3 Māori language.
 

4.3. Access Channels

Various channels for providing access to records should be provided in order to open records to a range of users.
 
Access to records can be provided through a variety of access channels, such as reading room access, written reference services, publication of records, online access to digitised images of records, and online access to electronic records. Access providers should consider use of varied channels in order to respond to the needs and expectations of potential and existing users.
 
Onsite access to physical records should be facilitated through provision of a separate, purpose-designed study area, or reading room, which enables users to identify and view records in comfortable, monitored surroundings.
 
Remote access is a means to facilitate access to records by a range of users, and to reduce the impediment location poses to use of records. Services should be made available to provide remote access to records, whether through written enquiries, provision of copies of records or online electronic access.
 
The development of information and communication technologies, and especially the Internet, enables records to be made available to more users, at times and in places that suit them. For online access to records, the physical location of records may be less important than the facilitation of 'access pathways' by access providers. Access providers may become responsible for Internet portals providing indexes and guides to online government information resources, or provide Internet access to digital copies of physical records they control. Users' expectations for remote access, and especially for electronic service delivery, are high. It should be recognised that resource constraints will limit the ability of access providers to meet the expectations and needs of users, now and in the future. Nevertheless, it should be a goal to further develop online access to make records more widely available.
 
Online access to records supports e-government goals, and should be delivered in accordance with e-government web guidelines and standards.
 
Minimum Requirements

  1. A designated study area is provided for consultation of records onsite.
  2. Remote access services are available.
  3. Online access channels are planned and implemented as resources allow.
     

4.4. Documentation and Promotion

Documentation describing records should be produced in a timely manner and made widely available. Access providers should actively promote use of records.
 
In order to use records, people need to know that the records exist and are available for consultation, and to be aware of the functions and services of the institutions that provide access to records.
 
Documentation
 
It is essential that records be documented in accurate finding aids. Finding aids should be accurate and easy to use. Documentation for newly received records should be produced in a timely manner to ensure prompt availability to the public.
 
Finding aids should be made as widely available as possible. Ideally, access providers should publish finding aids, in paper form or electronically through the Internet.
 
Full finding aids can generally be made publicly available, even where the records documented are withheld from access. However, in a small number of cases, item level finding aids need to be withheld from the public due to national security, or because they contain name identified personal information that could cause harm to individuals. An edited (or 'redacted') version of the finding aid should be made available in these cases, if possible.
 
For electronic records, information discovery is facilitated through descriptive information in the form of metadata. This should be applied consistently and conform to the New Zealand Government Locator Service metadata standard.
 
Promotion
 
The access provider should actively pursue communications and marketing strategies to raise awareness about the availability of the access service and the potential uses of records. Publicity can take varying forms, including press releases, advertising or newsletters. Access providers may also develop exhibitions or compile research guides to promote records relating to a topic, subject, period or geographical area of potential research interest.
 
Minimum Requirements

  1. Accurate and easy to use finding aids for newly received records are produced in a timely manner.
  2. Finding aids are made widely available (with sensitive information removed where necessary).
  3. The access service and use of records are actively promoted to potential users.
     

4.5. Access Facilities

The physical and technical environment for access should be appropriate to the nature of the records and the number and needs of users.
 
Facilities for access should enable easy and effective use of records, and provide sufficient capacity to meet access aims.
 
The required capacity for an access provider will vary according to the number of users. For onsite access, users' needs and expectations should be considered when determining levels of seating capacity and desk space, ports for equipment, retrieval times, and opening hours. For remote access, a site or service should have capacity to respond to demand as far as possible within resource limitations.
 
Design of facilities should be responsive to users' needs and as welcoming as possible while ensuring safe custody and preservation of records. For example, bilingual signage in Māori and English should be provided in public areas or on web sites. Where users require them, group workspaces should be provided for collaborative research. Onsite access facilities should be located where they are most accessible to the majority of potential users.
 
Facilities should suit the records held. For onsite access, sufficient physical and technical equipment should be available to enable easy and safe use of records, in accordance with Occupational Safety and Health (OSH) guidelines. For example, if maps or large volumes are held, special facilities should be provided for viewing large formats. If film or electronic records are made available onsite, the necessary equipment should be available and maintained in good working order. Where equipment is not available, alternative means of access must be provided.
 
