October 2014
Version 1.0
Appraisal Rationale
Appraisal Rationale for Records Retention and Disposal
Schedule
New Zealand Qualifications Authority (NZQA)
File/Document ID
DA124
Agency
New Zealand Qualifications Authority (NZQA)
Contact Name and
Details
Donald Napier, NZQA
Date
30 October 2014
Appraisal Rationale for NZQA Records Retention and Disposal Schedule
1
Appraisal rationale
Please note: Detailed subclass examples and exclusions for each class can be found in the relevant
section of the Retention and Disposal Schedule, which is intended to be read in conjunction with
this appraisal rationale. It is noted that the schedule pertains to records that fall outside of the
General Disposal Schedules.
6.1
Moderation and assessment records
Description
Schedule Reference: 1.
This class covers records concerning the moderation and assessment of both secondary (NCEA)
qualifications and tertiary qualifications and standards offered by private training establishments
(PTEs), institutes of technology and polytechnics (ITPs), wānanga, and workplace training. This class
covers:
Managing
National
Assessment
records
Records document national assessment processes relating to the moderation of
internally assessed student work to ensure consistency across all NZ schools.
This group includes:
 Official records recording the schools' current status of their assessment
systems;
 Moderation Reports Internal Assessment;
 National reports: These are key reports summarising national assessment
processes. For example, national assessment reports and assessment
reports.
Consent to Assess
records
Records documenting Consent to Assess processes, for example a new school
requiring consent to do their own internal assessment of NCEA subjects) as well as
extensions to consents (for example, schools with consent wish to offer new NCEA
subjects).
Reviews and
reconsiderations
of assessment
Records cover requests for reviews and reconsideration of assessment results,
reports, decisions, correspondence; requests for compassionate consideration.
Final examination
papers
These are unused examples of all final examination papers for qualifications
managed by NZQA. Some older ones are held in archived databases. These do not
include examination scripts completed by secondary school students, which are
kept until 30 June of the year subsequent to the examination and then destroyed if
not claimed.
Prescriptions
Prescriptions describe the content, skills and knowledge to be assessed for NCEA,
Sixth Form Certificate, University Entrance, Bursaries and Scholarship, and Higher
School Certificate qualifications and examinations.
Prescriptions are developed by NZQA in consultation with education professionals.
In almost all subjects there is a national curriculum statement or a national syllabus
and prescriptions are based on those documents. Prescriptions were also created
for pre-NQF qualifications for which NZQA had a responsibility, such as the NZ
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Diploma in Business Studies and trade examinations. The prescriptions are a
complementary record to the National Curriculum statements provided by the
Ministry of Education, and these provide a summary record of assessment
expectations over time.
Examination
production
records
These are routine records relating to the production and dissemination of all
examinations managed by NZQA. Includes records relating to drafts, comments,
alterations, proof copies, printing instructions and completed scripts, as well as
associated correspondence, such as correspondence regarding breaches of rules
(cheating).
In 2013 all marked scholarship exam scripts were scanned by an external
organisation to .pdf, and were made available to students via Youpost
(http://www.youpost.co.nz/ ). In 2014 all marked exam scripts will be managed in
the same way. There are about 1,000,000 exam scripts managed annually.
Examination
administration
records
These are general administration records relating to the examination process. They
include exam entry forms, attendance rolls, marker check sheets, marker returns,
examination timetables, marker information and absence booklets, as well as
operational correspondence with providers.
Circulars
These are official sets of circulars that are different from the normal definitions of
circular, being the official record of summary information sent to education
providers concerning the delivery of the national examinations and qualifications,
covering such matters as entries for qualifications, internal assessment marks,
prescription developments and other information about the operation of the
annual qualifications cycle. For the past ten years copies of these circulars have
been published to the NZQA website.
Moderation
records
Moderation records document all the processes associated with NZQA moderation
processes. This group includes:
Annual national moderator’s reports
In secondary moderation, NZQA contracts and trains moderators for each subject.
A moderator’s key role is to provide feedback for providers that their assessments
are consistent, fair and valid. The national moderator oversees each moderation
system and also checks the decisions of other moderators. A moderation report for
each subject taught by each school is prepared annually, with a summary version
of the report made publically available and a summary record of the report
entered into a moderation database. The national moderator oversees the
moderation process and provides a summary report each year discussing the
overall process.
ITO annual reports on moderation systems
Annual reports from ITOs who report annually on their moderation systems. For
tertiary moderation, moderation of industry unit standards is managed by Industry
Training Organisations (ITOs). NZQA organises moderation of the unit standards for
those areas not managed by an ITO. External moderators provide moderation
reports to NZQA. The results of the reports are entered into the moderation
database and the reports themselves inform provider quality assurance processes
and NQF registration and maintenance activities.
Administrative records
Routine administrative records such as correspondence with providers regarding
moderation reports and moderation process, records documenting management
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of user accounts and access settings, and records monitoring ITO moderation
progress.
Other
Examination
Processes
Other examination processes such as financial assistance, special assessment
conditions, breaches of the rules and derived grades
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
1.2.2
Moderation reports internal assessment
1.2.4
Consent to assess records
1.3.1
Reviews and reconsiderations of assessment
1.6.1
Examination production records
1.7.1
Examination administration records
1.9.2
Moderation administration records
1.9.3
Other examination processes records
Other records within this class demonstrate forms of value that require long-term retention:
1.2.1
Official records written for schools recording the schools' current status of their
assessment systems
1.2.3
National reports
1.4.1
Final examination papers
1.5.1
Prescriptions
1.8.1
Official sets of circulars
1.9.1
Key moderation records
Created by an agency that has sole jurisdiction over key areas of the education sector in New
Zealand, these records not only have on-going business value but also provide evidence of key
reasoning and decision making relating to assessment and moderation practices across New
Zealand’s national qualification framework. Therefore these records are recommended for
retention as a public archive.
Retention and disposal recommendation
Ref.
