3. How to Sentence Records

See Appendix A for a flowchart for sentencing records

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Steps for Sentencing

1. Determine the appropriate disposal authority for the records being sentenced.

   • Do the records being sentenced reflect a core function (that is, a primary duty or responsibility) of your public office? If so, then only an authorised disposal authority, not a GDA, can be used to sentence these records. If you do not have one, or are unsure about application, please contact the Appraisal section at Archives New Zealand at appraisal@archives.govt.nz.

2. Identify the relevant disposal class for the records being sentenced.

   • Use the class description or examples in the disposal authority. Note that any list of examples is not exhaustive, so try to link the records to the activities being described in the disposal authority.
   • Examine the contents of records, or scope notes for any classification system in which the record was created.
   • If more than one class is appropriate, choose the one with the longest retention period.

3. Ensure that the files contain metadata on their retention periods, disposal triggers and disposal actions as outlined in the disposal authority.

   • For electronic records, this can be attached to the appropriate file in an electronically managed system. For paper systems, this can be written on the file cover.

4. Confirm whether the disposal trigger has already taken place, for example, "seven years from date of last action on the file". If the disposal trigger has not yet taken place (i.e. the file is still being used), then set a review date for the future.

5. Confirm that the prescribed retention period has been met. If the retention period has yet to be reached, then set a review date for the future.

6. If all of the above has been satisfied, then confirm this, obtain internal approval from the appropriate level of management according to your procedures, and implement the disposal action (i.e. destroy or transfer to Archives New Zealand etc.).

7. Update your organisational control records. These may be electronic record management systems, or a disposal register with information that documents what happened to a file, and under what authority it was disposed of. See Appendix D for an example of a disposal register.
   
   When sentencing legacy records, steps 4 and 5 can occur simultaneously. For example, records on property management match a class in a disposal authority; the action is to destroy seven years from closure; the record was closed nine years ago; therefore the record can be destroyed immediately.

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General Rules for Sentencing

1. Core records versus administrative records
   
   The GDAs only cover routine administrative records and are not to be used for a public office’s core records (i.e. those relecting primary duties and responsibilities). Sometimes core records can appear to be administrative and vice-versa. If you are unsure about which authority to apply, please contact Archives New Zealand staff at appraisal@archives.govt.nz.
2. Finding a disposal class
   
   If you cannot find a disposal class that fits with the records being sentenced, then put them to one side. Consult with colleagues or the business unit responsible for creating the record to help clarify which class it fits. If you are still unsure, contact Archives New Zealand staff at appraisal@archives.govt.nz.
3. Use the longest retention period
   
   If a record fits into more than one disposal class, always use the class with the longest retention period. For example, where file examination suggests it could fit into a class that says "destroy 7 years after date of last action", or into another class that says "destroy 10 years after date of last action", then retain the whole file for 10 years.
4. Never cull records from a file
   
   Never cull records from a file. Culling records destroys the integrity of the file by breaking the transactional chain of evidence. That is, a record by itself may be of very little value, but in context of the other records in the same file, it holds significant evidence.
5. Files with more than one part
   
   When files have more than one part, you can generally sentence each part as a separate item and destroy or retain them according to the disposal authority. However, it is possible that file parts being sentenced will contain information that the business requires to understand the active file part. Use your own judgement and common sense. For example, an Official Information Act (OIA) request file opened in 1999 has a new part started each year, so parts 1999- 2001 files can be destroyed in 2007, if the disposal class authorises destruction after five years.
6. Copies
   
   Make sure you can identify the original file documenting a particular activity of your organisation. For example, copies of a contract may be held with a business unit for reference purposes, but the original signed contracts are retained by the finance department. Copies can be destroyed using classes 1.6 or 1.7 of GDA3: General Housekeeping Records.
7. Handle with care
   
   When sentencing records, you may be handling fragile formats. Please ensure your sentencers understand any specific requirements for handling these. Similarly, for older audio-visual or digital material held on portable storage formats, such as microfiche or CD, make sure that you have the correct equipment to view the records. Do not try and force a format to read on unsuitable machines.
8. Sentencing problem records
   
   During the sentencing project, you may come across records that are dificult to it within a disposal class. Outlined below are some tips.
   • Look at the file cover. The file title and/or number should tell you which series or group the record comes from, or which business unit created it. The cover may also have a date, giving you some idea of the age of the record. Beware that file titles, especially for older records, can be misleading. If unsure, then check the contents of the file.
   • Consult the business unit responsible for creating the record. If it is a recent record, they may be able to tell you why it was created and what aspect of business activity it relates to.
   • Check to see if anyone consulted the file after it was closed. The user may be able to provide guidance for sentencing. This may also indicate that the record contains active reference material and should not be disposed of.
   • If the record could it into a class recommended for retention as archives and a class recommended for destruction, then choose the archival class.
   • If you come across records which do not it into any disposal class, it is possible that they have not been appraised. Rather than forcing it into a disposal class, the records should be appraised separately.

If you have any questions about sentencing, then please contact the Archives New Zealand Appraisal section at appraisal@archives.govt.nz.

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Records Over 25 Years Old

Under s21 of the Public Records Act 2005, every public ofice must transfer to Archives New Zealand all public records that have been in existence for 25 years that are recommended for transfer under a disposal authority. Practically, this will affect only a small portion of records authorised for retention as public archives.

When sentencing, you may come across records of more than 25 years old and find that they are still required by your organisation for business purposes. In this instance, a deferral of transfer under s22 of the Public Records Act 2005 must be sought. If the records are not required by your organisation, then they should be transferred to Archives New Zealand as part of the normal transfer process.

When sentencing, you may come across records that have a retention period of more than 25 years but are not to be retained as public archives. In this instance, a deferral of transfer is not required

Please contact Archives New Zealand at transfer@archives.govt.nz if you need more information about deferral of transfer.