Te uru ki ngā whakataunga

Access decisions

This guide helps New Zealand public offices and local authorities (public sector organisations) make decisions about open or restricted access to information and records. This includes the metadata associated with them.

There are 2 main regimes for determining public access to government information and records.

For information and records that:

1. have existed for less than 25 years

2. are in current use, or

3. are in the custody of a public office or local authority

access is usually administered under the Official Information Act 1982 (OIA), the Local Government Official Information and Meetings Act 1987 (LGOIMA), and the Privacy Act 2020.

Under the Public Records Act 2005 (the Act), information and records:

• that have been in existence for 25 years

• are to be transferred to Archives New Zealand, or

• are to be transferred to a local authority archive

must be classified as either open access or restricted access.

When deciding whether information and records should be open or restricted, always begin with an assumption of openness unless there are good reasons to restrict.

You should consider these important access principles. Restrictions should:

• be applied sparingly

• have a limited life span, where appropriate

• be applied consistently

• be easy to implement

• reflect the obligations to Māori under Te Tiriti o Waitangi in relation to information and records that are taonga

• reflect legislative obligations.

Reasons to restrict access

To determine whether there are good reasons to restrict access, analyse the information and records by first consulting with the staff who create, use or manage them. The following questions are likely to be relevant.

• What security levels, warnings or Government Information Security Classifications are currently in place on the information and records? And do these have long or short-term implications? You should note that GISC requirements are separate from access requirements under the Act and cannot simply be carried over when transfer occurs.

• Does the metadata require restriction as well as the content?

• If there are security levels, warnings or classifications currently in place — for example, a ‘Secret’ classification — can the information and records be released at some point? And if yes, what sort of declassification process is it subject to?

• What personal content is there, and does it need protection in accordance with the Privacy Act 2020 — in particular Part 3, Section 22, Principles 5, 6, 11 and 12?

• What practices, decisions or policies are in place now for public access? For example, if the information and records are requested under the OIA or LGOIMA, would any be withheld? And on what grounds?

• Is there any cultural sensitivity to consider in relation to the information and records, for example are any of the information and records taonga?

• How should you consider any relevant standards or advice from the Chief Archivist?

• Do the records contain legal opinions? Is access to these records appropriately restricted in order to protect legal privilege?

Limitations on access for preservation

The Chief Archivist can prohibit or limit the access or copying of information and records in their control for preservation reasons. The administrative head of a local authority can also do this for local authority archives.

Consistency

There are several practical points you need to consider before determining the access status of information and records.

• Decisions or access classifications should cover information and records which are related to each other and their ordered sequence — for example, a whole class or series of information and records.

• Wherever possible, restrictions should have a limited specified time span or duration. However, for some records — such as legally privileged information — the duration of restrictions may need to be indefinite.

• Restrictions need to be practical to implement.

• Processes should be in place to deal with public requests for permission to view, copy or publish restricted access information and records.

• Access classifications should be applied to both the metadata and content of information and records. These may be different.

At time of creation or appraisal

Access requirements should be determined as part of the appraisal process that occurs and applies when information and records are created.

Appraisal involves evaluating your organisation’s business context, activities and risks to decide what information and records you need to create. As these needs may change over time, appraisal should be a recurrent activity — as should reassessment of any access restrictions. This will help you manage access over time, regardless of format and location.

There are several benefits to determining access status at time of creation:

• Decisions are made in line with the New Zealand Government Open Access and Licensing (NZGOAL) framework and the Declaration on Open and Transparent Government.

• Information and records are prepared for sharing and exchange when all-of-government collaboration occurs.

• External accountability obligations under specific legislation are met — for example under the OIA, LGOIMA or other legislation.

• Privacy protection and security requirements are incorporated in all business process and systems design.

• For information and records that are considered of archival or permanent value, access determinations are easier to implement when the information and records are transferred to us, an approved repository or become a local authority archive.

• Information and records are managed in accordance with the requirements of the  Information and records management standard.

At time of transfer

For public offices

If not done at time of creation or appraisal, you must determine the access status of information and records that:

• have been in existence for 25 years, or

• are about to be transferred to the control of the Chief Archivist.

All decisions to restrict public access must be made in consultation with the Chief Archivist and formally documented in an Access Authority. This should be determined at the time of appraisal but must be done before or during the transfer process — or when applying for a deferral of transfer. If you already have a pre-existing Access Authority, we’ll review it to ensure the access determinations are still relevant and valid before transfer.

Access decisions documented in the Access Authority must also be aligned with the list of individual items for transfer. This means the access status and restriction period (if restricted) should be identified at item level for both content and metadata.

Contact us for advice on completing an Access Authority.

For local authorities

If not done at time of appraisal, you must determine the access status of information and records that:

• have been in existence for 25 years, or

• are no longer in current use.

Local authority decisions to restrict access do not require consultation with the Chief Archivist.

For public offices

If public information and records are determined as ‘restricted access’, you need to document and publicise both the reason for the restricted access and the duration they will be restricted. You must also document and publicise any conditions under which public access may be permitted.

You can review access restrictions on information and records that have been transferred to us at any time, but this needs to be done in consultation with the Chief Archivist. The Chief Archivist may only request a review of access restrictions 10 years after the information and records have been transferred to us.

The relevant public office is responsible for administering requests from the public to access restricted information and records during the period of restriction.

For local authorities

If local authority information and records are determined as ‘restricted access’, you are not required to publicise the reason or the restricted access duration unless the information and records concerned are ‘protected’ and in the control of the Chief Archivist.

You can set a restricted access for a maximum period of 25 years at any one time, which can be extended. You can also vary any conditions on public access.

The relevant local authority is responsible for administering requests from the public to access restricted information and records during the period of restriction.

Under section 19 of the Act, the Chief Archivist maintains a register of access restrictions placed on public information and records. This includes the grounds or reasons for these. This information is available to the public.

There is no legislative requirement for local authorities to document their decisions or conditions for access. But it is good business practice to do so, and to make it publicly available.

Access status

Access status refers to whether public access to information and records is open or restricted.

• Open: The content or metadata are open for viewing and/or use.

• Restricted: Conditions are placed on the viewing and/or use of the content or metadata for a certain period.

Applies from

Applies from refers to when or at what point the access restriction comes into force.

• Date created: The date of the information and record’s creation.

• Date closed: The last content date or date of closure.

Restriction reason, duration and justification

Restriction durations for information and records that have been in existence for 25 years — or that are about to be transferred to us — are generally calculated from the last content date or date of closure.

If you’re making access decisions at the point of creation, you’ll need to consider how to manage any restriction durations throughout the life of the information and records.

This table outlines common examples of restriction reasons, durations and justifications: