Disposal Standard

 

 

June 2010
Issued under the Public Records Act 2005, Section 27. This Standard is MANDATORY for all public offices (excluding schools), and local authorities. It is Discretionary for state and integrated schools. 

Contents

Chief Archivist's Summary
Acknowledgements
 
1. Introduction
1.1. Purpose
1.2. Benefits
1.3. Scope
1.3.1 Definition of Disposal
1.3.2 Out of Scope
1.4. The Treaty of Waitangi / Te Tiriti o Waitangi

2. Mandate and Responsibilities
2.1. Application
2.2. Administrative Head/Chief Executive Responsibilities
2.2.1 Compliance Framework
2.3. Exemptions

3. Recordkeeping and Risk Management
3.1. Risk management
3.2. Benefits of Good Recordingkeeping
3.3. Normal Prudent Business Practice

4. Principles
Principle 1: Disposal Authorisation
Principle 2: Disposal Planning and Implementation
Principle 3: Disposal Accountability
Principle 4: Disposal Security

5. Glossary of Key Terms
Appendix 1: Checklist of Minimum Requirements
Appendix 2: Relationship with other Requirements, Standards and Advice
 

Chief Archivist’s Summary

This standard sets out minimum requirements determining how public offices and local authorities dispose of records. It supports the requirements covering disposal of records set out in the Public Records Act 2005, and applies to all records – whether paper or digital.

‘Disposal’ is the range of processes which implement the destruction, transfer, discharge, sale, or alteration actions about records.

Disposal allows organisations to reduce storage costs, and save unnecessary time and expense managing records that are no longer required. Planning for, and having efficient systems in place to guide disposal, supports accountability, efficiency, and good governance, while ensuring that records are controlled in an appropriate manner.

This standard is aimed mainly at staff with responsibilities for information and records management or technology management. Those staff will need to refer to the standard when designing rules and strategies for management and disposal of records.

The rules and strategies set out in this standard should be implemented according to normal, sensible business practice, which applies appropriate risk management approaches. All records require some form of disposal, from minor records documenting a request for catering to records that document an important delivery of service to the public. The level of resource required to implement the requirements will depend on the risk profile of the records.

This standard contains a checklist to help you assess your current disposal practices and capabilities, and identify areas for improvement.

If you have any questions or comments about this standard please contact the Government Recordkeeping Programme at Archives New Zealand.

Signed:

Acting Chief Archivist and Chief Executive

Archives New Zealand

Date: 30 June 2010

Review Date: 2015

 

Acknowledgements

This standard was developed during 2009-2010 by Mark Crookston, Senior Advisor in the Appraisal team at Archives New Zealand, with advice and guidance from an advisory group comprising:

• Bronwen Clifton, Office of the Controller and Auditor-General
• Antonia Di Maio, Office of the Ombudsmen
• Zhimin Ding, Archives New Zealand
• Anna Gulbransen, Archives New Zealand
• Manuhiri Huatahi, Accident Compensation Corporation
• Danny Naylor, Victoria University of Wellington
• Joanna Newman, Consultant
• Sarah Padey, Auckland City Council
• Susan Souren, Taupo District Council
• Seren Wendelken, Department of Conservation

The Chief Archivist acknowledges the contributions of the advisory group which has been central to the development of this standard.

This standard was also influenced by the Appraisal and Disposal Standard issued by the State Records Authority of New South Wales and the draft Disposal Standard developed by the Public Records Office of Victoria. The Chief Archivist gratefully acknowledges their assistance in preparing this standard. 
 

1. Introduction

This standard specifies the minimum requirements for the disposal of public records and local authority records under the Public Records Act 2005.

The Public Records Act 2005 requires all public offices and local authorities to:

• create and maintain full and accurate records of their business activities, and
• ensure those records are managed effectively and continue to be accessible for as long as they are required.

Archives New Zealand has developed this standard to support disposal activities, which are an important aspect of efficient and accountable management of public records and local authority records.

1.1 Purpose

The purpose of this standard is to support and improve public sector recordkeeping. Its goals are:

• to establish a framework for the disposal of public records and local authority records, by specifying a minimum set of requirements
• to assist organisations with assessment of their processes, procedures and activities that relate to the disposal of records.

