NZ GUIDE TO RECORDS MANAGEMENT COMMITTEE DRAFT

    This is the first draft of the New Zealand Guide to Records Management on general release. It is published here, temporarily, for public view and comment. This Guide will not, necessarily, reside on this site in the future. The Guide's authors, named below, are negotiating with public and private sector webmasters for a permanent site.

    The authors are aware that recent changes in legislation call for a small number of amendments to the Guide. Nonetheless, any further information on records management in New Zealand laws, regulations or non-regulatory sources would be welcomed. Public reaction and comment is invited. Please file responses to committee chairman, Michael Steemson at steemson@xtra.co.nz, or any member of the Guide Committee, by July 30, 2001.

    Michael J. Steemson,
    Chair, New Zealand RM Guide Committee.
    April 25, 2001.
    ________________________________________



    The New Zealand Guide to Records Management



    _____



    A supplement to Australian Standard AS4390






    A cross-reference to the Australian Standards' Records Management Standard AS4390, and other world standards, and a code of practice for New Zealand recordkeeping professionals


    Preface
    The advent of Standards Australia's Records Management Standard, AS4390 (hereinafter referred to as AS4390), in 1996 was a major breakthrough for the recordkeeping profession world wide. It was followed by similar standards and codes of practice in other developed countries, notably Britain, the United States and Canada. In the near future (expected third-quarter, 2001), it will be succeeded by the International Standards Organisation's Records Management Standard, ISO15489.

    All the above documents contain applications and advice appropriate for New Zealand information professionals but none, of course, deal with matters unique to the New Zealand environment. With this in mind, an ad hoc committee of New Zealand public and private sector records managers was formed in 1998 to consider the possibility of preparing a code or standard for the nation, based on AS4390, the code which most nearly covers New Zealand's needs.

    With the quantity and variety of expertise available world wide, usually on publicly accessible media, the committee decided it was not necessary to create yet another description of good practice. What was required was a document particularly applying the tenets of the Australian standard.

    The New Zealand committee, supported by the Archives of New Zealand (formerly the National Archives of New Zealand), met regularly throughout 1998 and 1999. In 1999, the Standards Australia committee IT/21, which was responsible for creating AS4390, invited the New Zealand committee to join its work. This was agreed and the New Zealand committee was appointed Standards Australia Sub-committee IT/21/6.

    The New Zealand Committee comprised:

      Robyn Caldwell, Manager, Archives & Records Management Division, Fletcher Challenge Ltd.
      Philippa Fogarty, Independent consultant (Committee Deputy-chair).
      Michael Hoyle, Manager, Statutory-Regulatory group, Archives of New Zealand.
      Rachel Lilburn, Lecturer, School of Communications and Information Management, Wellington University of Victoria.
      Trish O'Kane, Principal Consultant, SWIM Ltd.
      John Roberts, Senior Archives Analyst, Archives of New Zealand.
      Kerri Siatiras, Knowledge Resources Manager, Ernst & Young (NZ) Ltd.
      Susan Skudder, Principal Consultant, SWIM Ltd.
      Michael Steemson, Principal, The Caldeson Consultancy (Committee Chair).
      Evelyn Stewart, Consultant, Wang/Knowledge Solutions (Guide Editor).
      Bruce Symondson, Records & Archives Manager, Auckland City Council.


    The Guide Sections

    The committee was split into working groups to prepare the Guide's five sections or chapters, each lead by a “driver” who co-opted experts to contribute to their particular subjects. The Section Drivers were:

      1. New Zealand Recordkeeping Legislation:   Trish O'Kane
      2. Mâori and Records Management:   Rachel Lilburn.
      3. Definitions for N.Z. Records Managers:   Michael Hoyle.
      4. Stewardship Considerations:   Philippa Fogarty.
      5. Non-regulatory Documents of Value:   Michael Steemson.


    Acknowledgments

    The committee wishes to acknowledge and thank Chris Hurley, Acting Director and Chief Archivists of the National Archives of New Zealand (now Archives New Zealand), for his support and assistance with the work on this Guide. Without his unstinting support, preparation of this Guide would have been well nigh impossible.

    The committee wishes to acknowledge the special guidance and assistance given Rachel Lilburn in the preparation of section 2: Mâori and Records Management. This section of the guide was greatly enhanced by the collective wisdom of all those who provided input, especially consultant Hinerangi Himiona, and Kahu McClutchie and Molly Kino of Te Puni Kokiri (Ministry of Mâori Development).

    The committee also wishes to place on record its thanks for the invaluable help with the Guide from a number of people who worked on the committee at various times: Paula Crisp, of the Ministry of Justice, Greg Goulding, Fiona McGregor and Evelyn Wareham, all members of the staff at the Archives of New Zealand; Miranda Welch, of Profile Records Management Services; Liz Wilson, of SWIM Ltd., and archives and records management consultant Deirdre Wogan. The committee's thanks also goes to the large number of New Zealand records and information managers who took an interest and provided invaluable feedback during the committee's deliberations.

    Finally, the committee salutes the enormous work undertaken by the Standards Australia committee IT/21, lead by Deloitte Touche Tohmatsu's consultant David Moldrich, without which Australian Standard AS4390 would not have been created to benefit records and information professionals and their organisations throughout the world.

    Michael Steemson,
    Chair, New Zealand Records Management Guide committee,
    Standards Australia sub committee IT/21/6.

     

    Table of Contents


    Preface 2
    The Guide Sections 3
    Acknowledgments 3
    Introduction 6
    The Guide in Summary 6
    Keeping the Guide up to date 9

    1 New Zealand recordkeeping legislation 10
    1.1 Introduction 10
    1.2 Financial Legislation 11
    1.3 Mâori and Treaty of Waitangi Legislation 11
    1.4 Privacy Legislation 12
    1.5 Employment Legislation 13
    1.6 Commercial Legislation 13
    1.7 Public Sector Legislation 13
    1.8 Local Government Legislation 14
    1.9 Intellectual Property Legislation 14
    1.10 Other Legislation 15

    2. Mâori and Records Management 17
    2.1 Guiding Principles 17
    2.1.1 Introduction 17
    2.1.2 Framework for understanding and applying Mâori cultural concepts 17
    2.1.3 Key Components of Good Practice 18
    2.2 Examples of Application 18
    2.2.1 Strategies 19
    2.2.2 Control 20
    2.2.3 Appraisal and disposal 21
    2.2.4 Storage 22
    2.3 Relevant Legislation and other Documents 22

    3 Definitions for N.Z. Records Management 24
    3.1 Introduction 24
    3.2 General 24
    3.3 Records Life Cycle and Records Continuum 25

    4 Stewardship Considerations 27
    4.1 Introduction 27
    4.2 Definition 27
    4.3 Responsibilities of a Steward 27
    4.4 References 29

    5 Non-regulatory documents of value to N. Z. recordkeepers 30
    5.1 Introduction 30
    5.2 Archives & Records Management 30
    5.3 Electronic Commerce 32
    5.4 Ethics 33
    5.5 Legislation Guides 33
    5.6 Library Management 34
    5.7 Maori and Treaty of Waitangi 34
    5.8 Official Information 36
    5.9 Oversees Publications 36
    5.10 Privacy Concerns 38
    5.11 Security 38

    Annex 1. Glossary of Mâori terms 39

    Annex 2. Mâori and English versions of the Treaty of Waitangi… 40
    1.1 The Treaty of Waitangi, 1840 (English text) 40
    1.2 Tiriti o Waitangi, 1840 (Mâori text) 41
    1.3 Translation of the Mâori text of the Treaty, by Professor Sir Hugh Kawharu 42
    1.4 Notes to the translation by Prof. Sir Hugh Kawharu 43
    Index 38

     

     

    Introduction

    The immediacy and quantity of records in routine use by organisations across the nation's public and private sectors have brought into high profile the need for strategic management and care of information. Information is, at last, being recognised as the fourth resource of business, next to property, manpower and product.

    New forms of communications have brought unprecedented swiftness to business intercourse, leaving organisations less and less time to ponder decisions. With this soaring pace have come more facts and more sources of fact creating the danger of information overload for decision makers.

    A plethora of records management codes of practice and standards produced around the world, especially since the 1996 publication of AS4390, has been the global response to the influx of information. These documents re-affirm the creation of a layer of control and vigilance to relieve the new information pressures.

    The New Zealand Guide to Records Management is both a result and a response to these new paradigms. Without re-inventing old wheels by re-stating principles well expounded in world codes, this document offers guidance to New Zealand records and information managers in recordkeeping aspects that are unique to their environment.


    The Guide in Summary

    Section 1:  New Zealand recordkeeping legislation: Not unnaturally, neither AS4390 nor any other world records management codes give guidance on the application of New Zealand laws of concern to recordkeepers. Australian and New Zealand laws have much in common, but also wide differences.

    For example, New Zealand privacy legislation applies to the private sector, unlike Australia. The differing legislative foundations of the two countries, Australia's State and Federal jurisdiction as opposed to New Zealand's central legislature, create additional dissimilarities.