Physical access facilities should provide for the health and safety of the public, and meet standards for the special needs of disabled users such as NZS 4121:2001 Design for access and mobility: Buildings and associated facilities. Online access should be designed with user experience as a central consideration. Regard should also be given to conformity with State Services Commission web guidelines and also international guidelines such as the Web Standards promoted by the World Wide Web Consortium (W3C), including the Web Accessibility Initiative (WAI) specifically aimed at web users with disabilities.
 
Minimum Requirements

  1. The capacity and design of access facilities is appropriate to users' needs.
  2. Sufficient physical and technical equipment are available to enable easy and safe access to all types of records held.
  3. Facilities comply with requirements for Occupational Safety and Health.
  4. Disabled access for physical facilities and online services meet accepted standards.
     

4.6. Service Quality

Access should be provided efficiently and meet specified standards for quality of service.
 
Archival access to government records is a service to users, which should be designed to meet recognised standards for quality of service, such as ISO 9004:2000 Quality Management Systems – Guidelines for Performance Improvement and AS/NZS 3906:1994, Quality of Service – Guide to Customer Expectations. Principles of quality service include: open communication; consultation and responsiveness; equity and consistency of treatment; effective use of resources; involvement of people; and innovation and improvement. The service provider should define objectives, plan how to achieve them, and put systems in place to monitor performance against these plans. Service processes and standards should be clearly explained and readily intelligible to the user. Defined standards should be established for all services provided.
 
Users should be informed of the services available, and the standards of service they can expect. Users' right of redress where services do not meet specified standards should be facilitated through systems to express concerns about the service. The access provider should have processes in place to address these concerns within specified time frames.
 
The service should be provided by staff members who are fully trained for their jobs and familiar with the holdings, or who are supervised trainees.
 
The access provider should aim to serve its stakeholders and community as effectively and efficiently as possible. Access should be managed so as to provide best value for money for stakeholders. Where charges are applied for non-basic services, such as research services, these should accord with the Policy Framework for Government-held Information (1997) and with the Treasury's Guidelines for Setting Charges in the Public Sector. For public archives held by Archives New Zealand, s59 of the Public Records Act 2005 requires such charges to be reasonable and based on the actual costs of providing the services.
 
Minimum Requirements

  1. Defined standards are established and made known for services provided.
  2. Users are informed of their rights of redress and the processes in place for redress.
  3. Staff providing access are fully trained for their jobs, or supervised trainees. 

4.7. Copying and Use

Services should be available for copying of records, in accordance with legal obligations and conditions of access.
 
The access provider should ensure services are available for making reprographic or other copies of records for users, and for authenticating copies for legal purposes where required.
 
Users should be made aware of the necessity to comply with the provisions of relevant legislation and access conditions when using information from records. In particular, the Copyright Act 1994 applies to many records. The Public Records Act does not affect the application of the Copyright Act.
 
The Crown holds copyright for 100 years in many of the government records deposited at Archives New Zealand. Crown copyright in these records is generally administered by Archives New Zealand.
 
In considering copyright requirements, the access provider and user should ask: Does the record qualify for copyright? Does the copyright still exist? Who is the owner of the copyright? Is copying allowable? Material subject to copyright may be copied only for the purposes permitted under the Copyright Act; otherwise permission from the copyright holder needs to be obtained.
 
Section 55 of the Copyright Act allows an archive to make a copy for preservation purposes, where it is not practicable to purchase a replacement copy. Section 56 of the Act allows a copy to be provided for personal research or study, provided the copyright holder has not prohibited this.
 
Where records are used in a publication, the author must acknowledge the source of the information, in accordance with citation guidelines issued by the access provider. In addition to any copyright responsibilities, the authorisation of the Chief Archivist is required for the publication of a public archive that is an open access record.
 
The access provider should ensure that reprographic processes are carefully controlled to protect records from damage. Reprographic copying should not be undertaken where it will impair proper preservation of records.
 