1.2 Benefits

By meeting the requirements of this standard, organisations can be confident that they can:

• reduce storage and administration costs, including by saving unnecessary time and expense migrating electronic records that could otherwise be disposed
• prevent the premature destruction of records that are still needed
• ensure timely disposal of records, including sensitive records, that are no longer needed
• ensure efficient records management, by knowing what records to maintain and how long they need to be kept
• increase accountability, by being able to prove the legitimate circumstances under which records have been disposed of, if they are subsequently required for some previously unforeseen purpose.

When regular and accountable disposal is undertaken by all public offices and local authorities, the wider benefits to the public sector and community stakeholders include:

• reducing the total cost to the public sector of records storage
• enhancing public confidence in the management of public sector information
• ensuring that records of permanent value to the public sector and the people of New Zealand are retained and preserved for ongoing use.

1.3 Scope

This standard applies to disposal processes and activities for all records created by:

• public offices (with the exception of state and integrated schools), and
• local authorities

in all formats or media, including paper, digital, hybrid aggregations, audio-visual, and electronic records created in business systems/applications.

Requirement 1 applies to public records and local authority protected records. All other requirements apply to all public records and local authority records.

See Glossary of Key Terms for definitions of local authority records and local authority protected records.

This standard applies to all forms of disposal as specified by the Public Records Act 2005 (see section 1.3.1).

This standard is intended for use by:

• chief executives, other administrative heads and managers of organisations, as a benchmark for accountability within the organisation
• records, knowledge and information management professionals
• information technology professionals
• all other people in organisations whose responsibilities include creation, maintenance or disposal of records.

1.3.1 Definition of Disposal

The range of processes associated with implementing records retention, destruction or transfer decisions which are documented in a disposal authority.

Section 4 of the Public Records Act 2005 outlines the possible types of disposal as:

• the transfer of control of a record; or
• the sale, alteration, destruction, or discharge of a record.

1.3.2 Out of Scope

This standard does not cover requirements, procedures or justification for appraising or selecting public records or local authority records for the purposes of disposal.

1.4 The Treaty of Waitangi / Te Tiriti o Waitangi

The rights of Māori to their recorded knowledge, which is a taonga in the terms of the Treaty of Waitangi, should be respected when this knowledge is incorporated into government records and archives. This standard aims to support the Treaty of Waitangi in respect of Māori cultural practices regarding identification and care of records containing traditional or sensitive knowledge and the appropriate management of these records. While all requirements within this standard support this aim, the following are singled out as examples:

• Requirement 6: Appropriate protection and preservation of records of archival value must be planned.
• Requirement 9: Disposal activities must be carried out by personnel who have appropriate skills and knowledge.
• Requirement 10: Methods used to dispose of records must comply with any privacy and security requirements.

 
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2. Mandate and responsibilities

This standard is issued under s27 of the Public Records Act 2005. The standard is mandatory for all public offices and for all local authorities, with the exception of state and integrated schools.

Full compliance with all requirements in the standard will be expected from 1 July 2012.

2.1 Application

The standard is mandatory for:

• public service and non-public service departments
• offices of Parliament
• Crown entities, including district health boards and tertiary education institutions
• Crown entity companies, including Crown research institutes
• state enterprises
• regional councils
• territorial authorities
• council-controlled organisations
• council-controlled trading organisations
• local government organisations
• any other public office or local authority as defined in section 4 of the Public Records Act 2005, except for state and integrated schools.

  The standard is discretionary for:

• state and integrated schools.

2.2 Administrative Head/Chief Executive Responsibilities

Ultimately, the organisation’s administrative head (usually the chief executive) has the responsibility to ensure compliance with the recordkeeping requirements of the Public Records Act 2005, including the requirements of this standard.

The Public Records Act 2005 defines an administrative head, within a public office, as:

• the person responsible for the performance of that office, for example, a chief executive within the meaning of section 2(1) of the Public Finance Act 1989
• the holder of an office that involves carrying out a statutory function, for example, the Registrar-General of Land.

The Public Records Act 2005 defines an administrative head, within a local authority, as: 

• the person responsible for the performance of the local authority, for example, the chief executive appointed under section 42 of the Local Government Act 2002 or the chief executive of an organisation referred to in paragraph (b) of the definition of the term local authority in section 4.

Where any doubt exists as to who is the administrative head of an organisation, please contact Archives New Zealand or seek legal advice to clarify organisational responsibility.
 