    In Section 1, the Guide provides a list of key legislation with comment on the recordkeeping provisions of each. It also reveals a number of weaknesses in the country's legislation, weaknesses revealed during the research for the Section. Though not the prime purpose of the Guide, the Section authors nonetheless draw attention to these faults with comments such as:

    “Interestingly, when New Zealand legislation stipulates that records must be created, it often omits to state by whom, how they should be made available or for what period. Similarly, issues of importance to recordkeepers, such as retention or access responsibilities may not be covered, or may only be covered in regulations issued under the principal act.”

    These remarks may be food for thought for legislators in and around the New Zealand Parliament.


    Section 2: Mâori and Records Management: A principal concern in Aotearoa-New Zealand is the requirements of the bi-cultural European-Mâori society enshrined in the country's founding Treaty of Waitangi (1840) between the British Crown and the tangata whenua.

    Recordkeeping has a special focus here. Mâori culture has quite different philosophies and models to those of the western world. For instance, it is often the tribal group that owns important aspects of Mâori knowledge rather than the individual, a paradigm investing rights of control and protection that presents special challenges.

    Section 2 of the Guide demonstrates the importance for all managers of information in New Zealand to recognise and be aware of these and other differences, particularly when dealing personally with Mâori clients or customers. It gives specific guidance on how to satisfy these cultural sensitivities by consultation and co-operation with groups and individuals.

    One example, the recording of written genealogical details (whakapapa), has particular concerns for Mâori. These concerns may be resolved by the return of the record to its “owner” once the purpose for writing is fulfilled. This problem has particular relevance in the health industry. Use of te reo Mâori, an official language in New Zealand, also brings special recordkeeping concerns, particularly in indexing.

    A glossary of Mâori words and phrases used in the Guide, and their English translations, is given in Annex 1. In its second annex, the Guide gives the original English and Mâori wording of the Treaty of Waitangi, plus a translation of the Mâori text back into English by Professor Sir Hugh Kawharu.


    Section 3: Definitions for New Zealand Records: The Guide focuses primarily on AS4390, the first modern national information management standard, because it describes recordkeeping practices most closely akin to those in New Zealand. Nonetheless, a certain number of terms in use in Australia are not common to New Zealand information professionals.

    Section 3 demonstrates that while the trans-Tasman differences are not huge, there are sufficient variances to require clarification for full understanding of AS4390 and its application within the New Zealand jurisdiction.

    The section also sets out the differences between the traditional records “life cycle“ principal and Australia's often-preferred “records continuum”, a concept not favoured by some New Zealand professionals. It gives a brief description of the continuum model's founding principles and aims.


    Section 4: Stewardship consideration. The structure of New Zealand's centralised government, compared with Australia's federal and state divisions, creates differences in responsibility for records ownership and custody. To assist New Zealand information practitioners, the Guide's third section, puts the responsibilities into context with a checklist of compliance statements that may be applied by organisations.

    The checklist bears primarily on Government agencies, but the principles it espouses can apply equally to private industry and commerce. Does, for instance, an organisation assign accountability for statutory requirements related to the information? Is someone charged with seeing that information is managed ethically and in a way that protects privacy and confidentiality?

    The section lists a dozen such challenges for information managers on points the Guide committee felt were not emphasised in AS4390.


    Section 5. Non-regulatory documents of value to New Zealand recordkeepers. New Zealand recordkeeping professionals working in private and public sector organisations have, from time to time, to refer to authoritative sources of good practice to focus their operations or demonstrate a requirement to a third party. AS4390 and other world codes and standards can provide much of this back up, but independent and impartial New Zealand sources are needed to give weight to any proposal on the south-east side of the Tasman. Section 5 was devised with this in mind.

    The section contains many New Zealand sources of recordkeeping process, and a brief selection of the best of overseas codes that may be of interest to information management practitioners. Many of the references carry World Wide Web Universal Resource Locators (URLs) that, it is hoped, will remain unaltered for a useful period.

    Inclusion in the list does not necessarily carry an implication of endorsement on the part of the Guide Committee. Neither does omission of a document, per se, imply disapproval. The list is as complete as possible, but is not exhaustive.





    Keeping the Guide up to date


    Like the Australian Records Management Standard AS4390 that it supports, this Guide is a living document that reflects progress in information technology and management process and practice and illustrates a point in this development. By the same token, it is a snapshot of New Zealand legislation, regulation and other documentation that was as accurate as possible at the time of publication.

    No document in such a dynamic field can ever be infinitely complete and the New Zealand Records Management Guide Committee would welcome comments and suggestions, The Committee especially encourages users to notify it immediately of any apparent inaccuracies, inadequacies or ambiguities.




    1. New Zealand recordkeeping legislation

    1.1  Introduction

    This Guide provides a list of key New Zealand statutes with comment on the recordkeeping provisions of each. It is designed to promote awareness of recordkeeping requirements and to help in a search for specific provisions.

    Interestingly, when New Zealand legislation stipulates that records must be created, it often omits to state by whom, how they should be made available or for what period. Similarly, issues of importance to recordkeepers, such as retention or access responsibilities may not be mentioned, or may only be covered in regulations issued under the principal act.

    The Guide list includes both Acts and Regulations in effect at the time of publication. In theory, an Act establishes general principles and accompanying Regulations stipulate specific details. However, this may not hold true for all legislation.

    Since both Acts and Regulations can be amended and superseded, it is important to establish that any material being researched is up to date. The authors have been as thorough as possible in identifying appropriate legislation, but it should not be assumed that the list is exhaustive. Regulations are referred to in cases where they contain significant extra detail of the recordkeeping regime required under law.

    It should be kept in mind that on-line, electronic material may not, necessarily, represent the most up-to-date form of the law.

    Every Government agency is required to maintain a list of its general and specific recordkeeping obligations. The list should distinguish between obligations that are legislative and those driven by internal business rules.

    Many New Zealand's Acts are available electronically in the GP Legislation Collection. They may be seen on line from the Knowledge Basket database at URL http://rangi.knowledge-basket.co.nz/gpacts/actlists.html. Some key sources for further access and a selection of other relevant publications are included in section 5. Non-regulatory documents of value to N.Z. recordkeepers.

    Section 1 is split into groups to assist users from specific sectors. Within each heading, legislation is listed alphabetically. Irrespective of legislation groupings, it should be remembered that many Acts apply to recordkeeping across both government and business spectrums.


    1.2   Financial Legislation

    Financial Reporting Act 1993
    Defines the standards to be used in preparing financial reports and obligations in respect of the preparation and audit of financial statements.

    Financial Transactions Reporting Act 1996
    Includes requirements for financial institutions to retain transaction records for at least five years (s 29), to retain verification records for at least five years (s 30), and any other records prescribed by regulation. Also gives provisions relating to the manner of retention, time of destruction and obligations for reporting of suspicious transactions.

    Goods and Services Tax Act 1985
    Includes requirements for the keeping of records to support the administration of the Goods and Services Tax system (s 75) and their retention for a period of at least seven years after the end of the taxable period to which they relate.

    Income Tax Act 1994
    Includes requirements to furnish records to support specific rebates or deductions, such as those for demonstrating the business use of motor vehicles (s DH2 - 3).

    Reserve Bank Act 1989
    Includes provisions relating to the registration of banks by the Reserve Bank, and reporting requirements of registered banks. Also protects records of banks subject to statutory management (s 151).

    Tax Administration Act 1994
    Requires taxpayers and employers to keep records in relation to business matters for tax purposes. Such records are to be retained for at least seven years after the end of the income year to which they relate (s 22 (2)). Other recordkeeping provisions include the Inland Revenue Commissioner's powers to obtain information, the furnishing of tax returns, and the secrecy of information provided in relation to tax matters.


    1.3  Mâori and Treaty of Waitangi Legislation

    Health related legislation
    In accordance with The Health (Retention of Health Information) Regulations 1996 patients should be notified of the opportunity to uplift their medical records. Only the individual patient to whom the records relate, or the next of kin, may make the request. The Health Information Privacy Code 1994 also dictates patients' rights to personal and informational privacy. There is a high degree of acknowledgement of the rights of Mâori in the Code, in particular in the commentary sections.

    State Owned Enterprises Act 1986, sec. 9
    This Act states: “Nothing in this Act shall permit the Crown to act in a manner that is inconsistent with the principles of the Treaty of Waitangi”. This requires the Crown to act in good faith and make informed decisions. From this requirement the duty to consult has developed.

    Land related legislation
    Many land records may have implications for Mâori where an organisation's actions specifically concern Mâori-owned land and/or land that Mâori consider of particular significance to them. This may include land alienated from Mâori control by sale or confiscation, for example, or subject to long-term lease or reservation arrangements. Organisations should very carefully consider the need for creation and capture of such records into recordkeeping systems and their appropriate appraisal and disposal. See also reference to the Land Act 1948 in Section 1.10.

    Treaty of Waitangi Amendment Act 1985
    This was a significant change to the 1975 Act and allowed claims to the Waitangi Tribunal against the Crown to be dated back to February 6, 1840. This has significant implications for retention by the Crown of evidence in the form of records relating to, for example, the acquisition, ownership and management of Crown land or interests in land.