Minimum Requirements

  1. Users are made aware of their obligation to comply with copyright legislation, other relevant legislation and access conditions when using information drawn from records.
  2. Citation guidelines and processes for permission to publish information from records are communicated to users.
  3. Reprographic processes are controlled to minimise damage to records, and are not undertaken where preservation will be impaired.

4.8. Protection of Records

Procedures and physical measures should protect records from unauthorised access, destruction, alteration and removal.
 
Because records are unique and valuable sources of information, use conditions should be in place to protect them from unauthorised access, destruction, alteration and removal, so that they continue to be available for future generations. This is achieved by ensuring records are used responsibly, by retaining records in secure custody, and by withholding access to very fragile originals.
 
Measures should be taken to minimise the possibility of removal or irreversible alteration to records, and to reduce wear and tear through use of records. For example, where access to original records is provided in a designated study area, formal rules should govern users' behaviour and facilities and work practices should enable constant professional supervision of users. Guidelines should be issued to ensure users and staff handle records with care, and procedures should be in place to limit the quantity of records in use at one time.
 
Records custody arrangements should be secure, in accordance with Archives New Zealand's Storage Standard and the Security in the Government Sector manual. For security purposes, tracking systems should document which user accesses which records. For online access to electronic records, robust security mechanisms should be in place to prevent alteration, removal or unauthorised access. Original records should not be loaned out of secure custody, other than for administrative use by the controlling public office or local authority, court evidence, or exhibition purposes. Where records are released for these purposes, requirements for their protection during the period of the loan should be clearly stated and supported through monitoring (refer to s24 Public Records Act 2005).
 
A record can be withheld from public access if this is necessary to ensure its safe preservation. Where this occurs, a copy of the record should be made, if it is practicable to do so without detriment to the preservation of the original. This copy will then be available for public access (subject to any access conditions). Copying can also be used as a general strategy to protect records from deterioration by reducing use.
 
For public archives, any prohibition on access must be noted in the public access register maintained by Archives New Zealand.
 
Minimum Requirements

  1. Reading room rules and handling guidelines are clearly communicated to users.
  2. Records are not loaned out of secure custody, other than for use by the depositing agency, court evidence, or exhibition.
  3. Requirements for protection of loaned records are clearly stated and supported.
  4. Restrictions are in place where necessary to ensure the preservation of fragile records.
  5. For public archives, any prohibition on access is noted in the public access register. 

4.9. Restricted Records

The access provider should clearly distinguish, for users, which records are open access and which are restricted access. Users should be informed of processes for access to restricted access records.
 
Government aims for as much openness as possible in access to records, but it must also withhold access to some records, for various reasons. Release of certain information may adversely affect a person's privacy, threaten national security, or prejudice commercial confidentiality or other public interests. Agreements with Māori and others regarding supply of information to government should also be taken into account. Access to some information is subject to fees prescribed in legislation, and associated records may need to be restricted.
 
For all records held in archival custody, processes should be in place to identify which records are open access and which records have restricted access. Under the Public Records Act 2005, public offices and local authorities are required to classify the access status of all records when they become archives, or when they are 25 years old, whichever is earlier. For public records, any restrictions must be noted in the public access register held by Archives New Zealand.
 
Access conditions under the Public Records Act 2005should as far as possible be consistent with criteria in the Official Information Act 1982, Local Government Official Information and Meetings Act 1987, Privacy Act 1993 and other relevant legislation which establish a balance between openness and necessary security. Restrictions should be imposed sparingly. Because sensitivities diminish over time, under the Public Records Act no record can be restricted from public access in perpetuity.
 
Public offices, local authorities or other depositors are responsible for determining access conditions when archives are classified for access status. For guidance on setting these access conditions see the Archives New Zealand Continuum publication Making Access Decisions Under the Public Records Act.
 
The access provider should communicate any access conditions placed on records to users, and support their implementation by preventing unauthorised access. The reasons for restriction, expiry or review date, agency responsible for access requests, and any use conditions should be clearly stated for potential users in access conditions.
 