1.2.2
Retention
period
Official records written for schools recording the 10 years
schools' current status of their assessment
systems
Moderation reports internal assessment
3 years
1.2.3
National reports
1.2.1
Description
10 years
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
Trigger
point
Consent
expired
Disposal
action
Archive
End of
moderation
cycle
End of
annual
Destroy
Archive
Page 4
1.2.4
Consent to assess records
7 years
1.3.1
Reviews and reconsiderations of assessment
7 years
1.4.1
Final examination papers
10 years
1.5.1
Prescriptions
10 years
1.6.1. Records of exam production
1 year
1.6.2
Annual exam issues correspondence
1 year
1.7.1
Records documenting exam administration such
as exam entry forms, marker information.
3 years
1.7.2
Operational correspondence with providers
regarding assessment
3 years
1.8.1
Official sets of circulars
10 years
1.9.1
Key moderation records
10 years
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
examination
cycle
Consent
expired
Review
process
complete
End of
annual
examination
cycle
End of
annual
examination
cycle
End of
annual
examination
cycle
When
issues
resolved
and closed
End of
annual
examination
cycle
End of
annual
examination
cycle
End of
calendar
year
Individual
records:
when
closed and
when
content and
metadata
transferred
to suitable
archiving
system
where
relevant.
Entire
Destroy
Destroy
Archive
Archive
Destroy
Destroy
Destroy
Destroy
Archive
Archive
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1.9.2
Routine administrative records
3 years
1.9.3
Other Examination processes
10 years
6.2
system:
When
superseded
or closed.
End of
moderation
cycle
End of year
Destroy
Destroy
Qualifications and standards development and maintenance records
Description
Schedule reference: 2
NZQA is responsible for the development, maintenance and promotion of unit standards and New
Zealand qualifications which are generic in nature; Mātauranga Māori; Pasifika focused; and/or
areas of Government priority. Assessment Support Materials (ASM) and associated activities are
developed to support the implementation of these standards and qualifications.
This class covers the records of the development of generic unit standards and qualifications, Māori
unit standards and qualifications and specific qualifications for which NZQA is the standard setter.
Also included in this class are the records of the development and maintenance of pre-NQF
qualifications which are not yet superseded. This class covers:
Standards and
qualification
development and
implementation
records
These are key records concerning NZQA's role in and contribution to the
development of nation-wide changes to unit standards on the Directory of
Assessment Standards (DAS), the qualification framework and the development of
changes to qualifications on the NZQF (for example, quality assessment of
qualifications proposed by providers). Records include key planning documents, final
reports, major drafts of unit standards and qualifications, reports from stakeholders,
and meeting minutes.
Qualifications
development
project records
These records cover a wide range of information – from the records of the
development of a unit standard to the development of an entire suite of
qualifications. They document the process of developing a unit standard or suite of
qualifications, including the involvement of subject experts, advisory / reference
groups, and other stakeholders. They also record the decisions made about what is
contained in the unit standard or suite of qualifications, and any discussions about
revisions. A project may take years to complete, or only a few months. They are rich
in information about how unit standards and qualifications, and their assessment
processes, came to be created.
New Zealand is the first country in the world to establish an entire education field
that formally recognises indigenous knowledge, and therefore Mātauranga Māori
qualifications development project records were separated out in the original
schedule. Staff emphasise that current processes are now the same for both Māori
and non-Māori qualifications, but consider it useful to list both separately, as there
are some minor differences in consultation.
Records include documentation around approval, stakeholder attestation, project
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planning, and administration.
Mandatory
review of
qualifications
development
project records
Records document key projects to do with the nation-wide review of qualifications at
levels 1 – 6 of the New Zealand Qualifications Framework, with the aim of reducing
the number of qualifications. Includes consultation / steering group documentation,
final pilot documents, procedural documentation and correspondence, final reports,
planning documents, and administrative information.
Develop
assessment
support material
and resources
These records document key projects to do with the development and publication of
assessment support materials (ASMs) to support unit standards for which NZQA is
the standard setter. This class includes consultation and working group
documentation, contacts, initial drafts, procedural documentation and
correspondence, final drafts and planning documents and administrative
information.
Decision-making
records
Records summarise decisions made by senior management and key stakeholders
regarding areas to do with qualification standards and development. Records include
documentation of decisions made by the Senior Management Team, Managers,
Team Leaders or key stakeholders on unit standards and qualifications, transfer of
standard-setting responsibility, and exit of standard-setting.
Steering Groups
management
records
These records document the decisions made by high level advisory groups
established for each unit standard and qualification. These groups meet every two or
three months, and are not solely concerned with the development of unit standards
and qualifications, but also with reviews and revisions, and oversight of usage.
The records of these groups include establishment documentation, reports, papers,
minutes and correspondence, as well as administrative and routine information.
Pre-record of
achievement
qualifications
development and
/ or maintenance
NZQA has responsibility for managing the assessment and award of qualifications for
non-NQF qualifications such as the NZ Diploma of Business and for tertiary
qualifications and/or examinations that are being phased out, including NZCE and
examinations for Advance Vocational Awards, Motor Industry Training Organisation
(MITO) and Plumbing Gasfitters Drainlayers Registration (PGDR).
This means that the records of the maintenance, review and modification of these
awards and qualifications were held at NZQA. Most of them comprise the records of
committees or working groups which determine what comprises a particular award
or qualification. In some cases they may be the only surviving information about the
decision-making involved in the development of these qualifications and awards.
Until the qualifications and/or examinations are phased out, these records are a
continuing series.
Records include minutes, correspondence and policy documentation.
Regulations,
handbooks,
guides for tertiary
qualifications
Final published versions of documentation produced by the NZQA to advise providers
and stakeholders.
