Archives New
Zealand Standards
Policy
Table of contents
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Introduction
1.1 Purpose
1.2 Audience
1.3 Mandate
1.4 Standards programme
1.5 Integrated regulatory framework
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Background
2.1 What is a standard?
2.2 Benefits of standards
2.3 Types of standards
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Records management
3.1 Archives New Zealand’s aims
3.2 Information management and records management
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Achieving records management aims
4.1 Standards and other tools
4.2 Use of standards
4.3 Base-level requirements
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Developing and maintaining standards
5.1 Decisions required
5.2 Good-practice decision-making
5.3 Principles to help decision-making
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Principles
6.1 Process
6.2 Content and approach
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Archives New Zealand Standards Policy
1 Introduction
1.1 Purpose
This policy provides a framework for developing and maintaining standards under the
Public Records Act 2005. It explains:
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what a standard is and why Archives New Zealand issues them, and
the principles which Archives New Zealand will follow when developing and
maintaining standards.
1.2 Audience
This policy is written for:
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Archives New Zealand staff tasked with developing and maintaining
standards, and
external stakeholders who may wish to know more about Archives New
Zealand’s standards-setting activities.
1.3 Mandate
Sections 27 and 28 of the Public Records Act 2005 empower the Chief Archivist to
issue, review, amend or revoke standards relating to the creation, maintenance or
management of public records or local authority records.
1.4 Standards programme
Archives New Zealand has established a programme of work to support the
development and maintenance of standards under the Public Records Act. The aims
of the programme are to deliver an optimised, well-supported and well-monitored
framework of standards, at least cost to Archives New Zealand.
1.5 Integrated regulatory framework
Standards form part of an integrated regulatory framework established by the Public
Records Act. Public offices are audited against their compliance with requirements in
mandatory standards. The Chief Archivist has the power to inspect agencies to
assess and ensure good records management practice. The Public Records Act
allows penalties to be imposed for non-compliance with its provisions, including noncompliance with standards issued under the Act.
Archives New Zealand also provides advice, guidance and training to public sector
organisations on the requirements in its standards, and on records management
more generally.
The Chief Archivist carries out his standards-setting role in the context of the broader
ICT work of the Department of Internal Affairs.
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Archives New Zealand Standards Policy
2 Background
2.1 What is a standard?
The International Standards Organisation (ISO) describes a standard as ‘a document
that provides requirements, specifications, guidelines or characteristics that can be
used consistently to ensure that materials, products, processes and services are fit
for their purpose.’
Standards describe practical and reliable methods for achieving designated
outcomes. They document accepted practice at a specific point in time.
2.2 Benefits of standards
Standards reduce the likelihood of failure and minimise development and
implementation costs. Reusing the knowledge found in standards helps organisations
to achieve outcomes effectively and efficiently.
When widely adopted, standards help organisations to work together more
effectively. Following a standardised approach provides clear avenues for
interoperability or integration and improves understanding between organisations.
2.3 Types of standards
Beyond obvious differences in content, standards vary in a number of ways,
including: approach, level of detail, structure, size, target audience, tone and
language. They reflect the design-choices of their developers, and represent
compromises made between, for example, level of detail and accessibility,
comprehensiveness and useability, and so on.
Prescription-based and performance-based standards
Two common kinds of standards are prescription-based standards and performancebased standards. The former prescribe a precise method for achieving an outcome.
This method is designed to be applicable in all contexts or is assumed to apply
regardless of context.
Performance-based standards provide overall guidance on acceptable performance
requirements. They outline general principles or goals, and give organisations the
freedom to achieve these goals in whatever way is most efficient and effective for
them. They acknowledge the impact of real-world circumstances on outcomes and
methods, and they encourage innovation. Performance-based standards often
include lower-level rules, supporting guidance and examples to assist understanding
and compliance.
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Archives New Zealand Standards Policy
3 Records management
3.1 Archives New Zealand’s aims
Archives New Zealand leads public sector records management. Its aims are to:
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define and communicate best-practice records management
make knowledge about best-practice records management available for reuse
embed best-practice records management in public sector organisations
ensure the preservation of records with long-term value to the New Zealand
public, and
optimise records management implementation costs.