Access to Restricted Records
 
Users may be permitted to access restricted records. For public archives, this access will usually be through the public office which formerly controlled the record. For local authority archives, the local authority will control access. Consistent processes and clear responsibility for considering requests for special permission to access restricted records should be in place. Individuals might be granted access to restricted records because the public benefit of their research outweighs restriction criteria, or because the records concern the individual and they are entitled to access under the Privacy Act 1993. All requests for access should be considered in accordance with applicable legislation and access conditions.
 
Where records have been classified as restricted records, the public office or local authority is responsible for dealing with requests for official information under the Official Information Act 1982 or Local Government Official Information and Meetings Act 1987 and requests for personal information under the Privacy Act 1993.
 
Minimum Requirements

  1. All public archives and local authority archives are classified as open access or restricted access.
  2. Restrictions on access to public archives are noted in the public access register held by Archives New Zealand.
  3. The access provider communicates access conditions to users, and prevents unauthorised access to restricted records.
  4. Access conditions clearly state the reasons for restriction, expiry or review date, agency responsible for access requests, and any use conditions.
  5. Processes for requesting access to restricted records are communicated to users.

 
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5. Checklist of Minimum Requirements

 

  Provision for Access Yes Partly No
1 Right of Access      
1.1 Provision of service is consistently applied to all users.      
1.2 Basic access services are provided without any fees or charges.      
1.3 Users are made aware of their access rights and their responsibility to comply with the policies and rules of the access provider.      
Comments     
 
2 Partnership With Users      
2.1 Users' interests and needs are analysed at regular intervals, and policies and practices adjusted accordingly.      
2.2 Access policies demonstrate commitment to the Treaty of Waitangi.      
2.3 Access service staff are familiar with Māori protocol and tikanga and te reo Māori.      
Comments     
 
3 Access Channels      
3.1 A designated study area is provided for consultation of records onsite.      
3.2 Remote access services are available.      
3.3 Online access channels are planned and implemented as resources allow.      
Comments     
 
4 Documentation and Promotion      
4.1 Accurate and easy to use finding aids for newly received records are produced in a timely manner.      
4.2 Finding aids are made widely available (with sensitive information removed where necessary).      
4.3 The access service and use of records are actively promoted to potential users.      
Comments     
 
5 Access Facilities      
5.1 The capacity and design of access facilities is appropriate to users' needs.      
5.2 Sufficient physical and technical equipment are available to enable easy and safe access to all types of records held.      
5.3 Facilities comply with requirements for Occupational Safety and Health.      
5.4 Disabled access for physical facilities and online services meet accepted standards.      
Comments     
 
6 Service Quality      
6.1 Defined standards are established and made known for services provided.      
6.2 Users are informed of their rights of redress and the processes in place for redress.      
6.3 Staff providing access are fully trained for their jobs, or supervised trainees.      
Comments     
 
7 Copying and Use      
7.1 Users are made aware of their obligation to comply with copyright legislation, other relevant legislation and access conditions when using information drawn from records.      
7.2 Citation guidelines and processes for permission to publish information from records are communicated to users.      
7.3 Reprographic processes are controlled to minimise damage to records, and are not undertaken where preservation will be impaired.      
Comments     
 
8 Protection of Records      
8.1 Reading room rules and handling guidelines are clearly communicated to users.      
8.2 Records are not loaned out of secure custody, other than for use by the depositing agency, court evidence, or exhibition.      
8.3 Requirements for protection of loaned records are clearly stated and supported.      
8.4 Restrictions are in place where necessary to ensure the preservation of fragile records.      
8.5 For public archives, any prohibition on access is noted in the public access register.      
Comments     
 
9 Restricted Records      
9.1 All public archives and local authority archives are classified as open access or restricted access.      
9.2 Restrictions on access to public archives are noted in the public access register held by Archives New Zealand.      
9.3 The access provider communicates access conditions to users, and prevents unauthorised access to restricted records.      
9.4 Access conditions clearly state the reasons for restriction, expiry or review date, agency responsible for access requests, and any use conditions.      
9.5 Processes for requesting access to restricted records are communicated to users.      
Comments     
 

 
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6. Appendix

6.1. Extracts from the Public Records Act 2005

 
s43. Requirement to classify access status—
 
1. When public records have been in existence for 25 years or are about to be transferred to the control of the Chief Archivist under section 21, the administrative head of the controlling public office must, in accordance with section 44, classify the records as either–
 
    a. an open access record; or
 
    b. restricted access records.