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
2.2.2
Qualifications development project routine administrative records
2.3.2
Mandatory review of qualifications development administrative records
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2.4.2
2.5.2
2.6.1
2.7.2
Māori qualifcations development project administrative records
Develop assessment support administrative records
Decision making records
Steering Groups management administrative records
Other records within this class demonstrate forms of value that require long-term retention:
2.1.1
Standards and qualification development and implementation
2.2.1
Qualifications development project records
2.3.1
Mandatory review of qualifications development project records
2.4.1
Māori qualifications development project records
2.5.1
Develop assessment support material and resources
2.7.1
Steering Groups management records
2.8.1
Pre-record of achievement (ROA) qualifications development / maintenance
records
2.9.1
Final published versions of regulations, handbooks, guides for tertiary
qualifications
Created by an agency that has sole jurisdiction over key areas of the education environment in New
Zealand, these records provide evidence of key reasoning and decision making relating to the
development of New Zealand’s national qualification framework. They also provide key evidence
when it comes to the development of new standards, qualifications and frameworks that impact
New Zealanders’ ability to learn and their ability to apply it within the workplace. These records are
therefore recommended for retention as a public archive.
Retention and disposal recommendation
No
Description
Retention
period
10 years
Trigger point
2.1.1
Standards and qualification development
and implementation
2.2.1
Qualifications development project
records
15 Years
Project
complete
Archive
2.2.2
Qualifications development project
administration records
7 years
Project
complete
Destroy
2.3.1
Mandatory review of qualifications
development project records
10 years
Project
complete
Archive
2.3.2
Mandatory review of qualifications
development project administration
records
7 years
Project
complete
Destroy
2.4.1
Māori qualifications development projects
15 years
Project
complete
Archive
2.4.2
Māori qualifications development projects
administration records
7 years
Project
complete
Destroy
2.5.1
Develop assessment support materials and
25 years
When
Archive
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
Project
complete
Disposal
action
Archive
Page 8
resources
superseded
2.5.2
Develop assessment support
administrative records
25 years
When
superseded
Destroy
2.6.1
Decision-making records
25 years
When
superseded
Destroy
2.7.1
Steering Groups mnagement records
10 years
Project
complete
Archive
2.7.2
Steering Groups management
administration records
7 years
Project
complete
Destroy
2.8.1
Pre-Record of achievement qualifications
development and/or maintenance.
15 years
5 years after
expiry of award
or after expiry
of Transition
Action Plans in
unit standard
based awards.
Archive
2.9.1
Regulations, handbooks, guides for tertiary
qualifications.
5 years after
expiry of award
or after expiry
of Transition
Action Plans in
unit standard
based awards.
Archive
6.3 International partnership, arrangement, and qualification evaluation records
Description
Schedule reference: 3.
This class of records covers two activities carried out within NZQA that relate to international
partnerships and arrangements. Firstly, this class documents the development and maintenance of
international partnerships and other international arrangements in which NZQA is involved, and
secondly, this class documents NZQA’s role in the recognition of international qualifications within
New Zealand. This class covers:
Completed and
non-completed
applications for
qualifications
evaluation
These records document all the processes involved with international qualifications
recognition, from the initial query sent by international students / students with
international qualifications, to qualification approval or decline.
This is a user-pays service whereby individuals from overseas wishing to work in New
Zealand can have their qualifications checked and compared with New Zealand
qualifications. Qualifications are checked to ensure that they have been awarded by a
recognised overseas institution and that any documents submitted are not fraudulent.
After the initial queries are received and responded to, applicants provide an application
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form and the originals of the qualification documents and/or certified copies. Once the
checking process is complete, a qualifications assessment report is written and a letter is
sent to the applicant, together with their original documents. Certified copies are not
returned to the applicants. In a case where applicants are dissatisfied with the assessment
given, they can apply for a review within 12 months of the original decision. To determine
that the qualifications presented are bona fide, NZQA verifies them mainly through the
awarding institution. After 10 months, if no responses have been received, the file is
closed. A future application by the same person, for example in two years’ time, would
receive a new file.
Over each financial year, over ten thousand applications are processed, each resulting in a
file comprising between 25-50 pages, and possibly including large format certificates,
diplomas etc.
Qualification approval information is stored on FileNet (See
https://en.wikipedia.org/wiki/FileNet). Like the paper records associated with
qualification approvals, this information is also kept for 5 years and then deleted.
Fraudulent documents are not returned to the applicant, unless specifically requested,
and NZQA takes no further part in any action by Police or the Immigration Service.
See http://www.nzqa.govt.nz/qualifications-standards/international-qualifications/ for
further information.
Qualifications
fraud register
When a qualification is deemed to be fraudulent by the qualifying institution in response
to the verification process, the information is also entered into a fraud database; the
applicant has 28 days to respond to the NZQA letter and after that the matter is put in the
hands of the Police.
International
agreement and
arrangement
records
These records document NZQA’s involvement with international agencies to achieve
agreements and other arrangements that aid the development of qualifications and
qualification frameworks overseas. Agreements are to do with the joining of already
established conventions and treaties, while arrangements are individually negotiated
procedures. (See http://www.nzqa.govt.nz/about-us/our-role/our-role-in-internationaleducation/).
This is a new and growing area of responsibility and can involve:




providing support, as required, for trade negotiations involving qualification
recognition
implementing the qualifications recognition commitments in signed free trade
agreements
providing advice and support to Pacific Island nations, to help them develop their
qualifications frameworks and quality assurance processes
improving understanding and recognition of New Zealand qualifications
overseas.
(Source: http://www.nzqa.govt.nz/about-us/our-role/our-role-in-internationaleducation/.)
Education is currently the fifth biggest export earner in New Zealand1, and therefore the
‘export education market’ and the recognition of New Zealand qualifications overseas are
important aspects of this. For example, NZQA is currently involved with the Ministry of
Foreign Affairs and Trade with NZ Free Trade Agreement / Closer Economic Partnership
1
Supplied by staff member.
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negotiations and implementation. While MFAT keep the records, NZQA keeps project
records of how the decision was made. NZQA are also involved in working with NZAID
regarding the State Sector Development Partnership Project and in the Pasifika education
strategy, and in international arrangements with other education agencies.
Records document all facets of these areas of responsibility and are currently created and
used by the International Team and the Pasifika Team at NZQA.
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
3.1.1
Applications for overseas qualifications evaluation or recognition - completed.
3.2.1
Applications for overseas qualifications evaluation or recognition - not
completed.