    Treaty of Waitangi (State Enterprises) Act 1988
    The Treaty of Waitangi (State Enterprises) Act 1988 protects Mâori claims for land that has been transferred to state enterprises under the State Owned Enterprises Act 1986.

    Other legislation
    1. •Crown Forests Assets Act 1989;
    2. •Treaty of Waitangi (Fisheries Claims) Settlement Act 1992;
    3. •Treaty of Waitangi Amendment Act 1993 (relates to the return of privately-owned land to claimants).

    1.4   Privacy Legislation

    Privacy Act 1993
    Establishes a set of privacy principles to ensure the protection of personal privacy in respect of both public and private sector organisations. The Act is of prime importance and should be clearly understood by all information management professionals.


    1.5  Employment Legislation

    Employment Contracts Act 1991
    Contains recordkeeping requirements for redundancy of employment records (s47). Wages and time records for any period in the preceding six years must be available for the employee. There is also a requirement to retain records of any strikes and lockouts (s142)

    Health and Safety in Employment Act 1992
    Requires employers to maintain a register of accidents and serious harm. No retention period is given.


    1.6  Commercial Legislation

    Companies Act 1993
    Includes provisions requiring the maintenance of a share register (s 87 - 94), company records (s 189 - 191), accounting records (s 194), and audit and reporting obligations. It allows the inspection of company records (s 178 - 179 and s 215 - 218). Other provisions include the registration of companies with the Registrar of Companies. The Act should not be confused with the Commerce Act 1986 in which no major provisions are found though a requirement to register applications is implied.


    1.7  Public Sector Legislation

    Archives Act 1957
    Provides for the selection of public records and archives for retention. Directs that public records and archives may only be destroyed or disposed of with the authority of the Chief Archivist. Provides for the deposit of public archives with the Archives of New Zealand and describes conditions for the management of material so deposited. Sets out the powers of the Chief Archivist in respect of current public records.

    Official Information Act 1982
    Provides for access to official information, except where specific reasons for withholding it exist, such as national security or the protection of personal privacy.

    Ombudsmen Act 1975
    Contains requirements for documenting complaints and the supply of written evidence to support complaints. Specifies access restrictions on a complaint or supplied evidence, and on publication of any summary report resulting from a complaint. Allows Ombudsman to review complaints, records and decision-making processes and procedures.

    Public Finance Act 1989
    Covers the reporting requirements of the Crown, Government Departments and Crown Entities, including requirements for Audit Office issuing of Audit Opinions.


    1.8  Local Government Legislation

    Building Act 1991
    Covers the obligations of territorial authorities to keep records relating to the administration of their functions under the Act (s 27). Describes processes involved in documenting a range of other functions, such as the registration of building certifiers (s 53), the issuing of building consents, and establishing compliance with the National Building Code.

    Local Government Act 1974
    (As amended by the Local Government Amendment Act 1977)
    Provides for the Chief Archivist to gazette a list of classes of records that may not be destroyed without prior notice in writing to the Chief Archivist. Local authorities are required to provide adequate protection of local archives (s248-259).

    Local Government Official Information and Meetings Act 1987
    Contains the principle that information should be made available to the public unless there is good reason for withholding it. Contains procedures for making information available.

    Rating Powers Act 1988
    Contains recordkeeping requirements for local authorities with respect to rating records (s113). Section 122 also provides details of which rates records may be supplied to the ratepayer.

    Resource Management Act 1991
    Covers recordkeeping requirements for all documents relating to the planning and use of natural resources such as land, sea and air. Includes requirements for the creation and accessibility of plans for resource consent applications. No retention periods are specified. Applies to all parties involved in management of resources but has specific requirements for local authorities.


    1.9  Intellectual Property Legislation

    Copyright Act 1994
    Contains references to the requirements for documenting copyright in original works, transferring copyright and licensing for use/copying. Includes documentation requirements for hearings of the Copyright Tribunal. Copyright Regulations also apply.

    Designs Act 1953
    Contains recordkeeping requirements for all documents associated with the creation and registration of a design with the Patents Office. Includes specific requirements regarding the creation and accessibility of the Register of Designs. Designs Regulations also apply.

    Patents Act 1953
    Contains recordkeeping requirements for all documents associated with the application for and certification of New Zealand patents. Includes specific requirements regarding the creation and accessibility of the Register of Patents. Patents Regulations also apply.

    Trade Marks Act 1953
    Covers recordkeeping requirements for all documents relating to the application for and certification of New Zealand registered trademarks. Includes specific requirements regarding the creation and accessibility of the Register of Trademarks. Trade Marks Regulations also apply.


    1.10  Other Legislation

    Births Deaths and Marriages Registration Act 1995
    Covers recordkeeping requirements relating to the registration of births, deaths and marriages, and access to those registers.

    Evidence Acts
    The Evidence Act 1908 governs the admissibility of documents and records in Courts. This Act lacks a definition of documents, but the Evidence Amendment Act 1945 defines them as including “books, maps, plans, drawings and photographs”. Since both Acts were written before the development and widespread use of computers they do not address the issues of machine generated information. The Evidence Amendment Act (No. 2) 1980, governs the admissibility of business records as documentary hearsay evidence. In 1999, the Law Commission published a report (NZLCR55: Evidence Part Two: Evidence Code and Commentary. 1999) that contained significant proposed changes to legislation. The report addressed issues such as the evidential value of machine-generated information and the definition of documents. See below for sources of information on legislation.

    Land Act 1948
    Covers the requirements for processes in the transfer, leasing and licensing of activities on Crown Land. Includes specific requirements about application processes, creation and maintenance of the Index book to be held at each Land Transfer Office (s42), and a register of leases and licences to be held in the office of the District Land Registrar (s82), and appeals processes that require lodging documents with the appropriate District Court. Does not specify access to or retention of registers, nor any other recordkeeping but, for example, the Land Valuation Tribunal can require any documents it sees fit (S133).

    See also Deeds Registration Act 1908, Land Valuation Proceedings Act 1948, and Land Transfer Act 1952.




    2. Mâori and Records Management

    2.1  Guiding Principles

    2.1.1  Introduction

    Mâori culture has strong traditions of information management that are surrounded by quite different philosophies and paradigms to those of the western world, from which the recordkeeping profession stems. For Mâori, it is the group - iwi or hapu - that owns important aspects of knowledge rather than an individual. The right of Mâori to control and protect this knowledge and information presents challenges, especially when it may be used for commercial profit by other parties.

    It is important for all managers of information in New Zealand to be aware of and recognise these differences, particularly when dealing with Mâori records and/or Mâori customers. Recognition of Mâori culture may involve a change in perspective and the way records are managed within an organisation. The expertise of Mâori information professionals should not be overlooked by organisations seeking such application.

    This section of the Guide outlines some key components of good records management practice that respect Mâori values, beliefs and tikanga. To aid these objectives, the parts of AS4390 that apply are indicated where appropriate.

    As with AS4390, these guidelines are not prescriptive. They are intended to facilitate the ongoing development of policies, procedures, systems, and practices that are responsive to Mâori needs.

    There may also be a requirement to develop initiatives to suit local conditions and needs and take into account the diverse realities of Mâori people, for example, when dealing with limited fluency in te reo Mâori or uncertainty over iwi affiliations.

    A glossary of Mâori words and phrases used in the Guide, and their English translations, is given in Annex 1.

    2.1.2  Framework for understanding and applying Mâori cultural concepts

    It is important for all organisations, especially those dealing with Mâori customers and/or records, to recognise the status of Mâori as tangata whenua and Treaty of Waitangi partners in New Zealand. (See Annex 2 for the wording of the Treaty).

    The Treaty of Waitangi (1840) is the most significant formal and binding contract between the Crown and Mâori people. It is New Zealand's founding document. The main principles enshrined in the Treaty, as defined by the Court of Appeal, are:

    1. Kawanatanga - governing rights;
    2. Rangatiratanga - self-determination for tangata whenua;
    3. Equality - fundamental rights;
    4. Partnership - obligations and entitlements.

    These principles require the Crown and Mâori to act reasonably and with good faith in their interactions. The Crown must actively protect the Treaty rights of Mâori, in particular their social, cultural, and economic well-being, and not encroach on tino rangitiratanga. Consultation with Mâori is integral to this promise.

    In acknowledging the special status of Mâori people as tangata whenua, there is a legal and moral imperative for all organisations operating in New Zealand to incorporate elements of Mâori culture in their records management.


    2.1.3  Key Components of Good Practice

    It is important that organisations ensure their staff, systems, and policies reflect and strategies acknowledge a level of cultural awareness and sensitivity. Measures should be implemented to overcome any current inadequacies and inequalities. It may require the employment of Mâori information professionals to demonstrate responsiveness visibly.

    Staff training should be provided on the Treaty of Waitangi, Mâori custom and information values and practices.

    To ensure the needs of Mâori are met, organisations should devise and set in place a consultation process. Consultation would enable both the organisation and their Mâori customers, or their representatives, to come together to discuss each other's needs. These needs should then be evaluated and implemented into the design, delivery and evaluation of an organisation's recordkeeping.