2.2.1 Compliance Framework

There are a number of mechanisms in the Public Records Act 2005 that encourage compliance with this standard:

• Under s29, the Chief Archivist has the power to inspect public records and local authority records
• Under s31, the Chief Archivist may direct a public office to report on any aspect of recordkeeping practice
• Under ss33-35, the Chief Archivist must commission independent recordkeeping audits of every public office, and report on these audits to Parliament. The audit process will use the requirements in this standard to measure compliance
• Under s61, wilful or negligent damage to public records, disposal of public records otherwise than in accordance with the Act, and failure to comply with any provisions of the Act or any regulation made under it, are offences.

2.3 Exemptions

The Chief Archivist may grant exemptions from compliance with the standard, under certain terms and conditions. Appeals against decisions not to grant exemptions may be made to the Minister Responsible for Archives New Zealand, who may allow or disallow the appeal after consultation with the appropriate Minister and the Archives Council.

Organisations who wish to seek an exemption should follow the process outlined on the Archives New Zealand website
 
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3. Recordkeeping and risk management

3.1 Risk Management

Recordkeeping, including disposal, can only be successfully undertaken once risk management issues have been considered and addressed. Organisations should assess their systems and procedures against potential risk and find ways to mitigate those risks.

This standard is designed to support good recordkeeping which can mitigate business risks.
 

Risk Category	Explanation	Risks
Compliance	Compliance risk includes non-compliance with statutes, treaties, codes of practices, rules, guidelines	- Failure to meet legislative and regulatory requirements - Unlawful disposal of records - Inability to provide assurance of legislative and regulatory compliance - Inability to produce records or provide evidence of business activity when required in a timely manner - resulting in financial or legislative penalties
Operational	Operational risk includes ineffective or inefficient process execution in both core business processes and in finance, HR, and supply chain management processes	- Inability to transfer data across organisational systems - Inability to fully use corporate knowledge and data - Inability to deliver services due to temporary or permanent loss of information - Inability to retrieve and interpret records in obsolete formats or systems - Information is inaccessible or unsuitable for the conduct of business, dispute resolution, legal challenge or evidential purposes - Inability to provide records of organisational activities or specific transactions with external agencies, contractors, customers, clients, citizens and subjects - Inconsistent, ineffective and inefficient conduct of business
Reporting	Reporting risk includes financial reporting risk, performance reporting risk, integrity of intellectual property.	- Inability to provide reliable evidence summarising organisational activities or undertakings - Reduced capability to demonstrate good performance or increased efficiencies in service delivery - Misleading the organisation’s minister or other key stakeholders
Reputation	Reputation risk includes stakeholder confidence in the organisation’s effectiveness in its role as asset owner, steward, service provider.	- Embarrassment to the organisation’s chief executive, minister, the government and private individuals, especially if inability to manage information competently is highlighted in the media - Damage to reputation, loss of credibility, lowered public confidence
Strategic	Strategic risk includes governance failure, strategic objectives not being met, an incorrect business model, failure to monitor external forces.	- Poor strategic planning and poor decisions made on inaccurate information - Inability to use organisational information and knowledge to full potential - Use of proprietary systems constrains business and information management strategies - Inability to automate entity and sector business and recordkeeping processes and thereby secure efficiency benefits - Loss of information and assets that have enduring value to society and which support New Zealand’s cultural and national identity

 
Appendix 1 provides a checklist which organisations can use for managing risks associated with records disposal and compliance with this standard.
 

3.2 Benefits of Good Recordkeeping

The benefits of good recordkeeping include:

• protection and support in litigation including the management of risks associated with the existence of, or lack of, evidence of organisational activity
• protection of the interests of the organisation and the rights of employees, clients and present and future stakeholders
• improved security of business records and robust management of sensitive or confidential information
• ability to deliver services in an efficient and consistent manner
• support for current and future research and development activities
• improved comprehensiveness and reliability of corporate memory
• availability of relevant business activity records when required to support well-informed decision making and policy development
• reduction of risks associated with data loss or accidental destruction of records
• support for reliable performance measurement of business outputs
• increased public confidence in the integrity of an organisation’s activities
• identification of vital records for disaster planning, so that organisations can continue to function in the event of severe disruption.

3.3 Normal Prudent Business Practice

This standard outlines minimum requirements for the disposal of all records created and maintained by public offices (excluding state and integrated schools) and local authorities. It should, however, be understood and implemented with consideration for normal, prudent business practice.

In the context of the Public Records Act 2005, the phrase ‘normal, prudent business practice’ appears in s17(1), where it is part of the requirement for public offices and local authorities to create and maintain full and accurate records of their affairs.