3.3.1
Overseas qualifications fraud register
3.5.1
International agreement and arrangement negotiation and implementation
where NZQA is not the lead agency.
3.7.1
International agreement and arrangement administrative records
Other records within this class demonstrate forms of value that require long-term retention:
3.4.1
International agreement and arrangement negotiation and implementation
where NZQA is the lead agency.
3.6.1
International agreement and arrangement negotiation and implementation
where NZQA is not the lead agency.
Created by an agency that has sole jurisdiction over key areas of the education environment in New
Zealand, these records provide evidence of NZQA’s impact on the development of qualifications
and qualifications frameworks internationally. They also provide key evidence of the decisionmaking processes behind NZQA’s involvement in international agreements and arrangements.
These records are therefore recommended for retention as a public archive.
Retention and disposal recommendation
No
Description
3.1.1
Completed applications for
qualifications evaluation
3.2.1
Non-completed applications for
qualifications evaluation
3.3.1
Qualifications fraud register
3.4.1
International agreement and
Retention
period
5 years
10 months
10 years
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
Trigger point
Evaluation and
response
process
(including
review period)
completed
Verification
holding period
over
When register
superseded
When NZQA
Disposal
action
Destroy
Destroy
Destroy
Archive
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arrangement negotiation and
implementation where NZQA is the
lead agency.
3.5.1
International agreement and
arrangement negotiation and
implementation where NZQA is not
the lead agency.
10 years
3.6.1
International agreement and
arrangement administrative records
7 years
withdraws from
the arrangement
or when the
arrangement is
closed.
When NZQA
Destroy
withdraws from
the partnership
/arrangement or
when the
partnership /
arrangement is
closed or
NZQA’s role is
completed.
When NZQA
Destroy
withdraws from
partnership /
arrangement or
when
partnership /
arrangement is
closed or
NZQA’s role is
completed.
6.4 Quality assurance of unit standards and qualifications records
Description
Schedule reference: 4
This class documents the decisions and processes relating to the quality assurance of unit standards
and qualifications.
Since 1990, NZQA has been developing the New Zealand Qualifications Framework (formerly the
National Qualifications Framework (NQF)), in consultation with specialists from education and
industry. The NZQF is designed to provide nationally recognised, consistent standards and
qualifications, and recognition and credit for all learning of knowledge and skills. NZQA quality assures
unit standards, National Certificates and National Diplomas that have been developed by ITOs and
other standard setting bodies, including NZQA’s National Qualifications Service and Māori
Qualifications Service, and then registers them on the NZQF. Under Section 1 of the Education Act
2011, NZQA cannot delegate any of its quality assurance functions. (See Guidance Note on
http://www.nzqa.govt.nz/about-us/our-role/legislation/). This class covers:
Listing unit
standards and
qualification
These records document the qualifications quality assurance process of the NZQA by
documenting the listing of unit standards on the Directory of Assessment Standards
(DAS) and qualifications on the New Zealand Qualifications Framework (NZQF).
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records
From application onwards, each step is recorded. Unit standards applications,
accompanying documents, reports and final decisions are filed by batch, using an
application number assigned from the database. National qualifications applications
and accompanying documentation are filed by standard setting body (SSB). These
records remain current until the registration expires, or the unit standard or
qualification is reviewed or revised. Reviews, revisions, etc. of unit standards receive
new batch numbers.
Recommendations for national qualifications and achievement standards are forwarded
to the NZQA Board, and the recommendations and Board decisions are kept as part of
the Board records. Recommendations for unit standards are approved by the Group
General Manager.
The final registered unit standard or qualification is published on the NZQA website. A
registered unit standard or qualification is registered for a determined period of time.
Once registered, the standard can be reviewed or revised, and at the end of its
registration period may be rolled over or deregistered.
Since the implementation of the framework, thousands of unit standards, hundreds of
achievement standards and around five thousand qualifications have been registered. A
summary record is kept on a Qualifications Database. The mandatory review of
qualifications is aimed to reduce the number of qualifications at Levels 1-6.
Review of
unit standards
or
qualification
records
These records document the administrative processes associated with the review,
revision and rollover of unit standards on the Directory of Assessment Standards (DAS)
or qualifications on the New Zealand Qualifications Framework (NZQF).
NZQF and DAS
development
and
maintenance
records
Records that document the development of New Zealand Qualifications Framework
(NZQF), Directory of Assessment Standards (DAS), training manuals and management
documentation. Includes reviews of registration criteria, changes to Standard
Classification of Unit Standards on the DAS and national qualifications.
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
4.1.1
Records documenting the listing of unit standards on the DAS and qualifications
on the NZQF
4.2.1
Records documenting the review, revision and rollover of unit standards on the
DAS and qualifications on the NZQA
Other records within this class demonstrate forms of value that require long-term retention:
4.3.1
Records documenting the development and maintenance of the New Zealand
Qualifications Framework (NZQF) and Directory of Assessment Standards (DAS).
Created by an agency that has sole jurisdiction over key areas of the education environment in New
Zealand, these records not only inform key areas of education decision making but also provide
evidence of key reasoning and decisions behind the development and maintenance of New
Zealand’s national qualification framework, the results of which impact New Zealand learning
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
Page 13
pedagogy as well as individuals’ ability to apply what they have learned in the workplace. These
records are therefore recommended for retention as a public archive.
Retention and disposal recommendation
No
Description
4.1.1
Listings of unit standards on the
DAS and qualifications on the New
Zealand Qualifications Framework
(NZQF)
Review, revision and rollover of unit
standards on the DAS or
qualifications on the New Zealand
Qualifications Framework (NZQF)
NZQF and DAS development and
maintenance
4.2.1
4.3.1
6.5
Retention
period
20 years
Trigger point
20 years
When
Destroy
registration/version
expires.
10 years
When superseded,
or date of file part
closure or last edit
date on document.
When
registration/version
expires.
Disposal
action
Destroy
Archive
Tertiary Education Organisations (TEO) quality assurance records
Description
Schedule reference: 5.
