2. Planning for Sentencing Projects

Sentencing at the point of creation is ongoing. Otherwise a specific sentencing project may be required to apply disposal categories to current or closed records. This section outlines some tips for planning a sentencing project.

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Project Timing

Sentencing projects may vary in length and may be subject to a range of different factors. Before starting a project, it is important to consider these points

• If faced with an overwhelming volume of records, it could help to divide it into several smaller projects
• Focus sentencing around your organisational priorities. For example, if the priority is to reduce storage demands, then concentrate on classes of well- organised records
• Other factors affecting the time a sentencing project will take include:
  • the age, format, and arrangement of the records
  • the experience and organisational knowledge of the
    sentencer(s)
  • the quality and clarity of the appraisal report, disposal schedule and implementation guide
  • the time required to consult with business units responsible for creating the records
  • the availability of resources.
• Organisations wanting to transfer records to Archives New Zealand at the end of a sentencing project, should contact the Manager, Arrangement and Description (transfer@archives.govt.nz) or the relevant Archives New Zealand Regional Ofice. This is particularly important in Wellington, as Archives New Zealand Head Office has a planned transfer programme in place.

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Using the Right Disposal Authority

Before any sentencing occurs, gather all relevant disposal authorities, as well as any in-house business procedures, guidelines or policies referring to disposal processes.

General Disposal Authorities (GDAs) are applicable to most public ofices. They cover generic classes of records created through common business functions. Public offices may have core functions that differ widely, but the administrative processes supporting functions are far more similar.

• Please note that records which relate to a public office’s core functions, even if they appear to belong to a GDA disposal class, are not covered by that GDA.
  
  Archives New Zealand has four GDAs for classes of records common to all public offices, and one GDA for digitised records:
  • GDA 1: Human Resources and Personnel Records
  • GDA 2: Financial and Accounting Records
  • GDA 3: General Housekeeping Records
  • GDA 4: Administration and Corporate Services Records
  • GDA 5: Digitised Original Source Records

If you have any queries about coverage of records under the GDAs, please contact the Appraisal section at Archives New Zealand at appraisal@archives.govt.nz.

Disposal schedules are specific to a public office and specify which records should be retained as public archives or destroyed, after they are no longer required by that public office. Examine the disposal schedule or accompanying appraisal report to find out which records are in scope and eligible for sentencing.

Disposal schedules are current for a limited time (usually 10 years). Only current disposal schedules can be used for sentencing, therefore you should check the currency of the schedule before starting a sentencing project

A list of current disposal authorities for public ofices can be obtained from searching online via Archway.

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Sentencing Tools

There are several tools to help sentencers use a disposal authority.

All records disposal procedures and policies should be given to the sentencer. This ensures that all disposals are conducted in accordance with any internal rules. For example, a recordkeeping policy may say that authorisation from the Chief Information Officer or a particular senior manager is required before disposal can occur. Ideally, a centralised records management person or team should be responsible for developing such supporting documents.

Agency specific sentencing guides which match classes of a disposal authority to the relevant component of your recordkeeping system will speed up the sentencing process. If you are planning an appraisal and sentencing project, it may be helpful to map your disposal authority to your classification at the time of appraisal. Please note, classification schemes can change regularly, this means the sentencing guide should also be updated regularly. Any major change in classification, especially those resulting from changes to your organisation's primary duties or responsibilities, may require a new disposal authority. If you have any queries about this, please contact Archives New Zealand at appraisal@archives.govt.nz.

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Staffing Requirements

Staff employed to manage the implementation project require:

• a sound understanding of what your organisation does
• the ability to interpret the disposal schedule
• the ability to communicate with business units to discuss any interpretation issues
• access to appropriate levels of your organisation for sign-off of disposal.

Sentencers should have appropriate experience. The more the sentencer knows about the recordkeeping processes and core functions of the organisation, the less risk there is of the project running over time and budget, or incorrect sentencing decisions being made.

If your organisation is employing someone for the sentencing project, then they should be given suficient time to study the recordkeeping systems and history of the organisation. If sentencing involves legacy records inherited from predecessor agencies, then additional time will be needed to gather background information.

Sources for this information may include:

• Annual Reports and Statements of Intent
• governing legislation
• organisational histories
• recordkeeping policies, rules and processes
• discussion with key staff members.

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Facilities and Supplies

If sentencing large quantities of paper records, then ample space will be required for the project. A sentencer will need:

• plenty of desk space to spread out records, in an environment that does not threaten vulnerable records, e.g. not in direct sunlight
• access to the relevant control records, including electronic records management systems and other electronic indexes
• shelving to store records before, during and after sentencing
• computer access to create documentation
• the ability to contact Archives New Zealand
• equipment for moving records around the ofice, e.g. trolleys
• conservation gloves, if handling fragile legacy records.

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Internal Approval

It is important that disposal actions are approved by an appropriate person within the organisation. One staff member should be responsible for approving lists of records to be disposed of (destroyed or transferred). If sentencing recently closed records, it is advisable to have the section head/manager of the department who used the files to sign-off on any disposal action. This ensures that there is no other business need for retaining the records.

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Managing Records After Sentencing

Before starting the project, you should plan the management of your records after sentencing. This may involve:

• destroying records (refer to Fact sheet: Methods of Destruction)
• transferring records (refer to Fact sheet: Transfer Process)
• storing records until transfer or destruction (internal or with a commercial provider)
• determining any access restrictions on records transferred to Archives New Zealand (refer to Making Access Decisions Under the Public Records Act)
• creating and managing a precedent register that documents dificulties in sentencing problem records. This will assist with further sentencing projects and ensure continuity of sentencing interpretation. See Appendix C for a precedent register template.