Te tauākī arohaehae

Appraisal statement

This statement supports consistent and transparent appraisal. It outlines a set of guiding principles that your public sector organisation can use for identifying and assessing the value of its information and records.

What to do if you’re using an older version of this Appraisal statement

Version 1 of this Statement has been updated and replaced. If you have already started the appraisal process using version 1, you should continue to do so.

Read version 1 of our Appraisal statement

Identification and assessment of your organisation’s business context, business activities and risks is necessary in order to determine:

• what information and records you need to create

• what information and records are high-risk, high-value, or both

• how long information and records must be managed to meet legislative requirements, and business and community needs and expectations.

This process is known as ’appraisal’. Appraisal is a strategic and proactive approach to the creation, capture and management of information and records — rather than a reactive one. It combines an understanding of current business functions with the identification of business, regulatory and societal requirements relating to information and records.

It also includes an assessment of risks associated with creating and managing these over time.

Who this Appraisal statement is for

This Statement is for 3 key groups:

• public sector organisations — to meet statutory obligations and support business needs

• interested parties and stakeholders — who want to know more about the appraisal of information and records

• Te Rua Mahara o te Kāwanatanga Archives New Zealand staff — tasked with helping organisations undertaking appraisal, providing quality assurance and advising the Chief Archivist on the authorisation of disposal recommendations.

Local authorities can also use this Appraisal statement

Local authorities may also use the principles in this Statement:

• in the appraisal of their information and records to select local authority archives

• to identify information and records protected by the Chief Archivist under section 40 of the Public Records Act 2005 (the Act).

Under the Act, the Chief Archivist has a legislative responsibility to the Government and citizens of New Zealand to provide an integrated framework for the systematic:

• creation

• management

• disposal, and

• preservation

of public sector information and records (including data).

The Act provides regulatory tools to assist and support your public sector organisation to achieve voluntary, full and sustained compliance. Through our use of these tools — and our regulatory activities — we:

• enable government to be held accountable

• enhance public trust in the integrity and reliability of central and local government information.

Good information management practices are key to building this accountability and trust.

In section 3, the purposes of the Act include enabling the New Zealand Government to be held accountable by:

• ensuring that full and accurate information and records of the affairs of central and local government are created and maintained, and

• providing for the preservation of, and public access to, records of long-term value.

Also, under section 11(1) of the Act, the functions of the Chief Archivist in achieving these purposes are:

(a) to exercise a leadership role in recordkeeping in public offices and in the management of public archives in New Zealand; and

(b) in relation to public records, -

(i) to authorise the disposal of public records.

Appraisal is a legal requirement for disposal authorisation to be granted. We can provide advice and guidance on appraisal as disposal recommendations are an output of the appraisal process.

Under section 27(1)(a), the Chief Archivist may also issue mandatory or discretionary standards in relation to the appraisal for disposal of public records or local authority records.

It’s important to establish and use guiding rules or principles for the process of appraisal. This is because the process involves repeatable, evaluative judgements which can have serious implications for your organisation's accountability, efficiency and continuity.

Lawful

All decisions on the creation, maintenance and disposal of information and records must comply with statutory or other legislative requirements. You must ensure your appraisal process identifies and complies with any legislative or other legal obligations on your organisation for the creation, maintenance and disposal of information and records.

Accountable and transparent

Information and records created when undertaking functions on behalf of the New Zealand Government and New Zealanders provide evidence of your organisation’s:

• decision-making

• performance

• transactions, and

• conduct.

You should — as far as can be reasonably expected — ensure information and records that may be required to protect the rights and interests of internal and external stakeholders are identified and maintained in an accessible and authentic state.

Comprehensive and justified

Adequately documenting the appraisal process allows for informed scrutiny and review. Appraisal documentation should be comprehensive, showing:

• an understanding of the business activities and needs documented in the information and records

• that the expectations of all relevant stakeholders have been considered.

The justification and rationale for your recommendations on the disposal actions and retention periods of information and records must be well informed, clear and concise.

Consistent

Undertake appraisal in a planned and systematic manner. Follow the standards and guidance provided by us, and international best practice. Use the principles in our Public Sector Archival Selection Statement to identify what information and records to recommend for permanent retention as public archives.

Public Sector Archival Selection Statement

Considerate of resources

Continually identify — and balance — associated risks, costs and benefits. Public sector organisations have a responsibility to be prudent in the management of public funds. It’s not affordable or sustainable to permanently keep all the information and records your organisation creates or receives. Appraisal helps you distinguish between information and records of:

• permanent archival value

• longer-term value, and

• shorter-term value.

This helps you appropriately implement authorised disposal actions.

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