1. Introduction

Purpose of Guide

Disposal is an important part of an efficient and effective records management programme. This guide aims to help public offices through the sentencing and disposal process. It outlines a step-by-step method for sentencing and provides some general rules for implementation.

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Scope

This guide can be used for sentencing records of low level administrative activities through the General Disposal Authorities or core functions (primary duties or responsibilities), through a disposal authority specific to your organisation.

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Definitions

Sentencing is the process of identifying and classifying records according to a disposal authority and applying the actions specified.

For definitions of all other recordkeeping terms used in this guide, please refer to Archives New Zealand's Glossary of Archives and Recordkeeping Terms.

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Benefits of Sentencing

As part of a well-managed disposal programme, sentencing records allows you to:

• save resources by not storing records for longer than necessary
• maximise the ability to retrieve records of continuing value to the public ofice
• save unnecessary time and expense migrating electronic records that could otherwise be disposed of
• demonstrate an effective records management programme
• demonstrate legal disposal under the Public Records Act.

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When to Sentence

This depends on whether you are allocating the appropriate class to a current or a closed record. Archives New Zealand encourages the sentencing of records as close as possible to the point of creation, whether your public office is running an electronic, paper, or hybrid recordkeeping system (i.e. both paper and electronic). Sentencing can be integrated into the procedures for classifying and titling of records.

Sentencing records near creation means that they can be managed according to their value and retained for no longer than is required. This is particularly important with electronic recordkeeping, where adherence to retention periods can avoid unnecessary migration costs.

It is important to remember that when sentencing current records, it may be necessary to wait until a ile is closed in order to apply the correct disposal class. For example, the appropriate class for a personnel file may change if that person receives the New Zealand Order of Merit

Your recordkeeping programme should include periodic checks that the assigned disposal classes are still applicable.

See section three for step-by-step instructions on how to sentence records.

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Electronic Records

The general principles for sentencing all records are the same, no matter what the format. However, electronic records do need a special mention.

An efficient electronic records management system can automate part of the sentencing process. For example, a business system can be instructed to delete a record seven years after it has produced an invoice, or 10 years after it has completed some other transaction. In an electronic recordkeeping system, disposal can be automatically linked to the classiication structure. It is important that robust review and quality control mechanisms are in place to ensure that the disposal actions are appropriate.

If electronic records are not sentenced as a routine part of a records management programme, the system can become cluttered with out-dated records, complicating searches and wasting resources.