    2.2  Examples of Application

    Some organisations have already developed responsive approaches to Mâori client needs. For example, the health sector and many other government agencies have Mâori development and Treaty-related activities. The following examples are not exhaustive but intended to indicate some of the ways in which good records management practices, such as those outlined in AS4390, can be complemented by approaches that respect Mâori values, beliefs, and custom.

    2.2.1  Strategies

    2.2.1.1  Full and accurate records:  Ensure that Mâori records are created and captured in a culturally sensitive manner and, as appropriate, in line with the guidance for keeping full and accurate records given in the AS4390's Part 3, Section 5.3.

    In particular, collection of personal information should be undertaken with respect for the sanctity of that information. Information is part of a person's wairua. Te Puni Kokiri, the Ministry of Maori Development, in its report of the privacy of health information, Te Matatuakiri me te Matatapu o nga korero hauora, published in 1994, says: “Although a person's details may seem small, they are precious as they relate to the individual concerned and it signifies their relationship to others through their ties with their whanau, hapu and iwi”.

    The Ministry also outlines Mâori views on the use of personal information in a document prepared to assist Mâori in a greater understanding of the Privacy Act, 1993, Te Ture Matatuakiri, Matatapu 1993. The report says:

    “Mâori view their personal information as taonga: something to be used and treated with respect. Personal information belongs to a person who is part of a whanau, hapu and iwi. Mâori continue to identify with this information when it is discussed or published, even after it is organised into statistics … [but] often have considerable scepticism and discomfort about the use of personal information because of the way it has tended to be used in the past… As a consequence, Mâori have become very distrustful of giving out information. Things are changing, however, with the development of systems and processes that recognise the desire for Mâori to manage Mâori information.” (p.7)

    Where possible, an organisation should attempt to accommodate a request for the presence of whanau, or nominated advocate, when information is being collected. This is especially important if the information is seen as being sensitive to the individual and whanau (in particular health related information). Use of an interpreter may also need to be accommodated.

    Mâori continue to rely on oral methods and recordkeeping systems to transmit evidence over time and distance. Access to and ownership of some oral records, particularly whakapapa, is privileged and may not be considered suitable for capture in a written form.

    For example, there is provision in the processes of the Waitangi Tribunal, the judicial court that considers Treaty disputes, for the presentation of whakapapa at a case hearing without its inclusion in the official written or taped-recorded transcript of the hearing. While rarely used, such a provision enables, for example, maintenance of accord between or within hapu and iwi. Likewise, whakapapa may be provided on the basis that it be returned to the owner after a hearing or retained on the basis that it is not used for publication.

    2.2.1.2  Records management training:  Ensure that staff is educated in the importance of the Treaty of Waitangi, its relevance and practical application to their jobs. AS4390 provides guidance on records management training in Part 3, Section 6.6.

    Provide cultural awareness training to enable employees to understand, for example, Mâori views on the release and use of personal information. This information is regarded as taonga and something to be used and treated with respect.


    2.2.1.3  Media and formats for making records:  In certain situations, such as a consultation hui with Mâori, it is appropriate to utilise more than one format for creating a record. A written version may not truly reflect the oral record and aspects of that record, for example, use of dialect, and the emotion conveyed by the speaker. In some examples, the gestures of a speaker may have significance. In such circumstances a sound and/or video recording may be needed. Formats for making records such as these are outlined in AS4390.3, Section 8.7.


    2.2.1.4  Implementation Plan:  In designing a recordkeeping system implementation plan, it will be necessary to ensure records policies and procedures are sensitive to Mâori cultural beliefs and practices, especially in the handling and storage of records (see section 2.2.4 below for more detail).

    Ensure that feedback on responsiveness to Mâori customers is included in the design of performance measurements of recordkeeping systems, practices and processes.

    These principals may be added to those set out in the Australian Standard's Part 3 Appendix A Model Implementation Plan.

    2.2.2  Control

    2.2.2.1  Language controls & authorized headings:  Te reo Mâori is an official language of New Zealand. Ideally, when choosing records management software, ensure that the package enables conversion of existing fonts to macrons (accents for long or stressed vowels, e.g.: â) and has Mâori language menus. If the organisation is unable to find such a package, it needs to consider establishing a policy on the use of the macron and double vowel in classification schemes and indexing procedures. Language controls are dealt with in AS4390.4, section 7.3.3.

    Ensure that the organisation establishes a policy on the use of Mâori words in classification schemes and acceptable abbreviations and symbols.

    For example, it may be appropriate and useful for a combination of Mâori and English words to be used in file titles. The scope notes for the files may include a translation of the words to enable them to be searched by either language.


    2.2.3.1  Allocation of indexing terms:  Ensure that index terms that are meaningful to Mâori are created and used for retrieval purposes. General indexing term guidelines are set out in AS4390.4's Section 8.2.

    For example, Mâori often request information by the name of an individual, land block, place, including a marae and buildings on a marae, urupa, a waiata, whanau, iwi, and hapu group. Difficulties in determining whether a group constitutes an iwi, hapu, or whanau suggests indexers should avoid using these terms, instead indexing by group name and variations thereof e.g. Atiawa or Te Atiawa.

    Indexers unfamiliar with te reo should avoid rewriting a word with a macron or double vowel, and should depend on the information given in the record.

    Use the full name of an individual, for example, John Smith rather than J. Smith, and ensure it is spelt correctly.

    Ignore the following articles in filing, except if they are embedded in a proper name, for example, a name of a person (Te Rauparaha), or a place (Te Puni Kokiri):

    e (translation required)
    he (translation required)
    nga (translation required)
    te "the"


    2.2.3  Appraisal and disposal

    2.2.3.1  Evaluating the further uses made of the record after current use of the record has ceased :  Ensure that appraisal of records about Mâori involves consultation with Mâori stakeholders to ensure that the significance of the information and/or evidence contained is assessed from their perspective, for example: records that include information about people, land, places, and financial interaction between Mâori and the organisation. AS4390.5 Section 6.4.3 applies.


    2.2.3.2  :Transfer of custody or ownership of records:  :Ensure that a policy is in place to enable individuals to nominate a preferred option for the disposal of personal health information in the event of its proposed destruction. For example, that it be returned to them or referred to nominated advocate/s, whanau, hapu, iwi, or health practitioner. Individuals should be able to choose a way to dispose of information in the event of their death. See also AS4390.5 Section 7.5.


    2.2.4  Storage

    Ensure that the organisation promulgates guidelines that promote the cultural safety of Mâori material during its storage and handling. Storage principals are dealt with in AS4390.6

    Of particular concern to Mâori is care for information about ancestors (tipuna). For example, food and liquid should not be consumed in the presence of Mâori material, in particular records that contain personal information, whakapapa, photographs and other taonga that is of spiritual significance and could be considered tapu. This guideline is also commonsense. Records can be damaged when they come into contact with food and drink.

    Sitting on surfaces where Mâori information may be placed should not be allowed.

    Organisations may wish to consider making a bowl of water available to those who wish to wash their hands either prior to or after consulting records of particular spiritual significance. The bowl should be specially dedicated to this purpose and refilled each time it is to be used. Users may also wish to conduct a karakia prior to consulting these records. Where possible, an organisation should attempt to accommodate such a request.

    Organisations should consider favourably a request for a karakia before records of spiritual significance to Mâori are sent to their final resting place, for example, to an archives repository. There could be an expectation that the organisation receiving these records should also respond with a karakia to welcome them. Such requests are dependent on the content of the records.


    2.3  Relevant Legislation and other Documents

    Some of the more important legislation for responsiveness to Mâori client needs is outlined in the Guide's Section 1. New Zealand recordkeeping legislation (1.3 Mâori and Treaty of Waitangi Legislation).

    The user may also consult the list in Section 5. Non-Regulatory Documents of Value to New Zealand Recordkeepers (5.7 Mâori and Treaty of Waitangi), because it is more often the case that it is not what an organisation must do by law, but what it can do to be responsive.




    3.  Definitions for N.Z. Records Management


    3.1  Introduction

    The Australian Standard AS4390 and other codes use a variety of terms not always in general use in New Zealand. Most codes, national and international, include comprehensive lists of terminology definitions, but no similar widely-agreed, authoritative set of New Zealand recordkeeping definitions exists.

    This section sets out a small number of terms currently in use in New Zealand. It is not an exhaustive list. Rather, it is a compilation of words and phrases whose usage sometimes differs between Australia and New Zealand.

    It should be noted, however, that recordkeeping terminology in the nation varies widely from community to community, between private and public sector and, in some cases, between units within those sectors. As a result, usage can sometimes change rapidly with the introduction of a new influence, like the advent of AS4390, and may mean that definitions given here do not hold good indefinitely.

    Section 3.3 is a short dissertation on the Australian “record continuum” theory, a recordkeeping concept defined in AS4390.1 section 4.22 as “the whole extent of a record's existence …”. The continuum principals are not widely known in the New Zealand archives and records management community that, commonly, applies the more traditional records “life cycle” paradigm.