The application of normal, prudent business practice to this standard is especially relevant when documenting the disposal of ephemeral or facilitative records. Ephemeral or facilitative records provide evidence of an activity, but do not necessarily need to be captured into a recordkeeping system or retained for any purpose. For example, Requirement 7 states that the disposal of records must be documented. But this does not mean that every email requesting catering arrangements for a meeting must be documented prior to destruction. It would be appropriate, and normal prudent business practice, to document the destruction of these records through having an authorised policy which permits this activity at an appropriate juncture.
 
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4. Principles and requirements

The standard is structured around four principles.

Principle 1: Disposal Authorisation
Disposal of records is authorised.

Principle 2: Disposal Planning and Implementation
Disposal of records is planned and regularly implemented.

Principle 3: Disposal Accountability
Organisations are able to account for their disposal activities.

Principle 4: Disposal Security
Disposal of records is undertaken using appropriate security methods.

Each principle is followed by:

• a statement of its objective, and
• a list of minimum requirements which support this objective.

The requirements form the mandatory component of the standard. They are focused on outcomes and the standard is not prescriptive about how these outcomes are to be achieved.

To help clarify the intent of each requirement, there are corresponding explanations in the next column. The ‘Explanation’ column does not add additional obligations. Terms such as ‘should’ and ‘will involve’ are used to indicate good practice to support the requirement.

Principle 1: Disposal Authorisation

Disposal of records is authorised.
 

Requirement	Explanation
Requirement 1: Disposal of public records and local authority protected records must be authorised by the Chief Archivist, in accordance with the Public Records Act 2005.	The Chief Archivist authorises the disposal of public records by issuing disposal authorities under s20 (for public records) and s40 (for local authority protected records) of the Public Records Act 2005.   The public office or local authority is responsible for obtaining the authorisation of the Chief Archivist.   Disposal authorities are documents that define minimum retention periods and consequent disposal actions for the records they describe.   The Chief Archivist’s authorisation does not override any other legal obligation to retain a record past the minimum period outlined in the disposal authority.   The Public Records Act 2005 outlines different disposal mechanisms for public records and local authority records (see Glossary of Key Terms).   For more information on the appraisal and disposal process, see the supporting guidance available at: http://www.archives.govt.nz/
Requirement 2: Disposal of records must be approved by the controlling organisation.	It is important that disposal is approved by an appropriate person(s) within the controlling organisation, acting under delegated authority from the administrative head. The appropriate person(s) must be confident that there is no legitimate operational, legal, or audit need for the records to be retained by the organisation.   This requirement should be understood and implemented with consideration for normal, prudent business practice. This means that the nature of the records being disposed of should determine the appropriate level of organisational authorisation. For example, the disposal of ephemeral or facilitative records may be authorised by an organisational policy and implemented by the records’ creator. Alternatively, the disposal of core operational records should be documented with appropriate detail, and then approved by an appropriate person(s) who can ensure that there is no legitimate operational, legal, or audit need for the records to be retained.
Requirement 3: Disposal of records must be undertaken using a disposal authority that is current and relevant.	It is the responsibility of the each public office or local authority to ensure that it is using a disposal authority that is both current and relevant. This means that organisations should have a process in place to review their disposal authorities as part of a records management programme.   For a disposal authority to be current, the Chief Archivist’s authorisation to use the disposal authority, as well as any organisational approval, must still be valid.   For a disposal authority to be relevant, all business requirements must still be met by the descriptions, retention periods, and actions articulated in disposal authority. Business requirements include, but are not limited to:   - the needs of the organisation to continue to maintain the information - organisational efficiency - interests of clients or other stakeholders - legal obligations.     See also Requirement 5, and the Archives New Zealand Create and Maintain Standard, available at: http://www.archives.govt.nz/.

 

Principle 2: Disposal Planning and Implementation

Disposal of records is planned and regularly implemented.