2. The administrative head of a controlling public office may, at any time, change the classification of a public record, in accordance with section 44.
 
s44. Basis for determining access status—
 
1. In classifying the access status of a public record under section 43, the administrative head of the controlling public office must consider whether-
 
    a. there are good reasons to restrict public access to the public record, having regard to any relevant standard or advice issued by the Chief Archivist; or
 
    b. another enactment requires the public record to be withheld from public access.

2. If there are no good reasons to restrict public access under subsection (1)(a), or if no enactment requires a public record to be withheld from public access, the administrative head of the controlling public office must classify the record as an open access record.

3. If there are good reasons for restricting public access under subsection (1)(a), or if another enactment requires a public record to be withheld from public access, the administrative head of the controlling public office must, in consultation with the Chief Archivist,-
    a. determine whether it is necessary–
 
        i. to restrict public access to the public record for a specified period of time; or
 
        ii. to permit public access on conditions; and
 
    b. if paragraph (a)(ii) applies, determine the conditions appropriate for public access.
 
4. The administrative head of a controlling public office may at any time, in consultation with the Chief Archivist, vary or withdraw a condition imposed under subsection (3)(b).

5. A public record subject to a restriction under subsection (3)(a)(i) becomes an open access record on the withdrawal of the restriction.

6. Archives New Zealand and the Chief Archivist must comply with conditions of public access imposed under subsection (3)(b).

7. A restriction on public access to a public record must be noted in the public access register, in accordance with section 19(1)(d).

8. Every controlling public office is responsible for dealing with requests for official information under the Official Information Act 1982 and requests for personal information under the Privacy Act 1993.
 
s45. Requirement to classify access status of local authority records
 
1. When a local authority record becomes a local authority archive, the administrative head of the controlling local authority must, in accordance with section 46, classify it as either–
 
    a. open access record; or
 
    b. a restricted access record

2. The administrative head of a controlling local authority may, at any time, change the classification of a local authority record in accordance with section 46.
 
s46. Basis for determining access status of local authority records
 
1. In classifying the access status of a local authority record under section 45, the administrative head of the controlling local authority must consider whether-
 
    a. there are good reasons to restrict public access to the local authority record, having regard to any relevant standard or advice issued by the Chief Archivist; or
 
    b. another enactment requires the local authority record to be withheld from public access.

2. If there are no good reasons to restrict public access under subsection (1)(a), or if no enactment requires a local authority record to be withheld from public access, the administrative head of the controlling public office must classify the record as an open access record.

3. However, if there are good reasons to restrict public access under subsection (1)(a), or if another enactment requires a local authority record to be withheld from public access, the administrative head of the controlling local authority must, having regard to any relevant standard or advice issued by the Chief Archivist,–

     a. determine whether it is necessary–

         i. to restrict public access to the local authority record for a specified period of time (which must not be for a period greater than 25 years); or

         ii. to permit public access on conditions; and

     b. if paragraph (a)(ii) applies, determine the conditions appropriate for public access.

4. Despite subsection (3)(a)(i), the administrative head of the controlling local authority may, if there is good reason to do so, restrict public access to the local authority record for 1 or more further specified periods not exceeding 25 years for each further period.

5. At any time, the administrative head of the controlling local authority, having regard to any relevant standard or advice issued by the Chief Archivist, may vary or withdraw a condition imposed under subsection (3)(b).

6. A local authority record subject to a restriction under subsection (3)(a)(i) becomes an open access record on the withdrawal of the restriction.
 
s47. Public inspection of open access records
 
Unless this Act provides otherwise, an open access record must be made available for inspection by members of the public free of charge as soon as is reasonably practicable after a request to inspect the record is made to the public office, the local authority, the approved repository, or Archives New Zealand, whichever has possession of the open access record.
 
s48. Publication or copying of public archives
 
The Chief Archivist may give written authority, on any conditions that the Chief Archivist thinks appropriate, for the publication or copying of a public archive that is an open access record.
 
s49. Prohibition on public access or copying
 
1. The Chief Archivist may prohibit the public from accessing or copying a public archive or protected record in his or her control for any period that he or she thinks necessary-

     a. in the interest of preserving the public archive or protected record; or

     b. pending the classification, repair, or other treatment of the public archive or protected record.