    3.2  General

    Classification systems
    Classification is the process by which the records of an organisation are grouped for easier storage and retrieval, whether by function, subject, business activity, or other criteria. In New Zealand, a “file plan” or “records plan” can also identify classifications.

    Disposal authority - schedule
    A disposal authority is the document authorising the disposal of records.
    “Disposal authority”, “retention and disposal schedule” and “disposal schedule” are used interchangeably in New Zealand, with the latter being the most commonly used.

    Item
    The smallest discrete unit of record material that accumulates to form a series (i.e., a file or part file in a series of files; a volume in a series of volumes, etc.). Sometimes the term is used as equivalent to "document", or may be referred to as a record item.

    Registration
    In Australian records systems incoming mail is “registered” or logged into the organisation's records system, usually on a computer but occasionally in a manual system. This is less common in New Zealand, although the “registry system” was used for government records until the 1970's. Incoming mail may be bar- coded to allow for tracking.

    The phrase “registered file” is sometimes used to indicate a file that is created as part of an official record system, as opposed to a file created without authority by an individual. Applications may be “registered” where legislation requires this, for example mergers and takeovers under the Commerce Act or Trade Mark applications under the Trade Marks Act.

    Sentencing
    The act of applying the relevant disposal schedule to records. In the New Zealand context, “sentencing” sometimes also involves the creation of an 'A' for Archives and 'D' for Destroy list.

    User Permissions
    User permissions give individuals access to different categories of records, whether paper or electronic, or to different levels within an electronic recordkeeping system. They may also give individuals the right to create, alter or delete record entries.

    New Zealand professionals, generally use the term “Access” or “Security level”. The term “caveat” is also used. Where individuals are given access to computer systems, the term “User Profile” is also used to specify access levels.


    3.3  Records Life Cycle and Records Continuum

    Basically, these are two different ways of considering the management of records. In the Life Cycle Model, a record is said to have a life cycle, divided into distinct stages (creation, distribution, use, maintenance, and disposal), and managed in different ways (usually by different people) during each of those stages.

    The Continuum, however, is a model of management that relates to the recordkeeping regime that is accepted as continuous, dynamic and ongoing without any distinct breaks or phases.

    The management functions that comprise the regime are continuous, regardless of the environment in which they are applied: in the office, in the repository, in cyberspace.

    A continuum is something continuous of which no separate parts are discernible, a continuous series of elements passing into each other. A records continuum perspective can be contrasted with the life cycle model. A life cycle model argues that there are clearly definable stages in recordkeeping, creating sharp distinctions between current and historical recordkeeping.

    The record continuum provides information managers with a way of thinking about the integration of recordkeeping and archiving processes. The life cycle model sees records passing through stages until their eventual “death” or committal to an archive. A continuum suggests integrated dimensions where records are fixed from the moment of their creation. Recordkeeping regimes then enable their use for multiple purposes by delivering them to people at many different times and places.

    The general object of continuum management in its ideal sense is COMET: to Capture records Once and Manage them Effectively and Timelessly.

    Such a regime has four basic recordkeeping functions, known as CADS:

    • CONTROL - capture, identification, organisation and control;
    • ACCESSIBILITY - ensuring access and usability;
    • DISPOSAL- setting up provisions [appraisal criteria & disposal policies/procedures] for "capturing" appropriate records & for "cleansing" the regime of records that are no longer needed, whether for business, regulation or cultural/historical purposes;
    • STORAGE - maintaining record authenticity, integrity and usability over time.

    As a 5th supporting function, the regime must also Sustain itself like any other management entity. The recordkeeping regime is, therefore, a continuum of responsible management. There is a large body of theory analysing the differences between the two models.




    4.  Stewardship Considerations

    4.1  Introduction

    Stewardship in recordkeeping, the establishment of who does what within a records management system, is of fundamental importance in a New Zealand context. So important is it considered that the New Zealand Government has set out criteria that, while actually regulating records stewardship only in its departments and agencies, make an invaluable model for other organisations in the public and private sectors alike.

    In 1997, the New Zealand Cabinet approved a policy framework for government held information (CAB (97) M 15/4C(1)). This policy framework establishes principles for managing government-held information throughout all stages of the information processes.

    A subsequent Cabinet Paper on the criteria for stewardship (CAB (98) 408; EXG (98) M 8/4) further defined the role of the steward and responsibilities. It should be noted that private sector Government agencies were not required to adhere to the stewardship criteria, but were encouraged to do so.

    In section 4.3, this Guide provides a comprehensive checklist for organisations to apply to their own records management systems. The checklist covers aspects of responsibility from accountability for statutory requirements to management of contracts or service level agreements.


    4.2  Definition

    The New Zealand Government Cabinet Paper on Stewardship defines the term as follows:

    “Stewardship can be defined as setting the standards and specifications for managing 'primary' Government held information which would include quality, consistency, integrity, liability, collection, production, maintenance, confidentiality, access, privacy, pricing, reuse, preservation or disposal, and monitoring and auditing those standards. Stewardship is a means of protecting the Crown's interest as the owner of Government held information.”


    4.3  Responsibilities of a Steward

    The following list of requirements for records stewardship may be used to check recordkeeping policies. New Zealand Government agencies are required to incorporate these responsibilities into the design of recordkeeping but they may also be a useful guide to private sector organisations.

    • Responsibility for the management of data and information on behalf of the owner (the Crown), taking into account the original, current and possible future reasons for its collection and maintenance, the public and private good aspects of information and the efficiency of its management;
    • Accountability for statutory requirements related to the information (cross reference to legislation section);
    • Identification and documentation of information and consideration of the need to keep it up to date, now and in the future;
    • Recognition of key stakeholders of the information and consultation over any significant changes;
    • Development of standards for managing information holdings from their design and collection to preservation or disposal;
    • Ensuring that information is made available and accessible, in context, and on a non-exclusive and equitable basis;
    • Ensuring that information is managed ethically in a way that protects privacy and confidentiality;
    • Understanding why information is collected and reviewing that purpose;
    • Understanding the present, and considering the future, requirements for information;
    • Retaining an overview of the information systems required to manage the information;
    • Implementing relevant elements of the Policy Framework for Government Held Information; and
    • Managing custodial relationships, contracts or service level agreements surrounding information.

    4.4  References

    Policy framework for government held information CAB (97) M 15/4C(1)

    Policy framework for government held information: criteria for stewardship CAB (98) 408; EXG (98) M 8/4




    5.  Non-regulatory documents of value to N. Z. recordkeepers

    5.1  Introduction

    New Zealand recordkeeping professionals working in private and public sector organisations have, from time to time, to refer to authoritative sources of good practice to focus their operations or demonstrate a requirement to a third party. They may need such references when establishing new recordkeeping systems or policies within their organisations.

    AS4390 and other world codes and standards can provide some of this back up with independent sources of guidance but naturally do not detail sources specific to New Zealand.

    The section carries as comprehensive a list of New Zealand non-regulatory guides as it was possible to make it at the time of publication but does not claim to be exhaustive. In addition to New Zealand references, the list contains a selection of some of the best Australian and other national and international guides

    Inclusion in the list does not necessarily imply endorsement by the Guide Committee. By the same token, omission of a document does not reveal disapproval but could be simply because the compiler was not aware of it at the time of publication.

    New Zealand laws and regulations impacting on records management are listed and described in the Guide's section 1. New Zealand Recordkeeping Legislation.

    5.2  Archives & Records Management

      5.2.1  Appraisal Standard: NAS9701 Standard for the Appraisal of Public Records and Archives, Archives of New Zealand, Wellington, September 1998. Contains requirements for document appraisal processes, preparation of recommendation reports and criteria. URL: www.archives.govt.nz/statutory_regulatory/standards/appraisal/contents_frame.html

      5.2.2  Chartered Managers Handbook, Number One: The Disposal and Retention of Documents, Chartered Institute of Corporate Management New Zealand Inc., Auckland, 4th Edition, 1999. A guide for creating a systematic document retention programme, first published in 1977.

      5.2.3  Electronic Records Policy, Archives of New Zealand, Wellington, February 1997. Contains a model policy for the management, selection and preservation of electronic public records and several model records disposal schedules. URL: www.archives.govt.nz/statutory_regulatory/er_policy/introduction_frame.html

      5.2.4  Guidelines for transferring information to and from other agencies      , Land Information New Zealand (LINZ), Wellington, 1999.

      5.2.5  Health Authority Records      , Archives of New Zealand, Wellington, 1999. Disposal guidelines for records that should not be destroyed unless the schedule specifies destruction. URL:       www.archives.govt.nz/statutory_regulatory/schedules/health/index_frame.html.