These records document the different NZQA processes surrounding the accreditation and auditing
of Tertiary Education Organisations (TEO), for example, records that check the quality of a TEO’s
education programmes by carrying out an external check of their quality systems and their
effectiveness as a TEO.
TEOs include individual schools, polytechnics, universities, colleges of education and wānanga, as
well as private training establishments (PTEs) of which hundreds are registered throughout New
Zealand. (Schools, polytechnics, universities, Government Training Establishments (GTEs),
Industry Training Organisations (ITOs), colleges of education and wānanga do not need to be
registered as they are set up by the government under legislation) and other bodies. Once
registered, a PTE can apply for approval of its courses and accreditation to run approved courses,
and also apply for various forms of government funding.
This class covers:
Approval and
accreditation
records
These records provide a central record of information about the TEO and any
associated correspondence. Documentation includes reviews of internal quality
management systems, the latest EER report, any complaints, financial
management information, correspondence not specific to an application, and
any other information relating to the TEO that does not concern a specific
application for accreditation or approval, or an audit.
Records only become non-current when a TEO is no longer registered because it
has been deregistered or it has gone out of business.
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Approval and
accreditation
working records
Working records such as job files are created for TEO registration, programme
approvals and accreditations, training scheme approvals, consents to assess, risk
profiling, complaints and associated workflow documentation. These simply
record each process that is carried out, and are summarised elsewhere.
TEO EER, analysis
and compliance
records
Records that document, analysis and compliance outcomes and/or selfassessment and external evaluation and review (EER) of all tertiary education
organisations (TEOs).
Complaints about
TEOs
Records that document complaints about TEOs. Where appropriate an individual
complaints file may be created in which to record the investigation of the
complaint.
Any significant complaint material will also be placed on the TEO file. Complaints
that reach litigation are covered within legal records.
Code of Practice for
the Pastoral Care of
International Students
records
Administration records covering the processing of applications from educational
institutions at all levels, both private and public, that want to enrol international
students and therefore become signatories to the code.
Note: the Code is owned by the Ministry of Education; NZQA administers the
process of becoming a signatory to the code plus annual (voluntary) attestations.
NZQA are currently considering the processes surrounding applications and may
require shorter retention periods if application and attestation processes
change.
Current records include the documenting the analysis of the commentary on the
applications and associated documentation, peer review, annual attestations
from institutions enrolling international students and administration records.
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
5.2.1
Approval and accreditation working records
5.3.1
TEO, analysis and compliance records
5.4.1
Complaints about TEOs
5.5.1
Code of Practice for the Pastoral Care of International Students applications
processing records, annual attestations, and administration records
Other records within this class demonstrate forms of value that require long-term retention:
5.1.1
Approval and accreditation central TEO records
Created by an agency that has sole jurisdiction over key areas of the education environment in
New Zealand, these records not only inform key areas of education quality assurance but also
provide evidence of quality assurance processes over time with regards to TEO approval and
accreditation. These records provide original and unique evidence of obligations, powers and
decisions regarding the quality assurance of TEOs and how they impact the delivery of
qualifications across the qualification framework. These records are recommended for retention as
a public archive.
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
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Retention and disposal recommendation
No
Description
Retention
period
15 years
Trigger point
5.1.1
Approval and accreditation central
TEO records
5.3.2
Approval and accreditation working
records
7 years
When process
complete. See
note
Destroy
5.3.1
TEO audit records
7 years
When
superseded
Destroy
5.4.1
Complaints about TEOs
7 years
When process
complete
Destroy
5.5.1
Code of Practice for Pastoral Care
records
25 years
When the
signatory is no
longer a code
signatory
Destroy
5.5.2
Annual attestations received from
institutions enrolling international
students
Records to do with the administration of
applications and annual attestations
7 years
End of year
Destroy
7 years
End of year
Destroy
5.5.3
6.6
When TEO
becomes
inactive (no
longer
registered).
Disposal
action
Archive
Provider liaison, assistance and support records
Description
Schedule reference: 6.
This class combines the records from two separate areas of NZQA, both of which perform provider
assistance and support roles.
The Schools Quality Assurance and Liaison team of the Secondary Education Group maintains contact
with schools, provides assistance and advice to schools, and manages the programme of annual
moderation and MNA reports for schools. In 2014 NZQA were working with 500 schools covering
3,000,000 internal assessments and 1,000,000 end of year exams for NCEA.
NZQA provides free ‘one-on-one’ support to all registered Māori providers and Wānanga. Regional
facilitators based around the country are employed to work with Māori providers on building their
capacity. This includes assistance with programme development, quality management systems and
communications with NZQA’s central office in Wellington. NZQA staff consider that while the
qualification development process is the same for both, stakeholder engagement and consultation are
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
Page 16
more complex for Māori qualifications.
The class covers:
Māori and
Pasifika
provider
support and
assistance
records
These records document NZQA processes that support and assist Māori and Pacific
providers in New Zealand. These records include facilitators’ reports and the
coordination meeting records and client satisfaction forms and results.
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
6.2.2
Māori and Pasifika provider support and assistance client satisfaction survey
completed forms
Other records within this class demonstrate forms of value that require long-term retention:
6.2.1
Māori and Pasifika provider support and assistance records
6.2.3
Māori and Pasifika provider support and assistance client satisfaction survey
summarised results
Created by an agency that has sole jurisdiction over key areas of the education environment in New
Zealand, these records not only inform key areas of education decision making with regards to
provider liaison assistance and support but also provide original and unique evidence of liaison,
assistance and support with an indigenous education provider system that is currently unique
amongst education systems around the World. They also document evidence of the creation of and
changes to support and assistance processes to providers over time, which will provide an
important overview of changing educational foci and issues and cultural and social mores. These
records are recommended for retention as a public archive.
Retention and disposal recommendation
No
Description
6.2.1
Māori and Pasifika provider support
and assistance records
Māori and Pasifika provider suppot
and assistance client satisfaction
survey completed forms
6.2.2
6.2.3
Māori and Pasifika provider support
and assistance client satisfaction
survey smmarised results
Retention
period
10 years
Trigger point
1 year
Survey
completed and
results
summarised
Destroy
10 years
End of yea
Archive
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
End ofyear
Disposal
action
Archive
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6.7 Learner records
Description
Schedule reference: 7.
