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Managing information during administrative change
If your public sector organisation is undergoing change to your functions, you have responsibilities for the management of the associated information and records.
What is administrative change
Public offices and local authorities (public sector organisations) have statutory obligations to manage their information and records. Section 23 of the Public Records Act 2005 (the Act) relates to the transfer of information and records as a result of administrative change. The transfer process is also referred to as a “Section 23”.
This guide will help you to understand your responsibilities for the information and records involved. We recommend that you contact us early on in the change process as there can be considerable information and records management work involved including cost.
Section 23(2) requires that the organisation that takes over responsibilities for public records must notify the Chief Archivist within 3 months of the transfer taking place. This notification should be given using the Section 23 Transfer Notification Form. To request a copy of this form, contact us. Note: this notification obligation does not apply to local authorities.
Administrative change may also affect local authorities. Where section 23(3) of the Act applies, local authorities should contact us for advice.
Administrative change can include:
disestablishment of a function or an organisation
transfer of a function to another organisation
merger of an organisation into another organisation
transfer of a function to a private entity.
Administrative change can be the result of:
new legislation
change of Ministerial portfolio
change of Government after an election
merger or splitting of organisations
government decisions to change the machinery of government.
Definitions
Transferring organisation
The organisation which transfers to the function to another, including an organisation that is being merged into one or more existing organisations.
Receiving organisation
The organisation which receives the function or into which an organisation is being merged.
Types of administrative change
Disestablishment of a function or an organisation
When a function is disestablished, if your organisation is responsible for the associated information and records, you must still retain and continue to manage the information and records until they are due for disposal.
If your organisation itself is to be disestablished, you must fulfil your legislative obligations under the Act for authorised disposal of the information and records. Contact us early to discuss the options, which may include:
direction by the Chief Archivist for another organisation to take control of the information and records
transfer of information and records of archival value to us.
A checklist of tasks to do for the disestablishment of a function is provided below.
Transfer of a function to another organisation and mergers
Information and records relating to a function should be transferred with the function. This may encompass all functions where an organisation is being merged into another. Refer below for a checklist of tasks.
If your organisation is the transferring organisation, you have key responsibilities for identifying the associated information and records as well as any management systems, and for facilitating the transfer. Where several organisations are being merged together, the transition or the new organisation should ensure that any requirements under section 23 of the Act are met.
You should identify any high-risk and high-value information and records early and prioritise their management. The integrity of any information and records considered high-risk or high-value, i.e. essential to the ongoing business of your organisation, must be maintained to ensure the business can continue in the event of disruption.
If your organisation is the receiving organisation, you are responsible for ensuring that you receive information and records associated with the transferred function. If your organisation is a public office, you are responsible for notifying us of the change under section 23(2) of the Act.
Transfer of function to a private organisation
The transfer of a function and its associated information and records from a public sector organisation to a private organisation is outside the scope of this guidance and will be considered on a case-by-case basis.
Contact us if your public sector organisation is proposing to transfer any information and records to a private organisation (this includes potential sale). Public information and records retain their status as 'public records' and the associated legislative obligations unless they are formally discharged by the Chief Archivist. Information and records created by a private organisation are not public records.
Checklists
Disestablishment of a function
Appraisal and disposal tasks:
Undertake an appraisal of the information and records associated with the function to determine their value and the appropriate periods of retention prior to their disposal - see our guidance on the appraisal process; or
Sentence the information and records against a current organisation specific disposal authority (if you have one), a sector or functional disposal authority (if your organisation is signed up to one) and the General Disposal Authorities – see our guidance on disposal sentencing; then
Transfer information and records of archival value to us or securely destroy at the appropriate time – see our guidance on the transfer process and methods of destruction.
Information and records management systems tasks:
Update any management systems to make it clear that no new information and records are to be created for the disestablished function
Complete and return our Section 23 Transfer Notification Form. Email us to request a copy of this form.
Transfer of a function to another organisation and mergers
Transfer Plan Agreement tasks
Agree and document the transfer plan, including responsibilities of both the transferring and receiving organisations. This agreement should include, but not be limited to:
A description of the information and records to be transferred, including associated metadata, and any control records such as registers and indexes
Agreed identification of which information and records are to be transferred
Current locations of the information and records to be transferred
Agreed identification of any information and records to be retained
Assignment of roles and responsibilities
Arrangements for any information and records access and security
Arrangements for any information and records in secondary storage and management issues, such as contractual arrangements, costs, outstanding charges
Specific management requirements for various formats
Confirmation of ongoing information and records ownership
Agreed processes if additional information and records are uncovered during implementation of the plan
Agreed allocation of costs
Agreed timeframe for completing transfer processes
Identification of system changes needed to ensure effective management of the transferred information and records.
Disposal tasks
Are routine disposal activities up-to-date?
Does the transferring organisation have a current Disposal Authority covering information and records affected by administrative change?
Amend the Disposal Authority of the transferring organisation to remove the transferred information and records.
Does the receiving organisation have a current Disposal Authority? If not, contact us.
Work with us to amend the current Disposal Authority of the receiving organisation to cover the information and records received or to create a new Disposal Authority. The transferring organisation’s Disposal Authority can be used as a precedent.
Confirm which information and records are to be:
transferred to secondary or commercial storage facilities
destroyed
transferred to us.
Agree and document arrangements for organisational access - both the transferring and receiving organisations may have ongoing needs to access information and records of the function
Confirm that all information and records being transferred are covered by an access authority if required, to ensure the receiving organisation can allow public access
The transferring organisation must advise the receiving organisation of any existing access authorities that will need to be reviewed
Check any security levels, caveats, or classifications currently in place.
Are additional security measures needed?
Permissions must be managed to ensure unauthorised access to sensitive information does not occur during transfer.
Transfer access and security protocols must be in place.
Ensure a transfer plan is established and that transfer processes are monitored against the plan.
Update information and record management systems to allow effective management of the information and records received.
Sign off confirmation that all agreed information and records have been transferred.
Complete and return our Section 23 Transfer Notification Form. Email us to request a copy of this form.