 

Requirement	Explanation
Requirement 4: Organisations must have policies and procedures for the disposal of records.	Disposal policies and procedures set out what the organisation intends to do in relation to implementing its disposal requirements and how those intentions will be achieved. They help ensure that all disposal activities are undertaken in a planned, consistent and timely manner, as a routine part of a records management programme.   Disposal policies will take into account: - relevant risk management issues related to efficient and effective disposal of records - approval requirements, including the responsibilities for internal approval for the disposal of certain records - relevant legislative, regulatory, fiscal, and business requirements - all records formats including paper and electronic - all forms of disposal as authorised by the Chief Archivist - when and under what circumstances relevant internal and external stakeholders need to be involved in the disposal process - secure disposal requirements - monitoring and reviewing timeframes.   Procedures provide the detailed guidance needed to implement the policy and achieve its intentions. They will take into account: - forms and templates used for disposal processes - triggers for reviewing disposal requirements - instruction or workflow guidance, especially in relation to disposal of electronic records - contact details for any internal or external stakeholders who may need to be involved in the process.   Disposal policies and procedures may be incorporated into organisational recordkeeping or information management policies and procedures, or separate documents.   See also the Archives New Zealand Create and Maintain Standard, Requirements 2 and 3, and the policy and procedure guidelines available at: http://www.archives.govt.nz/.
Requirement 5: Disposal of records must be undertaken on a regular and routine basis.	Regular and routine disposal begins with a sound recordkeeping framework, including procedures for the creation and classification of records, supported by appropriate technical and personnel support.   ‘Regular disposal’ means that disposal is undertaken at recurring intervals appropriate to organisational requirements.   ‘Routine disposal’ means that disposal is being undertaken according to an agreed sequence of actions.   Applying the disposal authority is a two-step process which enables regular and routine disposal.   Step 1: Sentencing Sentencing is the process of identifying and classifying the records according to the requirements of the disposal authority. It should be done as close to the point of records creation as possible and practical through annotating physical records, or using metadata in control records (including electronic recordkeeping systems) or business systems.   Step 2: Implementing the disposal authority Implementing involves carrying out the disposal actions identified through the sentencing process. It is a process that includes:   - reviewing whether records are able to be disposed - undertaking the disposal action - documenting that the disposal has taken place.   Most disposal actions can be undertaken on a regular and routine basis. However, some disposal actions require one-off processes. For example, when a record is sold, or a function transferred to a successor agency. Therefore, the regularity of disposal in these circumstances must be appropriate to the disposal action.   See also the Archives New Zealand Create and Maintain Standard, available at: http://www.archives.govt.nz/. (See also Requirement 4.)
Requirement 6: Appropriate protection and preservation of records of archival value must be planned.	Disposal processes for records of archival value can take place within an organisation, or through transferring control and/or custody of the records to another organisation. These processes require good planning, so that appropriate protection and preservation of these records is guaranteed.   Planning for the appropriate protection and preservation of records of archival value will take into account:   - all appropriate access arrangements for records, including access risks during the disposal process - metadata requirements relating to the authenticity, integrity, accessibility and useability of the record (especially relevant for electronic records) - specific requirements on how records are packaged and transferred to the receiving organisation, business unit or information system - the requirements and capacity of all supporting systems and resources involved with implementing transfers or performing preservation actions - the consequences of a deferral of transfer.   Planning for this process enables efficient use of organisational resources and ensures that all parties involved with a transfer understand the risks and have adequate time to make appropriate arrangements.   See also the Archives New Zealand Storage Standard, Digitisation Standard, Access Standard, and supporting guidance available at: http://www.archives.govt.nz/.

 

Principle 3: Disposal Accountability

Organisations are able to account for their disposal activities.

 