This class describes all the records that comprise records of assessment and examination results
relating to individual achievements within the New Zealand Qualifications Framework. This class
covers:
Record of
achievement
(ROA)
This is a summary record of each individual’s achievements at all levels within the
New Zealand Qualifications Framework, from all providers, and of all types of
standard, qualification and training. It includes Record of Learning (ROL) database
records, which was a predecessor system. This system itself is under development
at the time this schedule was being prepared. It will replace current and former
means of recording assessment and examination results such as examination
registers.
Record of
learning (ROL)
maintenance
records
These records document the processes that contribute to the maintenance of the
Record of learning. Covering a wide range of associated administrative processes,
the records include learner assessment reports from providers, applications for
records of learning, and communications with learners and providers.
Learner
information
maintenance
records
(pre-ROL)
These records come in a variety of forms, and all provide evidence of learning
prior to the ROL, and can relate to a variety of qualifications managed outside the
National Qualifications Framework, including the Diploma in Business, the NZ
Trades Certificate, School Certificate, University Entrance, and University
Bursaries and Scholarships. Records include examination results registers,
employer reports, attendance records and records of work experience, and
applications for results certificates or confirmation.
Although some of the records are closed, others are still in the process of being
phased out. The records are effectively current until the award has expired or has
been replaced. In some cases records will remain active for some years after the
awards’ expiry, as work experience as part of the award may continue past the
final year of providing the award.
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
7.2.1
Record of Learning (ROL) learner assessment reports from providers
7.2.2
Record of Learning (ROL) applications
7.2.3
Records documenting Record of Learning (ROL) communications with learners
and providers
7.3.2
Learner information maintenance (pre-ROL) applications for results certificates
or confirmation
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
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Other records within this class demonstrate forms of value that require long-term retention:
7.1.1
Record of achievement
7.3.1
Learner information maintenance records (pre-ROL).
Created by an agency that has sole jurisdiction over key areas of the education environment in New
Zealand, these records not only inform key areas of education decision making with regards to the
on-going maintenance of learner records but also provide vital summary evidence in terms of
individual achievement within the New Zealand Qualifications Network.
Only one class however has been recommended for retention as a public archive during the lifetime of this schedule. The Record of Achievement is a vital public and archival record, but is viewed
as being permanently current by NZQA as it is their responsibility to hold a record of qualifications
achieved and to make that record available to the individuals who hold those qualifications.
Retention and disposal recommendation
No
Description
Retention
period
100 years
Trigger point
7.1.1
Record of achievement (ROA)
7.2.1
Record of Learning (ROL) maintenance
Learner assessment reports from
providers
3 years
After data
entered into
ROL and
verified
Destroy
7.2.2
Record of Learning (ROL) applications
7 years
End of year
Destroy
7.2.3
Records documenting Record of
Learning (ROL) communications with
learners and providers
Learner information maintenance
records (pre-ROL)
7 years
End of year
Destroy
15 years
Individual
records: when
closed and
when content
and metadata
transferred to
suitable
archiving
system where
relevant. Entire
system: When
superseded or
closed. See
note.
Archive
Learner information maintenance
applications for results certificates or
confirmation (pre-ROL)
7 years
End of year
Destroy
7.3.1
7.3.2
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
From date of
application
Disposal
action
Retain
Page 19
6.8 Research records
Description
Schedule reference: 8
This class of records documents research and associated administrative processes carried out within
NZQA.
NZQA has a team of researchers that carries out research for internal clients (which may be large
projects or simple statistical requests), manages its own long term research programme, and
provides information for data and research requests from other agencies. They also contribute to the
development of reports for other education groups, and provide statistical analyses.
Not all of this research is published, either on the web or in paper form. This class covers:
Raw data
Most of the records created by the research projects comprise of the
raw data and analysis of the raw data. For example, completed surveys,
data sheets, transcripts, and correspondence.
Examples of student
work for time series
research
As part of its research programme, the team collects examples of student
work for comparative purposes over time, surveys schools and collates the
results into reports, and develops comparative studies, which can play a
major part in influencing policy and operational decisions. Privacy
considerations are addressed when keeping examples of student work.
Final research results
Records that summarise final research results and analysis.
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term and
administrative in nature.
8.1.1
Major research projects raw data
8.2.1
Minor research projects raw data and results
Other records within this class demonstrate forms of value that require long-term retention:
8.1.2
Examples of student work for time series research
8.1.3
Major research projects final research results
Created by an agency that has sole jurisdiction over key areas of the education environment in New
Zealand, these records not only provide summary evidence of NZQA education research but
document the information that informed key decision-making processes relating to the creation and
maintenance of the qualification framework. As such, these records provide key evidence of areas of
educational influence such as New Zealand identity and social well-being. These records are
recommended for retention as a public archive.
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Retention and disposal recommendation
No
Description
Retention
period
10 years
Trigger point
8.1.1
Major research projects raw data
8.1.2
Examples of student work for time
series research
10 years
When project
completed and
results
published
Archive
8.1.3
Major research project final research
results
10 years
When project
completed and
results
published
Archive
8.2.1
Minor research projects and raw data
and results, response to information
or data requests.
10 years
When project
completed
and/or
response
provided.
Destroy
When project
completed and
results
published
Disposal
action
Destroy
6.9 Governance records
Description
Schedule reference: 9.
This class covers records that document NZQA governance functions carried out by the Board and
senior management.
NZQA is headed by a Board appointed by the Minister of Education, and is accountable through the
Minister to Parliament. The Board has nine members and represents industry, community and
education interests. The Board’s governance responsibilities include:





communicating with the Minister and other stakeholders to ensure their views are reflected
in NZQA planning
delegating responsibility for achievement of specific objectives to the Chief Executive
monitoring organisational performance towards achieving objectives
accounting to the Minister on plans and progress against them
maintaining effective systems of internal control
The Board holds monthly meetings. The Board also sets up committees to provide a more detailed level
of focus on particular issues and/or is delegated responsibility for policy-making and monitoring of
NZQA’s progress towards meeting policy objectives. The Board maintains a conflict of interests register
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
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(incorporated into Board papers) and ensures that Board members are aware of their obligations to
declare interests.
