Assessing the value of records, and defining retention periods and disposal actions for them, helps to ensure they are provided with an appropriate level of care and are managed for (only) as long as they need to be. Regularly disposing of records:Assessing the value of records, and defining retention periods and disposal actions for them, helps to ensure they are provided with an appropriate level of care and are managed for (only) as long as they need to be. Regularly disposing of records:
• makes search and retrieval easier
• controls storage, maintenance, access management and other costs
• reduces privacy and security risks associated with retaining records, and
• helps to protect records with long-term value and promote their re-use.
Establishing and following a systematic disposal process mitigates the risk that high-value records are destroyed unintentionally or that lower-value records are disposed of incompletely and insecurely.
Disposing of records systematically also helps to ensure that organisations meet legislative requirements for the retention and disposal of records, including those set out in the Public Records Act. Public records and local authority protected records cannot be disposed of without the approval of the Chief Archivist, unless disposal is required by or under another Act (see requirement 5.3).
REQUIREMENTS
5.1 The value of records must be appraised
Guidance
Decide how long to maintain your records and what to do with them when your organisation no longer requires them. Assess whether to destroy them or transfer them to Archives New Zealand or another suitable archival facility.
Follow legislative retention requirements and relevant precedents set out in disposal authorities issued by the Chief Archivist, the List of Protected Records or the ALGIM Retention and Disposal Schedule for local authorities.
Where the value of your organisation’s records is unclear, analyse them from different perspectives. Assess:
• their business value, or organisational and administrative importance
• their accountability value, or importance as evidence of activity
• the role they play in protecting citizens’ rights and entitlements
• the role they play in documenting the source of the authority and foundation of the machinery of government
• the role they play in evidencing fulfilment of or aspirations to Treaty of Waitangi/Te Tiriti o Waitangi principles and the Crown’s obligations, and
• their contribution to knowledge and understanding of New Zealand’s history, geography, society, culture and achievements and New Zealanders’ sense of their national identity
Consult with the creators of the records and internal and external stakeholders. Take account of organisational and wider community expectations regarding the preservation of records with long-term value.
Appraise records at or before point of creation and at an appropriate level of aggregation. Start by separating records relating to common corporate functions such as human resources, finance, facilities and IT, which are carried out by all public sector organisations, from those relating to your organisation or sectors’ unique or core functions.
For further information on the appraisal of records, see the appraisal section of this Records Toolkit .
5.2 Retention periods and disposal actions for records must be defined and documented
Guidance
Draw up a retention and disposal schedule (RDS) documenting your appraisal decisions or implement existing, applicable schedules. Contact Archives New Zealand at an early stage for advice.
Base your RDS on your organisation’s business classification scheme or schemes, or map it across. Allow individual records to inherit retention and disposal actions assigned at aggregation-level.
Before implementing a newly drawn-up RDS for public records, submit that schedule to the Chief Archivist for approval (see requirement 5.3).5.3 and the disposal section of this website ).
Update your organisation’s RDS as required to reflect changes in legislative retention rules or organisational requirements. Contact Archives New Zealand before varying formal schedules approved under the Public Records Act.
5.3 The correct statutory process for disposing of records must be followed
Guidance
Public records and local authority protected records cannot be disposed of without the approval of the Chief Archivist, unless the disposal of those records is required by or under another Act (see section 18 of the Public Records Act ). Note that authorisation from the Chief Archivist to dispose of records does not override pre-existing legal obligations to retain them, if they are found to be in conflict.
Protected local authority records are defined in the List of Protected Records . Non-protected local authority records may be disposed of without the authorisation of the Chief Archivist.
Comply with the requirements of the Electronic Transactions Act 2002 before disposing of physical records that have been digitised (see Archives New Zealand’s Digitisation Toolkit for further information).
5.4 A systematic internal process for disposing of records must be set up and followed
Guidance
Build a robust, uniform and transparent internal disposal process. Include the following steps:
• analysing risk
• confirming that, where required, you have appropriate and valid disposal authorisation from the Chief Archivist
• sentencing records (matching them to disposal actions)
• confirming that there are no operational, legal or other requirements to retain the records
• getting internal sign-off (for example, from the business owner and/or a senior manager)
• disposing of the records, and
• documenting the disposal
Sentence new records at or before point of creation to make disposal easier later on and to reduce the risk of loss or accidental destruction. Take practical steps to ensure the secure and complete disposal of records, including copies and back-ups.
5.5 Records must be disposed of regularly
Guidance
Dispose of records annually or more frequently to meet business requirements. Automate the disposal of digital records where possible. Include legacy records in regular disposal processes or manage their disposal as a discrete project.
Make use of any current disposal authorities which cover your organisation’s records, including:
• general disposal authorities for common corporate services records and facilitative, transitory or short-term records
• sector-specific disposal authorities for District Health Boards, Universities, Institutes of Technology and Polytechnics and Schools, and
• organisation-specific disposal authorities
5.6 The following minimum metadata must be generated or captured during the disposal process, and retained for as long as required to account for the disposal of records (see also requirements 3.1 and 3.4):
• a unique identifier
• a name
• the date of creation
• the business activity documented by the record
• the creator (person or system) of digital records
• the date of disposal
• the authority governing the disposal of the records
• the person/role carrying out the disposal
Guidance
Retain this metadata within your organisation’s electronic systems, aggregate it in a separate disposal register or add it to existing indexes or finding aids. Protect it to meet your organisation's internal reporting requirements and external accountability obligations.
Note that the metadata described above corresponds to specific elements or combinations of elements in Archives New Zealand’s Electronic Recordkeeping Metadata Technical Specifications.
Public offices may destroy records and metadata documenting disposal decisions 10 years after the year of disposal (see class 8.1.3 of General Disposal Authority 6 ).
For further information refer to the following pages: Public Records Act , Local Authorities and Resources and Guides .