Requirement 7: Disposal of records must be documented.	By documenting disposal activities, organisations ensure they are able to justify and account for their disposal actions.   If required, organisations should be able to make available all information justifying the disposal of records, including the disposal authority, and any documentation supporting interpretation and implementation of the disposal authority.   Documentation also supports organisational accountability by providing evidence of recognition and response to change. Some organisational changes affect recordkeeping requirements in ways that override an original appraisal decision or the application of a disposal authority. These can include:   - ongoing business needs - the need to retain records for pending or actual investigations - changes to legislative or regulatory requirements - administrative changes affecting an organisation’s functions or business activities.   This requirement should be understood and implemented with consideration of normal, prudent business practice. This means the level of documentation detail should reflect the nature of the records being disposed.   For example, the disposal of ephemeral or facilitative records, such as the records authorised for destruction in General Disposal Authority 3, General Housekeeping Records (available at http://www.archives.govt.nz), may be documented through internal approval for their destruction soon after their creation, under an organisational policy.   Alternatively, the disposal of records providing evidence of the delivery of a core activity should be documented in an appropriate manner, and include:   a description of the records sufficient for internal audit purposes - the date the disposal action took place - the authority governing the records’ disposal - the person/role undertaking the disposal - the person/role approving the disposal.   See also Archives New Zealand’s Electronic Recordkeeping Metadata Standard, Requirement 15, and Guide to Implementing a Disposal Schedule for an example of a disposal register. Both publications are available at: http://www.archives.govt.nz/. (See also Requirement 3.)
Requirement 8: Disposal activities must be regularly monitored and reviewed.	Internal monitoring and reviewing all disposal activities should be regularly undertaken as part of the wider organisational recordkeeping compliance monitoring.   Regular monitoring and review of disposal processes ensures that:   - organisational policies and processes are being followed - accountability and business requirements for the disposal of records are up to date - recordkeeping practices are being appropriately applied in order for disposal activities to be carried out as intended - disposal authorities are being interpreted correctly and implemented accurately.   See also the Archives New Zealand Create and Maintain Standard, Requirements 3 and 5, available at: http://www.archives.govt.nz/.
Requirement 9: Disposal activities must be carried out by personnel who have appropriate skills and knowledge.	Staff undertaking disposal should have an appropriate knowledge of organisational policies and procedures relevant to the disposal activities they carry out and the value of the records.   Where disposal processes require interpretation of a disposal authority, or an assessment of the relationships between records created across various business systems, it may be necessary for staff to understand:   - the legislative framework under which they will be operating - the disposal policies and procedures outlined by the organisation, Archives New Zealand, and any other relevant organisation - how the organisation manages its records in relation to its functions - how to transfer custody and/or control of records from one system to another (if migration or transfer are involved) - the level of documentation required to be created or maintained.   All staff, including contractors, should be appropriately skilled so that their disposal activities support organisational accountability. This should involve appropriate levels of:   - training, including induction - targeted training for staff who undertake disposal on high risk records, or are working on a specific disposal project - available information on Intranets or through manuals.   See also the Archives New Zealand Create and Maintain Standard, Requirement 9, available at: http://www.archives.govt.nz/.

 

Principle 4: Disposal Security

Disposal of records is undertaken using appropriate security methods.

 

Requirement 10: Methods used to dispose of records must comply with any privacy and security requirements.

Records should be disposed of in a manner that is appropriate to the content of the records.   Appropriate security considerations may also apply to any metadata created as part of the disposal process.   Where the disposal process includes transferring custody or control of records, it is important to ensure that the level of security is maintained during the entire disposal process, including transit. It is also important that special care is taken to ensure that appropriate access arrangements have been decided and agreed with the organisation or business unit that will take custody and/or control of the records.   Where the disposal process includes discharge or sale, it is important to ensure that records are taken into the custody and control of the person or organisation authorised to receive the records.   Contractors engaged in disposal of records should be able to certify that all relevant security provisions, as agreed with the public office or local authority, will be followed.   See also: - Archives New Zealand Access Standard - Archives New Zealand Storage Standard, Requirement 17 - Privacy Act 1993 - Security in the Government Sector Manual

Requirement 11: Everything necessary and practical must be done to ensure that the destruction of records is complete.

Complete destruction ensures that the records being destroyed cannot be inadvertently released or recovered. This means that there is no reasonable risk of the information ever being recovered again.   Failure to ensure the complete destruction of records may lead to the unauthorised disclosure of sensitive information, especially through the release or reuse of copies of records.   In the digital environment, there are many risks associated with partial or incomplete destruction of records. These include;   - recovery of partial or incomplete records - failure to comply with organisational requirements or guarantees made to customers regarding personal information - forced disclosure of records for investigation which should have been disposed.   Therefore, it is particularly important that electronic records are destroyed in a way that mitigates the risks of later inadvertent discovery. For certain confidential records, this may require an organisation to consider the need to treat the complete destruction of electronic records to have taken place at the point when all back up copies containing generations of system data and/or destruction of storage media are also completed.   See also the Archives New Zealand Create and Maintain Standard, Requirement 20, the Electronic Recordkeeping Metadata Standard, and the information relating to methods of destruction, available at: http://www.archives.govt.nz/.

 
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5 Glossary of Key Terms

Included are definitions of terms specific to this standard. For Definitions of more general term please see the Archives New Zealand Glossary of Terms

Appraisal

Appraisal is the process of evaluation to determine whether records are needed by a public office or local authority and how long they should be kept. Appraisal involves deciding which records of an organisation are retained permanently as archives, and which records are destroyed once organisational business and accountability requirements have been met. This is based on analysing organisational business activities, while weighing up community expectations about permanent retention of those records.