2. A prohibition on public access must be noted in the public access register, in accordance with section 19(1)(d).

3. The administrative head of a local authority may prohibit the public from accessing or copying a local authority archive for any period that he or she thinks necessary-

     a. in the interest of preserving the local authority archive; or

     b. pending the classification, repair, or other treatment of the local authority archive.
 
s50. Period for which restricted access may apply
 
The period of time for which public access to a public record may be restricted under section 44(3)(a)(i), may–
 
    a. on the written request of the Chief Archivist, be reviewed after the expiry of 10 years from the date that the restriction is recorded in the public access register; and

     b. before its expiry, be extended for further periods as specified by the administrative head of the controlling public office.
 
s57. Application of Copyright Act 1994
 
This Act does not limit the Copyright Act 1994.
 
s58. Application of Official Information Act 1982
 
To avoid doubt, public records transferred under this Act to the possession of Archives New Zealand or an approved repository are not subject to the Official Information Act 1982 just because they have been so transferred.
 
s59. Charges for services
 
1. The Chief Archivist may charge for research, copying, or other services provided in relation to a request for access to a public archive.

2. Charges made under subsection (1) must be reasonable, having regard to the labour and materials involved in undertaking the service.
 

6.2. Extracts from the Official Information Act 1982

 
4. Purposes—
 
The purposes of this Act are, consistently with the principle of the Executive Government's responsibility to Parliament,—
 
1. To increase progressively the availability of official information to the people of New Zealand in order—

         a. To enable their more effective participation in the making and administration of laws and policies; and

         b. To promote the accountability of Ministers of the Crown and officials,—
 
         and thereby to enhance respect for the law and to promote the good government of New Zealand:

2. To provide for proper access by each person to official information relating to that person:

3. To protect official information to the extent consistent with the public interest and the preservation of personal privacy.

5. Principle of availability—
 
The question whether any official information is to be made available, where that question arises under this Act, shall be determined, except where this Act otherwise expressly requires, in accordance with the purposes of this Act and the principle that the information shall be made available unless there is good reason for withholding it.
 
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7. Further Guidance

7.1. Legislative Framework for Access to Public Records

The following chart illustrates the general legislative framework within which users apply for access to public records. It is not intended as authoritative guidance.
 
The following chart illustrates the general legislative framework within which users apply for access to public records. It is not intended as authoritative guidance.
 

7.2. Legislative Framework for Access to Local Authority Records

The following chart illustrates the general legislative framework within which users apply for access to local authority records. It is not intended as authoritative guidance.
 
The following chart illustrates the general legislative framework within which users apply for access to local authority records. It is not intended as authoritative guidance.
 

7.3. Reading List

The following publications, some of which were drawn on in the development of this Standard, give further useful information on archival access to records.
 
(Note that this reference list has not been comprehensively reviewed and revised, nor have all URLs been checked as part of the 2006 revision. Only newly revised items in the body text have been revised.)

7.3.1. Recommended Reading for Access Providers

Archives New Zealand Recordkeeping Standards

Guidelines for Professional Best Practice

National Standards

Government Policies and Guidelines

 

7.3.2. Recommended Reading for Users

Best Practice Guidelines

Research Guides
 
Archives New Zealand's leaflets and guides to assist research include:

Other useful guides for research using New Zealand records include:

7.4. Advice

For advice on implementation of this Standard and on statutory requirements relating to archival access, contact the Government Recordkeeping Group at Archives New Zealand.
 
Advice and guidance on accessing records deposited with Archives New Zealand is available from Archives New Zealand's offices in Auckland, Christchurch, Dunedin and Wellington.
 
 
Issued November 2001/Revised August 2006
 
 
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