      5.2.6  Justice Sector Information Strategy      , Ministry of Justice, Wellington, August 1996. An information management strategy document compiled in co-operation with agencies like the Police, transport authorities, social welfare, courts and correction departments. URL:       www.justice.govt.nz/justicepubs/reports/1996/strategy/default.htm

      5.2.7  Local Government Schedule      , Archives of New Zealand, Wellington, 1999. Protection of local archives: notice specifying classes of local archives that may not be destroyed unless prior approval is given by the Chief Archivist. URL: www.archives.govt.nz/statutory_regulatory/schedules/local_government/schedule_frame.html

      5.2.8  Managing Your Information: Justice Sector Information Management Policy Guidebook      , compiler Philippa Fogarty, Ministry of Justice, Wellington, July 1997. Good practice principles for document lifecycles and a model information management policy. Hard copy price: $39.95. URL:       www.justice.govt.nz/justicepubs/reports/1997/infopolicy/Default.htm

      5.2.9  Policy framework for government held information      , CAB (97) M 15/4C(1). State Services Commission, Wellington, 1997. Document developed by N.Z. public service chief executives and the State Services Commission and approved by Cabinet. URL: www.ssc.govt.nz/Documents/policy_framework_for_Government_.htm

      5.2.10  Principles and Good Practices for Selecting and Managing Information Technology Projects,       State Services Commission, Wellington, September 1998. A budget and benefits monitoring regime for all Government departments and agencies to follow when managing a major IT project. URL:       www.ssc.govt.nz/documents/Prin_Good_Prac_IT.html .

      5.2.11  Recordkeeping Framework, Draft 1.1, Archives of New Zealand, Wellington, 2000. A framework “draft for comment” document to outline Government and the public sector principles of good recordkeeping and develop New Zealand standards, policies, advisory notices and other products. URL:       www.archives.govt.nz/statutory_regulatory/frameworks/recordkeeping_frame.html

      5.2.12  Standards and Recordkeeping in the New Zealand Public Sector      , Archives of New Zealand, Wellington, 1999. A paper by the Archives' Statutory Regulatory Group looking at standards in the government recordkeeping environment of New Zealand. URL:       www.archives.govt.nz/statutory_regulatory/standards/record_keeping/contents_frame.html

      5.2.13  Stewardship considerations when inheriting or disinheriting records      , Ministry of Justice, Wellington, 1998.

      5.2.14  Storage Standard      , Archives of New Zealand, Wellington, 2000. Code of best practice for the storage of records and archives. URL:       www.archives.govt.nz/statutory_regulatory/standards/storage/standard_frame.html

      5.2.15  Transfer Standard      , Archives of New Zealand, Wellington, 1999. Sets out requirements for records to be transferred to the custody of National Archives. URL: www.archives.govt.nz/statutory_regulatory/standards/transfer/contents_frame.html .


      5.3  Electronic Commerce

      5.3.1  Electronic Commerce, Part One: A Guide for the Legal and Business Community, Report 50 (NZLCR50), The Law Commission, Wellington, October 1998. Enables business people and their advisors to consider the impact of electronic commerce; the first of four reports on international trade issues. Hardcopy $NZ24.95. URL:       www.lawcom.govt.nz/publications/R50.pdf.

      5.3.2  Electronic Commerce, Part Two: A Basic Legal Framework, Report 58, (NZLCR58), The Law Commission, Wellington, November 1999. A sequel to Part One, recommends that NZ enact an Electronic Transactions Act, broadly similar to Australian legislation, to remove immediate barriers to carrying out electronic transactions. Hardcopy $NZ25. URL:       www.lawcom.govt.nz/publications/R58.pdf.

      5.3.3  Electronic Commerce, Part Three: Remaining Issues, Report 68, (NZLCR68), The Law Commission, Wellington, December 2000. The Commission's final report on electronic commerce addressing issues raised in Electronic Commerce Part Two. Updates developments at international forums regarding laws relating to e-commerce, and comments on the recent Electronic Transactions Bill. Hardcopy $NZ20. URL:       www.lawcom.govt.nz/publications/R68.pdf.

      5.3.4  Electronic Records Policy, Archives of New Zealand, Wellington, February 1997. Contains a model policy for the management, selection and preservation of electronic public records and several model records disposal schedules. URL:       www.archives.govt.nz/statutory_regulatory/er_policy/introduction_frame.html.


      5.4  Ethics

      5.4.1  Code of ethics, New Zealand Society of Conservators.


      5.5  Legislation Guides

      5.5.1  Brooker's Statutes of New Zealand, subscription service, further information at URL:       www.brookers.co.nz/legal/.

      5.5.2  Directory of Official Information, N.Z., Ministry of Justice, Wellington. Annual publication. Also at URL:       www.justice.govt.nz/pubs/reports/1999/dir_of_info/index.html

      5.5.3  Knowledge Basket      , free on-line browsing of Acts, search on subscription basis at URL:       www.knowledge-basket.co.nz/.

      5.5.4  Law Commission Report 50       (NZLC R50). Electronic Commerce Part One: A Guide for the Legal and Business Community, Law Commission, Wellington. 1998.

      5.5.5  Law Commission Report 55       (NZLCR55). Evidence Part Two: Evidence Code and Commentary, Law Commission, Wellington, 1999. Also at URL: www.lawcom.govt.nz/publications/R55.pdf .

      5.5.6  The New Zealand Gazette      , Department of Internal Affairs, Wellington. A periodical official government publication of notices issued under legislation.

      5.5.7  Tables of New Zealand Acts and Ordinances and Statutory Regulations in Force      , Parliamentary Counsel Office, Wellington. See also URL:       www.pco.parliament.govt.nz/.

      5.5.8  The Privacy Act: A Guide, Elizabeth Longworth & Tim McBride, GP Publications 1994


      5.6  Library Management

      5.6.1  National Library Information Management Policy, National Library of New Zealand, Wellington, March 1998. Principles for the management of the National Library's corporate information, as opposed to its collections. Includes guides to the Official Information Act, 1982, and the Privacy Act, 1993. Guidance on management of electronic records is incomplete, but may be up-dated after departmental re-organisation completed mid-year.


      5.7  Maori and Treaty of Waitangi

      5.7.1  A Guide for Departments on Consultation with Iwi, Te Puni Kokiri (Ministry of Mâori Development), Wellington, 1993. Describes the essential elements of quality consultation including: clarification of purpose; sufficient preparation and lead-in time; sufficient time for debate; opportunity to participate for all those with an interest; a commitment to genuine consultation; an opportunity for post-hui evaluation or feedback; and a transparent process.

      5.7.2  Hauora o te Tinana me ona Tikanga, A Guide for the Removal, Retention, Return and Disposal of Mâori Body Parts and Organ Donations, Te Puni Kokiri (Ministry of Mâori Development), Wellington, 1999. Not directly related to records management, but gives a framework for organisations seeking greater sensitivity with Mâori cultural values and needs. A companion guide is provided for Mâori and their whanau. Both available on the Te Puni Kokiri (Ministry of Mâori Development) website. URL:       www.tpk.govt.nz/publish/subjectindex.htm#Health

      5.7.3  Mâori Claims: How to Research and Write a Report      , Jane Tucker, Waitangi Tribunal Occasional Publication 1/1994, Department of Justice, Wellington 1994. Outlines the skills and processes for planning a research project, introducing the main sources of records and information researchers likely to need.

      5.7.4  Mâori Concerns Regarding Retention of and Access to Health Information      , Susan Shingleton, New Zealand Archivist, Summer 1995, pp 8-10. Useful insights into retention of and access to Mâori health information based on a speech given by Ms Shingleton, from Te Puni Kokiri (Ministry of Mâori Development), to a New Zealand Society of Archivists conference on health information.

      5.7.5  Standards for Traditional Mâori Healing      , Ministry of Health, Wellington, June 1999. Contains a section dictating what records must be kept by traditional Mâori healing practitioners, what these records should contain, and how they should be maintained (p.2). Document notes that where there is more than one traditional Mâori healing practitioner using the records, any abbreviations or symbols used must be listed and acceptable to all users.

      5.7.6  Te Ara Tirohanga.       A Guide for Researchers Into Mâori Claims. Treaty Research Officials Committee, Waitangi Tribunal, Wellington, 1990. Describes the main groups involved in claims to the Treaty of Waitangi and the claims process. Lists the agencies that cater specially to Mâori needs, and sources of information held by government agencies.

      5.7.7  Te Matatuakiri me te Matatapu o nga korero hauora,       Privacy of Health Information, Te Puni Kokiri, (Ministry of Mâori Development), Wellington, 1994. A guide to the safeguards for personal information in place under the Privacy Act and the Health Information Privacy Code 1994 to establish trusting relationships with health service providers. It complements Te Ture Matatuakiri, Matatapu 1993. the Privacy Act 1993.

      5.7.8  Te Ture Matatuakiri, Matatapu 1993      , The Privacy Act 1993, Te Puni Kokiri (Ministry of Mâori Development), Wellington, 1994. Outlines Mâori views on the use of personal information. This document was prepared to assist Mâori in having a greater understanding of the Privacy Act and its principles.

      5.7.9 Tikanga Whakaaro, Key Concepts in Mâori Culture, Cleve Barlow, Oxford University Press, Auckland, 1994. A bilingual explanation of Mâori words, each term clearly defined and its significance explained with reference to tradition, custom, myth and ritual, and present-day understanding.