Controlling organisation

The organisation that controls the record, including any successor to the organisation that created or maintained the record.

Disposal

The range of processes associated with implementing records retention, destruction or transfer decisions which are documented in a disposal authority.

Section 4 of the Public Records Act 2005 outlines the possible types of disposal as:

• the transfer of control of a record; or
• the sale, alteration, destruction, or discharge of a record.

Disposal authority

A document that defines the retention periods and consequent disposal actions authorised for records described in it.

For public offices, a disposal authority is a formal authorisation issued by the Chief Archivist under s20 of the Public Records Act 2005. For public offices, there are three types of disposal authorities:

1. General Disposal Authorities are applicable to most public offices. They cover generic classes of records created through common business functions, such as personnel and human resources management, and financial management.
2. Disposal schedules are a continuing authority covering records specific to a public office (and excluding generic classes of records), that have been and will continue to be created by the organisation for the foreseeable future.
3. One-off disposal authorities are a non-continuing authority covering a closed set of records.

The Public Records Act 2005 outlines different disposal mechanisms for local authority records than for public records. If the disposal involves the destruction of protected records, then it must be authorised by the Chief Archivist. If not, then the authority must be agreed at an appropriate level within the organisation (see Requirement 2 for more information).

See also Protected record.

Ephemeral records

Records that are characterised by their trivial nature or very short term value, and so do not need to be captured into a recordkeeping system or retained for any period of time. For example, low level meeting notices, minor catering arrangements, duplicate copies of records already captured in a recordkeeping system.

Facilitative records

Records that are created for the purpose of creating other records and are therefore not required to be maintained for any period of time because they do not provide evidence of business activity. For example, reference material, notes of meetings where a formal record is made.

Implementing the disposal authority

Implementing the disposal authority involves carrying out the disposal actions specified in the disposal authority. It is the second step of applying the disposal authority and involves:

• assessing whether records are able to be disposed of
• undertaking the disposal action
• documenting that the disposal has taken place

See also Sentencing

Local authority record
 
A record or class of records, in any form, in whole or in part, created or received by a local authority in the conduct of its affairs. This includes protected records.

Public record
A record or class of records, in any form, in whole or in part, created or received by a public office in the conduct of its affairs.

See also Record

Protected record
 
A category of local authority record declared by the Chief Archivist to be a protected record by notice in the New Zealand Gazette. A local authority must provide for the adequate protection and preservation of its protected records. Protected records must not be disposed of without the authorisation of the Chief Archivist. The list of protected records is known as the Local Government Schedule.

See also Local authority record

Record
 
Means information, whether in its original form or otherwise, including (without limitation) a document, a signature, a seal, text, images, sound, speech, or data compiled, recorded, or stored, as the case may be:

1. in written form on any material; or
2. on film, negative, tape, or other medium so as to be capable of being reproduced; or
3. by means of any recording device or process, computer, or other electronic device or process.

(Public Records Act 2005, s4)
 
Records of archival value
 
Means records which are justified through an appraisal process as requiring retention as an archive.
 
 
Sentencing
 
Sentencing involves identifying and classifying the records according to the requirements of the disposal authority, for example through annotating physical records, or using metadata in control records (including electronic recordkeeping systems) or business systems. This process is generally a discrete or irregular activity, and the first step of applying the disposal authority.

See also Implementing the disposal authority
 
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Appendix 1: Checklist of Minimum Requirements

This checklist is a template tool which can be used or adapted to assist with managing risks associated with records disposal. It can also be used to assess compliance with the standard. Where a requirement is not met, an organisation must assess and treat the risks involved over time.
 

Principle/Requirement	Yes	No	If No, What Risks Exist?	Actions Required to Treat Risks
Principle 1: Disposal Authorisation Disposal of records is authorised.
Requirement 1: Disposal of public records and local authority protected records must be authorised by the Chief Archivist, in accordance with the Public Records Act 2005.
Requirement 2: Disposal of records must be approved by the controlling organisation.
Requirement 3: Disposal of records must be undertaken using a disposal authority that is current and relevant.
Principle 2: Disposal Planning and Implementation Disposal of records is planned and regularly implemented.
Requirement 4: Organisations must have policies and procedures for the disposal of records.
Requirement 5: Disposal of records must be undertaken on a regular and routine basis.
Requirement 6: Appropriate protection and preservation of records of archival value must be planned.
Principle 3: Disposal Accountability Organisations are able to account for their disposal activities.
Requirement 7: Disposal of records must be documented.
Requirement 8: Disposal activities must be regularly monitored and reviewed.
Requirement 9: Disposal activities must be carried out by personnel who have appropriate skills and knowledge.
Principle 4: Disposal Security Disposal of records is undertaken using appropriate security methods.
Requirement 10: Methods used to dispose of records must comply with any privacy and security requirements.
Requirement 11: Everything necessary and practical must be done to ensure that the destruction of records is complete.

