Application | Benefits of Compliance | Responsibilities | Exemptions | Legislative Basis

2. Mandate and Responsibilities

This standard is issued under section 27 of the Public Records Act 2005. The standard is mandatory for all public offices except schools, for all local authorities, and for repositories approved under section 26 of the Act.

Public offices, local authorities, and approved repositories are now expected to be working towards compliance with the standard. Full compliance with all requirements in the standard will be expected from 1 January 2010.

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2.1 Application

The standard is mandatory for:

• public service and non-public service departments
• offices of parliament
• crown entities, including district health boards and tertiary education institutions
• crown entity companies, including crown research institutes
• state enterprises
• regional councils
• territorial authorities
• council-controlled organisations
• council-controlled trading organisations
• local government organisations
• repositories for public archives approved under section 26 of the Public Records Act 2005.

The standard is discretionary for:

• state and integrated schools.

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2.2 Benefits of Compliance

This standard aims to support and improve government recordkeeping, by clearly specifying what is expected from public offices, local authorities, and approved repositories with respect to storage of physical records and archives. The benefits of compliance with the standard may include:

• improved access to corporate information over time
• improved security for corporate information over time
• reduced risk of damage, loss, or destruction of records
• increased ability to demonstrate accountability, through the retention and preservation of records which document actions and decisions
• increased public confidence in the integrity of an organisation’s records over time
• preservation of vital records in a disaster, so that an organisation can continue to function
• preservation of organisational records of historical and cultural value, through their transfer to archival repositories
• avoidance of the costly conservation treatment that may be required if records are damaged.

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2.3 Responsibilities

Responsibility for compliance with the standard rests with the administrative head of each public office, approved repository, or local authority. However, the effective implementation of this standard will depend on responsibilities being assigned for effective recordkeeping within each organisation.

Records that are subject to this standard may be held by third parties such as contractors or commercial storage providers. Therefore, contracts with such third parties must take account of this standard.

Under the Public Records Act 2005, there are a number of mechanisms to encourage compliance with these responsibilities:

• Under s26 and s29, the Chief Archivist has the power to inspect public records or local authority records and their storage.
• Under s31, the Chief Archivist may direct a public office or an approved repository to report on any aspect of its recordkeeping practice.
• Under s33-35, the Chief Archivist must commission independent recordkeeping audits of every public office, and reports on these audits will be presented to Parliament. These audits will start in 2010, and will measure compliance with requirements in this standard.
• Under s61, wilful or negligent damage of public records is an offence.

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2.4 Exemptions

The Chief Archivist may grant exemptions from compliance with the standard, on certain terms and conditions. Appeals against these decisions may be made to the Minister responsible for Archives New Zealand, who may allow or disallow the appeal after consultation with the appropriate Minister and the Archives Council.

Organisations that wish to seek an exemption must write to the Chief Archivist.

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2.5 Legislative Basis

The Public Records Act 2005, imposes the following responsibilities to ensure that public offices, local authorities, and Archives New Zealand care for the records they control (the full text of the Public Records Act 2005 and other New Zealand legislation is available online at http://www.legislation.govt.nz/).

s17 requires public offices and local authorities to create and maintain full and accurate records of their business activities, in accordance with normal, prudent business practice, including the records of any matter contracted out to a third party. It also requires maintenance of public records and local authority protected records in an accessible form.

s18 states that no person may dispose of public records or local authority protected records without authority from the Chief Archivist, unless disposal is required by or under another Act.

s21 provides for transfer of public records to Archives New Zealand.

s22 provides for deferral of transfer.

s26 allows for the Chief Archivist to approve repositories for public archives, and to set standards for such repositories so that public archives are properly maintained.

s27 allows for the Chief Archivist to issue standards in relation to public records and local authority records.

s30 outlines the process for gaining exemptions from compliance with standards.

s40 outlines requirements for protected records of local authorities.

Various other acts also support the need for a good standard of recordkeeping by public offices and local authorities in New Zealand. These include the following legislation:

• Official Information Act 1982.
• Local Government Official Information and Meetings Act 1987.
• Public Finance Act 1989.
• Resource Management Act 1991.
• Health and Safety in Employment Act 1992.
• Financial Reporting Act 1993.
• Privacy Act 1993.
• Copyright Act 1994.
• Tax Administration Act 1994.
• Electronic Transactions Act 2002.
• Building Act 2004.
• Evidence Act 2006.