Te tauākī arohaehae

Appraisal statement

The purpose of this Statement is to support consistent and transparent appraisal. It outlines a set of guiding principles public offices and local authorities (public sector organisations) can use when identifying and assessing the value of their information and records.

What to do if you’re using an older version of this Appraisal statement

Version 1 of this Statement has been updated and replaced. If you have already started the appraisal process using version 1, you should continue to do so.

Read version 1 of our Appraisal statement

Who this Appraisal statement is for

This Statement is for 3 key groups:

• public sector organisations — to meet statutory obligations and support business needs

• external stakeholders — who want to know more about the appraisal of information and records

• Te Rua Mahara o te Kāwanatanga Archives New Zealand staff — tasked with helping organisations undertaking appraisal, providing quality assurance and advising the Chief Archivist on the authorisation of disposal recommendations.

Local authorities can also use this Appraisal statement

Local authorities may also use the principles in this Statement:

• in the appraisal of their information and records to select local authority archives

• to identify information and records protected by the Chief Archivist under section 40 of the Public Records Act 2005 (the Act).

Under the Act, the Chief Archivist has a legislative responsibility to the government and citizens of New Zealand to provide an integrated framework for the systematic:

• creation

• management

• disposal, and

• preservation

of public sector information and records (including data).

The Act provides regulatory tools to assist and support your public sector organisation to achieve voluntary, full and sustained compliance. Through our use of these tools — and our regulatory activities — we:

• enable government to be held accountable

• enhance public trust in the integrity and reliability of central and local government information.

Good information management practices are key to building this accountability and trust.

Identification and assessment of your organisation’s business context, business activities and risks are necessary to determine:

• what information and records you need to create

• what information and records are high-risk, high-value, or both

• how long information and records must be managed to meet legislative requirements, and business and community needs and expectations.

This process is known as ’appraisal’. Appraisal is a strategic and proactive approach to the creation, capture and management of information and records — rather than a reactive one. It combines an understanding of current business functions with the identification of business, regulatory and societal requirements relating to information and records. It also includes assessment of risks associated with creating and managing these.

It’s important to establish guiding rules or principles for the process of appraisal. This is because the process involves repeatable, evaluative judgements which can have serious implications for organisational accountability, efficiency and continuity.

Lawful

Decisions on the creation, maintenance and disposal of information and records must comply with statutory or other legislative requirements. You must ensure the appraisal process identifies and complies with any legislative or other legal obligations for the creation, maintenance and disposal of information and records.

Accountable and transparent

Information and records created when undertaking functions on behalf of the government and the community provide evidence of your organisation’s:

• decision-making

• performance

• transactions, and

• conduct.

You should — as far as can be reasonably expected — ensure information and records that may be required to protect the rights and interests of internal and external stakeholders are identified and maintained in an accessible and authentic state.

Comprehensive and justified

Adequately documenting the appraisal process allows for informed scrutiny and review. Appraisal documentation should be comprehensive, showing:

• an understanding of the business activities and needs documented in the information and records

• that the expectations of all relevant stakeholders have been considered.

The justification and rationale for recommendations on the disposal actions and retention periods of information and records must be well informed, clear and concise.

Consistent

Undertake appraisal in a planned and systematic manner. Follow the standards and guidance provided by us, and international best practice. Use the principles in our Public Sector Archival Selection Statement to identify what information and records to recommend for permanent retention as public archives.

Considerate of resources

Continually identify — and balance — associated risks, costs and benefits. Public sector organisations have a responsibility to be prudent in the management of public funds. It’s not affordable or sustainable to permanently keep all the information and records your organisation creates or receives. Appraisal helps you distinguish between information and records of:

• longer-term value, and

• shorter-term value.

This helps you appropriately implement authorised disposal actions.

Regular, systematic appraisal is an essential part of effective information and records management. A range of benefits result from having full, accurate and accessible information and records.

Business efficiency and continuity

Identifying business requirements for information and records supports efficient and effective business performance. It facilitates the use of authoritative information and records as business assets. It also helps ensure their availability to:

• manage ongoing operations

• make informed and accountable decisions

• deliver operational services or programmes.

As a result, your organisation will know what information and records relate to and support what business functions, activities and processes — and how. The appraisal process helps you:

• put information and records at the centre of business functions

• value and manage information and records as assets

• support business continuity by identifying and managing high-risk and high-value information and records for immediate and ongoing business needs

• gain an understanding of the range, volume and types of information and records you will need to manage over time, and in which physical and digital environments.

Public accountability

Public sector organisations are accountable for their actions and decisions. The appraisal process helps you identify what information and records must be created to document these actions and decisions. Appraisal will help determine how long information and records should be appropriately retained and managed, so the public can understand what actions and decisions were made, how, when and why.

Facilitates disposal authorisation and implementation

The Act requires public sector organisations to seek approval from the Chief Archivist for the disposal or final fate, of public or protected information and records. Before formally authorising any disposal recommendations, the Chief Archivist must be satisfied that an organisation has undertaken a consistent, objective and accountable appraisal process to make informed judgements on the value and retention of their information and records.

Contributes to New Zealand’s historical and cultural heritage

Through the appraisal process, you can identify and select information and records of permanent archival value. Once transferred to us, these public archives are made accessible as appropriate to members of the public who can use them to better understand the history of New Zealand and their own history.

In section 3, the purposes of the Act include enabling the New Zealand Government to be held accountable by:

• ensuring that full and accurate information and records of the affairs of central and local government are created and maintained, and

• providing for the preservation of, and public access to, records of long-term value.

Also, under section 11(1) of the Act, the functions of the Chief Archivist in achieving these purposes are:

(a) to exercise a leadership role in recordkeeping in public offices and in the management of public archives in New Zealand; and

(b) in relation to public records, -

(i) to authorise the disposal of public records.

Appraisal is a requirement for disposal authorisation to be granted. We can provide advice and guidance on appraisal as disposal recommendations are an output of the appraisal process. Under section 27(1)(a), the Chief Archivist may also issue mandatory or discretionary standards in relation to the appraisal for disposal of public records or local authority records.