 
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Appendix 2: Relationship with other Requirements, Standards and Advice

This standard applies specifically to the disposal of records of public offices and local authorities (with the exception of state and integrated schools). However it overlaps with other recordkeeping processes and requirements.
 

Archives New Zealand Standards and Requirements

Requirements for other related processes as defined by the Public Records Act 2005 are outlined in other publications issued by Archives New Zealand. Of particular relevance to this standard are:
 

• The Create and Maintain Recordkeeping Standard, which specifies minimum requirements for the making of full and accurate records by public offices and local authorities. The requirements are designed to ensure that records are available for subsequent access and maintenance over time, and provide a basis for an assessment of recordkeeping systems, policies and procedures for this purpose. This standard is mandatory for public offices (excluding schools) and local authorities.
• The Electronic Recordkeeping Metadata Standard, which specifies minimum requirements for creating and managing recordkeeping metadata in electronic environments. The requirements are designed to ensure that full and accurate records are adequately documented so that they can be managed effectively and continue to be useable over time. This standard is mandatory for public offices (excluding schools) and local authorities
• The Storage Standard, which specifies the minimum requirements for storage of physical records. The requirements are designed to ensure that all public sector physical records are preserved for as long as they are required. This standard is mandatory for public offices (excluding schools) and local authorities
• The Digitisation Standard, which establishes a framework for maintaining public records and local government protected records in electronic format only, where the original paper, or other non-electronic source record, has been copied electronically by digitising or other means. This is a discretionary standard.
• Disposal Authorities for public records, including the General Disposal Authorities (GDAs), which defines the retention periods and consequent disposal actions authorised for records described in them.
• The list of Local Authority Protected Records (usually known as the Local Government Schedule), which specifies which local authority records must be protected and preserved, or require the Chief Archivist’s authorisation prior to their destruction.

Other relevant standards and guidance issued by Archives New Zealand can be located on Archives New Zealand’s website at: http://www.archives.govt.nz/.
 

Status of ISO 15489 as a guiding principles document

The International Standard ISO 15489-1: 2001, Information and documentation, Records management, Part 1: General; and ISO/TR 15489-2: 2001, Information and documentation, Records management, Part 2: Guidelines comprises the high level guidance element of this standard. ISO 15489 provides the conceptual basis for the recordkeeping principles outlined in this standard and in the Continuum suite of recordkeeping publications. We recommend that all New Zealand recordkeeping practice should be consistent with the principles of this internationally recognised records management standard.

Responsibilities for Records of Functions Carried out under Contract

The Public Records Act 2005 requires public offices and local authorities to create and maintain full and accurate records of their affairs, including records of matters contracted out to independent contractors. The legal obligation to ensure that records of government functions are created, maintained and disposed of appropriately always rests with the government entity, not the independent contractor. Depending on the nature of the work being contracted out, this could require either:
 

• the contractor creating, receiving, and temporarily maintaining and/or disposing of the records of the conduct of the function on behalf of the public office or local authority, or
• the contractor regularly providing the public office or local authority with sufficient information about the function to enable the creation, maintenance, and disposal of full and accurate records, or
• a combination of the two.

In any case, such records must be disposed of according to the requirements of this standard. Contracts or agreements with contractors should contain provisions to ensure this can happen.

See the Archives New Zealand guide Recordkeeping for Business Activities Carried out by Contractors, available at: http://www.archives.govt.nz/.
 

Advice and Guidance

This standard aims to clearly specify the minimum requirements for the disposal of public records and local authority records. Further guidance is available on Archives New Zealand’s website at: http://www.archives.govt.nz/. Of particular note is the Guide to Implementing a Disposal Schedule, which provides advice on undertaking disposal activities.
 
Advice and guidance on implementation of this standard is available from Archives New Zealand.
 
Government Recordkeeping Programme
Archives New Zealand
PO Box 12-050
Wellington 6144
Email: rkadvice@archives.govt.nz
Phone: (04) 499 5595
 
 
Issued June 2010
 
 
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