Records include records of decisions about registration of qualifications, reports, papers, minutes and
agendas. These records are covered under GDA 6. This class covers:
Delegations
These records are for financial, HR and statutory delegations and any
others from time to time. This also includes Chief Executive delegations.
Value Statement
The following records within this class demonstrate forms of value that require long-term
retention:
9.4.1
Delegations by the Board of statutory authority and any other delegation,
including Chief Executive delegations.
Created by an agency that has sole jurisdiction over key areas of the education environment these
records document key decision-making processes relating to NZQA governance of the creation and
maintenance of the national qualification framework. These records are recommended for
retention as a public archive.
Retention and disposal recommendation
No
Description
9.4.1
Delegations by Board of statutory
powers and any other delegations
(including delegations by the Chief
Executive)
Retention
period
10 years
Trigger point
When
superseded
Disposal
action
Archive
6.11 Legislation and Legal advice records
Description
Schedule reference: 11.
This class covers records that document NZQA’s input into legislation and its development.
NZQA has a role in developing legislation covering educational assessment and qualifications. NZQA
also comments upon or participates in the development of legislation by other agencies within
education sector. However, in this case the substantive record will be held by the initiating agency.
Legal advice records are covered under GDA 6. This class covers:
Legislation development
and review records
These are records that document the legislation drafting, review and
administration processes that NZQA are involved in. In some cases
NZQA will be the lead agency, and in others provides submissions and
comments to other agencies regarding their areas of responsibility.
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Development of NZQA
rules and Gazette notices
These are records that document policy development and drafting of
NZQA rules and Gazette notices NZQA also retains the rules in web
format on the NZQA website
Copies of historical
revised rules and gazette
notices
These are records of final executed copies that are with the board or
for Ministerial sign off
Litigation and civil
proceedings by agencies
or NZQA
These are records that relate to litigation and civil proceedings by
other agencies or NZQA relevant to the proceedings
Prosecutions taken or
considered by NZQA
These are records that relate to prosecutions taken or considered by
NZQA and contains all information relevant to the prosecution
NZQA staff as witnesses
in third party
proceedings
These are records relating to witness statements and correspondence
when NZQA staff are witness in third party proceedings
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
11.2.1
Legislation development and review records where NZQA is not the lead agency
11.8.1
NZQA Staff as witnesses in third party proceedings
Other records within this class demonstrate forms of value that require long-term retention:
11.1.1
Legislation development and review records where NZQA is the lead agency
11.3.1
Legislation development and review records where NZQA is not the lead agency,
but provides submissions and comments for legislation.
11.4.1
Development of NZQA rules and Gazette notices
11.5.1
Copies of historical revised rules and Gazette notices
11.6.1
Litigation and civil proceeding by agencies or NZQA
11.7.1
Prosecutions taken or considered by NZQA
Created by an agency that has sole jurisdiction over key areas of the education environment these
records document key decision-making behind the legislation and rules/notices that informs or
impacts on New Zealand’s national qualification framework. These records provide evidence of
NZQA decision-making and review of legislation and rules/notices impacting national standards and
qualifications over time, and as such provide an important overview of changing viewpoints and
concerns relating to areas such as identity, educational foci and cultural and social mores. These
records also include court proceedings where NZQA is a party or is considering taking them. These
records are recommended for retention as a public archive.
Retention and disposal recommendation
No
Description
Retention
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
Trigger point
Disposal
Page 23
period
10 years
11.1.1
Legislation development drafting,
review documents where NZQA is
the lead agency
11.2.1
Legislation development, review and
administration where NZQA is not
the lead agency
10 years
11.3.1
Legislation development records
where NZQA is not the lead agency,
but provides submissions, comments
and internal discussion about NZQA’s
position
10 years
11.4.1
Development of NZQA rules and
Gazette notices
10 years
11.5.1
Copies of historical revised rules and
gazetted notices
50 years
11.6.1
Litigation and civil proceeding by
agencies or NZQA
10 years
11.7.1
Prosecutions taken or considered by
10 years
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
Drafting and
reviews - when
legislative
process
complete.
Administration
- date of file
part closure or
last edit date
on document.
Drafting and
reviews - when
legislative
process
complete.
Administration
- date of file
part closure or
last edit date
on document.
Drafting and
reviews - when
legislative
process
complete.
Administration
- date of file
part closure or
last edit date
on document.
Drafting and
reviews - when
process
complete.
Administration
- date of file
part closure or
last edit date
on document.
Stored offsite
after they are
made
After the
proceedings
have
concluded
After the
action
Archive
Destroy
Archive
Archive
Archive
Archive
Archive
Page 24
NZQA
11.8.1
NZQA Staff as witnesses in third
party proceedings
2 years
prosecution
has concluded
After the
proceedings
have
concluded
Destroy
6.12 Audits and risk
Description
Schedule reference: 12.
NZQA has an internal audit function that is responsible for monitoring its systems of internal control
and the quality and reliability of financial and other information reported to the Board. The internal
audit function operates independently of the management and reports its finding directly to Board.
This class covers:
Risk management
records
Internal reviews
Records documenting risk and risk management, such as records
documenting the identification of risks within and across the
organisation.
Records of internal reviews of processes and systems
Value Statement
All the records in this class are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
12.1.1
12.2.1
Risk management records
Internal reviews
Retention and disposal recommendation
No
Description
Trigger point
Risk management
Retention
period
7 years
12.1.1
12.2.1
Internal reviews
7 years
End of year
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
When
superseded
Disposal
action
Destroy
Destroy
Page 25
6.13 Communications management
Description
Schedule reference: 13.
This class covers media management and communications records. NZQA produces a large number
of publications for providers, learners and standard setting bodies, many of which are available
both in hard-copy and electronically through the website. Many of the publications are guides of
various kinds, and statistics are also available.