Achieving these aims supports the purposes of the Public Records Act, among which
are to enable government to be held accountable and to enhance public confidence
in the integrity of public and local authority records.
Achieving these aims also supports wider goals for public sector ICT and information
management, among which are to manage information to deliver better services and
to enhance trust and confidence in government.
3.2 Information management and records management
Managing information and managing records are distinct but related sets of activities.
Information management
Information management may be defined, very broadly, as the set of business
activities carried out to ensure that information assets are managed to achieve
benefits (such as better public services) and mitigate risks (such as the release of
private information).
Records management
Records management is a crucial component of information management. It is the
subset of information management activities carried out to ensure that organisational
records are reliable, authentic, have integrity and are useable. Records with these
characteristics provide trustworthy evidence of business activity. They enable
organisations to meet both their internal operational and reporting needs and their
external accountability obligations.
Well-designed and well-run records management processes help organisations
achieve higher level information management outcomes.
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Archives New Zealand Standards Policy
4 Achieving records management aims
4.1 Standards and other tools
Standards form part of a set of tools Archives New Zealand uses to achieve the
records management aims noted in section 3.1. The other tools include:
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audits
approvals documents issued under the Public Records Act, for example,
disposal authorities, deferral of transfer agreements
guidance documents
training courses
forums and other events for records management staff, and
on-demand advice.
4.2 Use of standards
Archives New Zealand develops and maintains standards selectively. They have a
status or focus that the other tools do not, and so they are suited for use in certain
circumstances only.
Archives New Zealand uses standards in preference to other tools when it is
necessary or important to:
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embed or influence particular records management practices
communicate its expectations for the management of records
provide a clear benchmark against which records management practices can
be evaluated
codify and explain legislative requirements
achieve stakeholder buy-in
raise the profile of and address a pressing issue or problem.
4.3 Base-level requirements
Archives New Zealand will only develop and maintain standards:
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either where there is a clear best-practice approach to achieving records
management outcomes or where there are many competing approaches, but
mandating or recommending a standardised approach will achieve systemlevel benefits, and
where the chosen approach is mature enough to be codified and
communicated, and
where doing so achieves system-level benefits that issuing a guidance
document, or intervening in another way, does not.
Archives New Zealand will issue guidance to support standards when necessary.
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Archives New Zealand Standards Policy
4.4 Mandatory and discretionary standards
The Public Records Act empowers the Chief Archivist to issue both mandatory and
discretionary standards.
Mandatory standards
Mandatory standards have a higher legal status than discretionary standards.
Designated public sector organisations are required to comply with mandatory
standards and may be penalised if they do not. Archives New Zealand, on a rolling
five-year cycle, audits public offices (except schools) against the requirements in
mandatory standards.
Discretionary standards
Discretionary standards have a lower legal status than mandatory standards. Public
sector organisations are recommended to comply with them, but they are not
required to do so. Discretionary standards may be applicable in some circumstances
only, or may require a level of investment that is unnecessary, impractical or
unaffordable for some organisations.
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Archives New Zealand Standards Policy
5 Developing and maintaining standards
5.1 Decisions required
When developing and maintaining standards, Archives New Zealand is required to
make decisions about the following:
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whether or not to issue, review, amend or revoke specific standards
the processes that should be followed when issuing, reviewing, amending or
revoking standards
the content of standards—which records management processes, practices
or tools should be standardised
the type of standard—rules-based or principles-based, or a combination
the status of standards—whether compliance with a particular standard is
designated as mandatory or discretionary under the Public Records Act, and
the scope of mandatory standards—which public sector organisations should
be required to comply and which should not.
Some of these decisions can be made ahead of time. Others will be made as
opportunities and issues arise.
5.2 Good-practice decision-making
Good decisions about standards:
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are principled
take into account all relevant considerations
are based on credible evidence
are made in a timely manner
are consistent over time, and
are communicated clearly and effectively.