      5.7.10  U. N. Draft Declaration on the Rights of Indigenous Peoples, 1993. A useful insight into international views of the rights of indigenous peoples. Article 29 of the draft states: “Indigenous peoples are entitled to the recognition of the full ownership, control and protection of their cultural and intellectual property.” The Declaration has not yet been ratified and/or adopted by New Zealand. Available on the Te Puni Kokiri website. URL:       www.tpk.govt.nz/publish/tangata/index.htm.

      5.7.11  Whakamana I Te Tiriti o Waitangi. A Guide to the Waitangi Tribunal, Waitangi Tribunal Information Section, Department of Justice, Wellington, 1993. Discusses the Treaty of Waitangi and its articles. Describes the history of the Tribunal and claim procedures.


      5.8  Official Information

      5.8.1  Notes of the Ombudsman, Office of the Ombudsman (the “Parliamentary Ombudsman”), Butterworths, Wellington, 11      th compendium, 1998. An occasional publication of case studies of adjudications by the Parliamentary Ombudsman on Official Information Act and other disputes.

      5.8.2  Directory of Official Information, N.Z., Ministry of Justice, Wellington, annual publication. URL:       www.justice.govt.nz/pubs/reports/1999/dir_of_info/index.html

      5.8.3  Official Information Act: Practice Guidelines of the Ombudsman      , Office of the Ombudsman (“the Parliamentary Ombudsman”), Wellington, 1995. A set of ten documents (set: $30) giving separate guidance on the application of certain segments of the Official Information Act, 1982, such as withholding information prejudicial to commercial interests, privacy of the individual and confidential legal advice.

      5.8.4  Ombudsman's Quarterly Review      , The Office of the Ombudsman, Wellington. Quarterly journal of points of interest from Official Information Act and other judgements by the Parliamentary Ombudsman.


      5.9  Oversees Publications

      5.9.1  AGLS Metadata Standard and the Commonwealth Government Online Strategy, Archives Advices, National Archives of Australia, February 2001. The Australian Government Locator Service (AGLS) metadata standard developed to promote consistency across Government agencies. URL: www.naa.gov.au/recordkeeping/rkpubs/advices/advice47.html

      5.9.2  Australian Standard Records Management, AS4390, Standards Australia, Homebush, New South Wales, Australia, 1996. Comprehensive six-part standard for recordkeeping, with many policy and practice models.

      5.9.3  Bibliography On Electronic Records 1995 to 2000, Electronic Records Committee of the Australian Council of Archives. Selected journal articles, monographs, and conference proceedings on electronic records. URL: www.naa.gov.au/recordkeeping/er/biblio/summary.html

      5.9.4  Designing and Implementing Recordkeeping Systems (DIRKS Manual), National Archives of Australia and State Records Authority of New South Wales, Sydney, February 7, 2000. Manual for government agencies to design and implement recordkeeping systems for any technological or paper-based environment. URLs:       www.naa.gov.au/recordkeeping/dirks/dirksman/dirks.html or www.records.nsw.gov.au/publicsector/dirks/exposure_draft/title.htm

      5.9.5  Electronic Records from Office Systems Project (EROS), Public Record Office, Kew, Surrey, 1999. Series of guides on management, appraisal and preservation of electronic records in government. URL: www.pro.gov.uk/recordsmanagement/eros/overviews.htm

      5.9.6  Fast Track Guidance Development Project, U.S. National Archives and Records Administration (NARA), Washington, D.C., 1999. A guide to electronic records management. URL: www.nara.gov/records/fasttrak/fthome.html

      5.9.7  Functional Requirements for Evidence in Recordkeeping,       University of Pittsburgh School of Information Sciences, Pittsburgh, 1996. Research project to examine variables that affect integration of records management requirements in electronic information systems; with set of well-defined records management functional requirements for the design and implementation of electronic information systems. URL: www.sis.pitt.edu/~nhprc/.

      5.9.8  ISO Records Management Standard, ISO15489      , International Standards Organisation, Genève, Switzerland, due for publication third quarter, 2001. First world standard of recordkeeping principals with Technical Report describing variety of applications and policies.

      5.9.9  Legal Admissibility and Evidential Weight of Information Stored Electronically      , BSI DISC PD 0008:1999, British Standards Institution, London, May 1999. A code of practice for storage of electronic data on non-rewriteable and rewriteable media. Price: £30.00.

      5.9.10  Principles of Good Practice for Information Management, DISC PD0010, Bill Mayon-White and Bernard Dyer, British Standards Institution and the Information and Document Management Association, London, 1997.

      5.9.11  Public Record Office Records Management Standard, Public Record Office, Kew, Surrey, March 1998. A series of standards on all aspects of records management in government. URL: www.pro.gov.uk/recordsmanagement/standards/introduction.htm

      5.9.12  Recordkeeping in the Electronic Work Environment      , National Archives of Canada, May 1996. “EWE” guide to records management in an electronic work environment and its application consistently within institutions and across government. URL: www.archives.ca/06/0603_e.html

      5.9.13  Recordkeeping Metadata Standard for Commonwealth Agencies      , National Archives of Australia, Canberra, 1999. A standard used to identify, authenticate, describe and manage electronic records in a systematic and consistent way to meet business, accountability and archival requirements. URL: www.naa.gov.au/recordkeeping/control/rkms/introduction.html


      5.10  Privacy Concerns

      5.10.1  Code of Banking Practice, New Zealand Bankers Association, Wellington, 2nd Edition, 1996. Code defines the relationship between banks and their customers, including guidance on disclosing and withholding information and on information privacy issues.

      5.10.2  GCS Information Privacy Code (1994) and its successor, the EDS Information Privacy Code (1997), The Privacy Commissioner, Auckland. Code of practice for privatised Government Computer Service and, subsequent GCS purchasers EDS (NZ) Ltd., for protection of information held on behalf of designated government agencies and to prevent this information being passed out of New Zealand without approval. URL: www.privacy.org.nz/top.html

      5.10.3  Health Information Privacy Code, The Privacy Commissioner, Auckland, 1994. A code of practice to maintain privacy of sensitive information held in the health sector. URL: www.privacy.org.nz/top.html.

      5.10.4  Justice Sector Unique Identifier Code      , Privacy Commissioner, Auckland, 1998. URL: www.privacy.org.nz/top.html

      5.10.5Superannuation Schemes Unique Identifier Code      , Privacy Commissioner, Auckland, 1995. URL: www.privacy.org.nz/top.html.


      5.11  Security

      5.1.1  Information Security Management, Part 1: Code of Practice, AS/NZS 4444.1:1999; BSI 7799.1:1999, Standards Australia, Standards New Zealand and British Standards Institution guide, 1999. Part 2 Specification for information security management systems, 2000.





      Annex 1.  Glossary of Mâori terms


      Following is a list of Mâori words used in this document and their English translations.

      Aotearoa New Zealand
      E (translation required)
      Hapu sub-tribe
      He (translation required)
      hui meeting, gathering
      Iwi tribal Mâori
      Karakia prayer, incantation
      Kawanatanga governing rights
      Marae land and buildings encompassing the whanau meeting house, dining room and ablution block
      Nga (translation required)
      rangatiratanga self-determination for tangata whenua
      Tangata whenua local indigenous people, native people
      Taonga treasure
      Tapu sacred
      Te Puni Kokiri Ministry of Mâori Development
      te reo Mâori Mâori language
      Te the
      Tikanga customary practices, criteria and conditions (legal), provisions (legal)
      tino rangitiratanga (translation required)
      tipuna ancestor
      Urupa Mâori cemetery
      Waiata song
      Wairua spirit
      Whakapapa Mâori genealogy
      Whanau family




      Annex 2.  Mâori and English versions of the Treaty of Waitangi

      New Zealand Government Online
      The Treaty of Waitangi
      www.govt.nz/aboutnz/treaty.php3

      There are three versions of the treaty given below: the English text as signed, the Mâori version as signed and a modern English translation of the Mâori text.

      1.1 The Treaty of Waitangi, 1840 (English text)

      Her Majesty Victoria Queen of the United Kingdom of Great Britain and Ireland regarding with Her Royal Favour the Native Chiefs and Tribes of New Zealand and anxious to protect their just Rights and Property and to secure to them the enjoyment of Peace and Good Order has deemed it necessary in consequence of the great number of Her Majesty's Subjects who have already settled in New Zealand and the rapid extension of Emigration both from Europe and Australia which is still in progress to constitute and appoint a functionary properly authorized to treat with the Aborigines of New Zealand for the recognition of Her Majesty's Sovereign authority over the whole or any part of those islands.

      Her Majesty therefore being desirous to establish a settled form of Civil Government with a view to avert the evil consequences which must result from the absence of the necessary Laws and Institutions alike to the native population and to Her subjects has been graciously pleased to empower and to authorize “me William Hobson a Captain” in Her Majesty's Royal Navy Consul and Lieutenant Governor of such parts of New Zealand as may be or hereafter shall be ceded to Her Majesty to invite the confederated and independent Chiefs of New Zealand to concur in the following Articles and Conditions.

      ARTICLE THE FIRST
      The Chiefs of the Confederation of the United Tribes of New Zealand and the separate and independent Chiefs who have not become members of the Confederation cede to Her Majesty the Queen of England absolutely and without reservation all the rights and powers of Sovereignty which the said Confederation or Individual Chiefs respectively exercise or possess, or may be supposed to exercise or to possess, over their respective Territories as the sole Sovereigns thereof.