Most records in this class come under GDA 6. The records not covered are:
NZQA publications
Final publications in a variety of formats produced by NZQA.
These publications include unit standard and qualification documents (i.e.,
documents spelling out the coverage, provisions, etc. of unit standards
and qualifications), guidelines for activities such as self-assessment and
external evaluation and review, qualification review and development.
Media management
records
These records include media advice to business units and records media
monitoring such as transcripts, audio and video recordings and electronic
media feeds.
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
13.3.2
Media advice to business units
13.3.3
Records of media monitoring
Other records within this class demonstrate forms of value that require long-term retention:
13.2.1
Final copies of NZQA publications
Final publications have on-going business value, and can provide key evidence in terms of research,
statistics, planning etc. as well as guidelines and advice for providers and stakeholders that can
inform knowledge on an on-going basis. These records are recommended to be retained by the
agency.
Retention and disposal recommendation
No
Description
13.2.1
Final copies of NZQA publications
13.3.2
Media advice to business units
Retention
period
Trigger point
When
publication
issued
3 years
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
Date of file
part closure or
last edit date
Disposal
action
Legal
Deposit and
/ or retain
Destroy
Page 26
on document.
13.3.3
Records of media monitoring
3 years
End of year
Destroy
6.15 Official correspondence
Description
Schedule reference: 15.
The term official correspondence within NZQA comprises of Select Committee Requests, formal and
informal briefings for Ministers, Ministerial correspondence, Parliamentary Questions (PQs), Board
Correspondence, Comment and Advice requests and Chief Executive correspondence concerning
the implementation and review of major standards and qualifications projects. Classes not covered
under GDA 6 are discussed here.
Value Statement
The following records within this class not covered by GDA 6 demonstrate forms of value that
require long-term retention:
15.1.1
Official correspondence concerning key areas of governance and the
implementation and review of major standards and qualifications projects.
Created by an agency that has sole jurisdiction over key areas of the education environment these
records document key decision-making and expert opinion with regards to major issues or projects.
Retention and disposal recommendation
No
Description
15.1.1
Ministerials, PQs and CE
correspondence concerning areas
of governance and implementation
and review of standards and
qualifications
Retention
period
10 years
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
Trigger point
When action
completed and
file closed. e.g.
when draft
response is
accepted by
the Minister
Disposal
action
Archive
Page 27
6.18 IT infrastructure
Description
Schedule reference: 18.
This class covers records to do with IT infrastructure development and maintenance. This class
covers:
Routine facilities and
infrastructure
management records
Records are used to document routine low-level processes such as
change control forms, configuration management documents etc., as
well as documentation that covers purchase, installation, testing and
maintenance, and specifications.
Strategic infrastructure
records
Records concerning the strategic information infrastructure are of
value in terms of understanding how NZQA’s electronic information
environment is designed and managed. For example, key data models,
key architecture documents and key services strategic planning.
Records of major
strategic information
systems projects.
These records document significant information systems projects
within and across NZQA, that is, projects that enhance, replace or
install systems or applications used to record key operational
information, or else promote, publicise and inform NZQA stakeholders
and clients through the web etc. NZQA manages a considerable
amount of information in databases and also disseminates information
and manages and interaction with stakeholders through its website.
Value Statement
The following records are either summarised in retained records elsewhere, or else document
decisions, activities and processes made at a routine operational level where impact is short-term
and administrative in nature.
18.1.1
Routine facilities and infrastructure management records
Other records within this class demonstrate forms of value that require long-term retention:
18.2.1
Strategic infrastructure records
18.2.2
Strategic information systems projects
Created by an agency that has sole jurisdiction over key areas of the education environment, these
records are required to inform key areas of education-related decision making with regards to
major infrastructure projects associated with the national qualification framework and provide
evidence of key aspects of IT infrastructure that impacts on major information systems.
Retention and disposal recommendation
No
Description
18.1.1
Routine facilities and infrastructure
Retention
period
3 years
Appraisal Rationale prepared for NZQA by Lindisfarne Information Consulting Ltd
Trigger point
When
Disposal
action
Destroy
Page 28
management records
18.1.2
18.2.1
18.2.2
completed or
superseded
Records documenting routine office
and infrastructure systems and
applications
Strategic infrastructure records
1 year
When system
is superseded
Destroy
10 years
When
superseded
Archive
Strategic information systems
projects records
10 years
When project
completed
Archive
6.25 Corporate internal information management practices and projects
Description
This class covers records that document corporate internal information management practices and
projects. The majority of records in this class are covered under GDA 6, with one exception worth
noting, which are records that document information about the information held at NZQA such as
file lists, contact information, source codes and metadata and other information used to manage
content and knowledge around NZQA information holdings.
Value Statement
All the records in this class not covered by GDA 6 are either summarised in retained records
elsewhere, or else document decisions, activities and processes that are of business value only in
terms of system maintenance and risk management.
25.1.1
Records documenting information management systems
Retention and disposal recommendation
No
Description
25.1.1
Records documenting information
management systems
Retention
period
25 years
Trigger point
Date of file
part closure or
last edit date
on document.
Disposal
action
Destroy
Access Recommendations
After reviewing the Archives New Zealand document ‘Making Decisions on the Access Status of
Public Records’ and consulting with staff, only two sub-classes of records require restriction in the
form of content-based restriction from point of closure.
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Page 29
1.9.1: Moderation records: Key moderation records such as final annual moderation reports,
national assessment reports, annual national moderator's reports, ITO annual reports on
moderation systems.
2. 5.1.1: Approval and accreditation records: Provider records - central record of information
about the provider and correspondence with the provider.
1.
Both sub-classes are to be restricted for 15 years from the date they are closed as they contain
confidential information relating to administrative processes, and restriction is required in order to
protect the integrity of those processes.
Since both sub-classes are required to be retained for 15 years after closure by NZQA, there will be
no on-going restrictions to address once they are transferred to Archives New Zealand.
This information also appears in the Schedule.
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