5.3 Principles to help decision-making
Archives New Zealand has established two layers of principles to guide its decisions
on the development and maintenance of standards. These principles reflect both
Archives New Zealand’s aspirations for its standards programme and legislative and
practical constraints on its decision-making.
The first layer of principles (section 6.1) relates to the processes Archives New
Zealand will follow to develop and maintain standards. The second layer (section 6.2)
relates mostly to the content of the standards that Archives New Zealand will develop
and maintain, but also to its approach to managing its standards programme as a
whole.
Principles may pull in different directions. Context-appropriate weighting will be given
to each one when making decisions about developing and maintaining standards.
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6 Principles
Archives New Zealand will use the following principles to guide its decisions about
developing and maintaining standards.
6.1 Process
1. Open
Archives New Zealand will develop and maintain standards openly and transparently.
Standards work will be announced ahead of time, publicised widely and frequently,
and decisions made will be communicated to public sector organisations subject to
the standards and to other stakeholders.
2. Collaborative
Archives New Zealand will develop and maintain standards in collaboration with
public sector organisations subject to the standards and with other stakeholders.
Stakeholder representatives will be invited to participate in standards work.
Stakeholder opinions will be actively sought and taken into account when making
decisions about standards.
The Public Records Act imposes an obligation on the Chief Archivist to consult on the
development of mandatory standards. This obligation will be met.
3. Consistent
Archives New Zealand will follow a consistent process for developing and
maintaining standards. This process will be codified.
4. Timely
Archives New Zealand will develop and maintain standards in a timely manner.
Existing standards will be reviewed regularly. New standards will be developed
quickly.
5. Sustainable
Archives New Zealand will manage the cost of developing and maintaining
standards. When considering the development of new standards, it will consider its
ability to support them over the medium- and long-term.
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Archives New Zealand Standards Policy
6.2 Content and approach
1. Effective
Archives New Zealand will develop and maintain standards that achieve specified
outcomes, are practical to implement and are consistent with each other.
2. Balanced
Archives New Zealand will develop and maintain standards that strike a defensible
balance between flexibility and rigidity.
3. Accepted practice
Archives New Zealand will develop and maintain standards that reflect accepted
practice. Archives New Zealand will keep up to date with and be guided by
international work, and will ensure that its own standards take account of the latest
thinking and developments.
4. Accessible
Archives New Zealand will develop and maintain standards that are understandable
on their own terms, and easy to read and use. Standards will be made freely
available to public sector organisations unless there are good reasons not to.
5. Harmonised
Archives New Zealand will develop and maintain standards that align with other
public sector information management frameworks and with relevant international
standards. It will ensure that its standards are consistent with those external
frameworks and standards, reuse existing knowledge where possible, and identify
and actively collaborate with key contacts.
6. Maintained
Archives New Zealand will monitor the use and impact of its standards to ensure they
are and continue to be fit-for-purpose. Credible metrics for assessing the impact of
standards will be developed.
Standards will be reviewed annually. Any changes made will be explained and
communicated to public sector organisations. Appropriate lead-in times for
compliance with changed mandatory requirements will be set.
7. Equitable
Archives New Zealand will ensure that mandatory standards do not disadvantage
individual organisations.
8. Auditable
Archives New Zealand will ensure that mandatory standards are auditable.
9. Cost-effective
Archives New Zealand will develop and maintain standards that optimise benefits for,
and costs to, public sector organisations. The benefits and costs of implementing
standards will be monitored on an ongoing basis.
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Archives New Zealand Standards Policy
Requirements in mandatory standards will be designed to align with normal, prudent
business practice.
10. No more standards than necessary
Archives New Zealand will manage the number of standards it issues to:
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maximise the impact of each standard
optimise the sustainability of its standards programme
improve the accessibility of principles and requirements
reduce the likelihood of inconsistencies in content and tone.
11. Designed for local conditions
Where necessary, Archives New Zealand will develop and maintain standards that
take account of the specific characteristics of the New Zealand records management
environment.
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Archives New Zealand Standards Policy