      ARTICLE THE SECOND
      Her Majesty the Queen of England confirms and guarantees to the Chiefs and Tribes of New Zealand and to the respective families and individuals thereof the full exclusive and undisturbed possession of their Lands and Estates Forests Fisheries and other properties which they may collectively or individually possess so long as it is their wish and desire to retain the same in their possession; but the Chiefs of the United Tribes and the individual Chiefs yield to Her Majesty the exclusive right of Pre-emption over such lands as the proprietors thereof may be disposed to alienate at such prices as may be agreed upon between the respective Proprietors and persons appointed by Her Majesty to treat with them in that behalf.

      ARTICLE THE THIRD
      In consideration thereof Her Majesty the Queen of England extends to the Natives of New Zealand Her royal protection and imparts to them all the Rights and Privileges of British Subjects.

      [Signed] W Hobson Lieutenant Governor

      Now therefore We the Chiefs of the Confederation of the United Tribes of New Zealand being assembled in Congress at Victoria in Waitangi and We the Separate and Independent Chiefs of New Zealand claiming authority over the Tribes and Territories which are specified after our respective names, having been made fully to understand the Provisions of the foregoing Treaty, accept and enter into the same in the full spirit and meaning thereof in witness of which we have attached our signatures or marks at the places and the dates respectively specified

      Done at Waitangi this Sixth day of February in the year of Our Lord one thousand eight hundred and forty.


      1.2 Tiriti o Waitangi, 1840  (Mâori text)

      Ko Wikitoria te Kuini o Ingarani i tana mahara atawai ki nga Rangatira me nga Hapu o Nu Tirani i tana hiahia hoki kia tohungia ki a ratou o ratou rangatiratanga me to ratou wenua, a kia mau tonu hoki te Rongo ki a ratou me te Atanoho hoki kua wakaaro ia he mea tika kia tukua mai tetahi Rangatira--hei kai wakarite ki nga Tangata mâori o Nu Tirani--kia wakaaetia e nga Rangatira mâori te Kawanatanga o te Kuini ki nga wahikatoa o te Wenua nei me nga Motu--na te mea hoki he tokomaha ke nga tangata o tona Iwi Kua noho ki tenei wenua, a e haere mai nei.

      Na ko te Kuini e hiahia ana kia wakaritea te Kawanatanga kia kaua ai nga kino e puta mai ki te tangata Mâori ki te Pakeha e noho ture kore ana.

      Na, kua pai te Kuini kia tukua a hau a Wiremu Hopihona he Kapitana i te Roiara Nawi hei Kawana mo nga wahi katoa o Nu Tirani e tukua aianei, amoa atu ki te Kuini, e mea atu ana ia ki nga Rangatira o te wakaminenga o nga hapu o Nu Tirani me era Rangatira atu enei ture ka korerotia nei.

      KO TE TUATAHI
      Ko nga Rangatira o te wakaminenga me nga Rangatira katoa hoki ki hai i uru ki taua wakaminenga ka tuku rawa atu ki te Kuini o Ingarani ake tonu atu--te Kawanatanga katoa o ratou wenua.

      KO TE TUARUA
      Ko te Kuini o Ingarani ka wakarite ka wakaae ki nga Rangatira ki nga hapu--ki nga tangata katoa o Nu Tirani te tino rangatiratanga o ratou wenua o ratou kainga me o ratou taonga katoa. Otiia ko nga Rangatira o te wakaminenga me nga Rangatira katoa atu ka tuku ki te Kuini te hokonga o era wahi wenua e pai ai te tangata nona te Wenua--ki te ritenga o te utu e wakaritea ai e ratou ko te kai hoko e meatia nei e te Kuini hei kai hoko mona.

      KO TE TUATORU
      Hei wakaritenga mai hoki tenei mo te wakaaetanga ki te Kawanatanga o te Kuini--Ka tiakina e te Kuini o Ingarani nga tangata mâori katoa o Nu Tirani ka tukua ki a ratou nga tikanga katoa rite tahi ki ana mea ki nga tangata o Ingarani.

      [signed] William Hobson, Consul & Lieutenant Governor

      Na ko matou ko nga Rangatira o te Wakaminenga o nga hapu o Nu Tirani ka huihui nei ki Waitangi ko matou hoki ko nga Rangatira o Nu Tirani ka kite nei i te ritenga o enei kupu, ka tangohia ka wakaaetia katoatia e matou, koia ka tohungia ai o matou ingoa o matou tohu.

      Ka meatia tenei ki Waitangi i te ono o nga ra o Pepueri i te tau kotahi mano, e waru rau e wa te kau o to tatou Ariki.


      1.3 Translation of the Mâori text of the Treaty, by Professor Sir Hugh Kawharu

      Victoria, the Queen of England, in her concern to protect the chiefs and the subtribes of New Zealand and in her desire to preserve their chieftainship (1) and their lands to them and to maintain peace (2) and good order considers it just to appoint an administrator (3) one who will negotiate with the people of New Zealand to the end that their chiefs will agree to the Queen's Government being established over all parts of this land and (adjoining) islands (4) and also because there are many of her subjects already living on this land and others yet to come. So the Queen desires to establish a government so that no evil will come to Mâori and European living in a state of lawlessness. So the Queen has appointed “me, William Hobson a Captain” in the Royal Navy to be Governor for all parts of New Zealand (both those) shortly to be received by the Queen and (those) to be received hereafter and presents (5) to the chiefs of the Confederation chiefs of the subtribes of New Zealand and other chiefs these laws set out here.

      The first
      The Chiefs of the Confederation and all the Chiefs who have not joined that Confederation give absolutely to the Queen of England for ever the complete government (6) over their land.

      The second
      The Queen of England agrees to protect the chiefs, the subtribes and all the people of New Zealand in the unqualified exercise (7) of their chieftainship over their lands, villages and all their treasures (8). But on the other hand the Chiefs of the Confederation and all the Chiefs will sell(9) land to the Queen at a price agreed to by the person owning it and by the person buying it (the latter being) appointed by the Queen as her purchase agent.

      The third
      For this agreed arrangement therefore concerning the Government of the Queen, the Queen of England will protect all the ordinary people of New Zealand and will give them the same rights and duties (10) of citizenship as the people of England (11).

      [signed] William Hobson Consul & Lieut. Governor

      So we, the Chiefs of the Confederation of the subtribes of New Zealand meeting here at Waitangi having seen the shape of these words which we accept and agree to record our names and our marks thus.

      Was done at Waitangi on the sixth of February in the year of our Lord 1840.


      1.4 Notes to the translation by Prof. Sir Hugh Kawharu

      (1) “Chieftainship”: this concept has to be understood in the context of Mâori social and political organization as at 1840. The accepted approximation today is “trusteeship”.

      (2) “Peace”: Mâori “Rongo”, seemingly a missionary usage (rongo – to hear i.e. hear the “Word” - the “message” of peace and goodwill, etc).

      (3) Literally “Chief” (“Rangatira”) here is of course ambiguous. Clearly a European could not be a Mâori, but the word could well have implied a trustee-like role rather than that of a mere “functionary”. Mâori speeches at Waitangi in 1840 refer to Hobson being or becoming a “father” for the Mâori people. Certainly this attitude has been held towards the person of the Crown down to the present day - hence the continued expectations and commitments entailed in the Treaty.

      (4) “Islands” i.e. coastal, not of the Pacific.

      (5) Literally “making” i.e. “offering” or “saying” - but not “inviting to concur”.

      (6) “Government”: “kawanatanga”. There could be no possibility of the Mâori signatories having any understanding of government in the sense of “sovereignty” i.e. any understanding on the basis of experience or cultural precedent.

      (7) “Unqualified exercise” of the chieftainship - would emphasise to a chief the Queen's intention to give them complete control according to their customs. “Tino” has the connotation of “quintessential”.

      (8) “Treasures”: “taonga”. As submissions to the Waitangi Tribunal concerning the Mâori language have made clear, “taonga” refers to all dimensions of a tribal group's estate, material and non-material - heirlooms and wahi tapu (sacred places), ancestral lore and whakapapa (genealogies), etc.

      (9) Mâori “hokonga”, literally “sale and purchase”. Hoko means to buy or sell.

      (10) “Rights and duties”: Mâori “tikanga”. While tika means right, correct, (e.g. “e tika hoke” means “that is right”), “tikanga” most commonly refers to custom(s), for example of the marae (ritual forum); and custom(s) clearly includes the notion of duty and obligation.

      (11) There is, however, a more profound problem about “tikanga”. There is a real sense here of the Queen “protecting” (i.e. allowing the preservation of) the Mâori people's tikanga (i.e. customs) since no Mâori could have had any understanding whatever of British tikanga (i.e. rights and duties of British subjects). This, then, reinforces the guarantees in Article 2.




      Index

      The Guide committee is seeking advice on indexing this document. Offers of help and advice would be welcome.







































      Word count: 12,400