Disposal Authority Number:	DA 278/GDA 5
Agency Coverage:	All public offices
Expiry Date:	March 2017
Scope:	Digitised original source records
Authorised by:	The Chief Archivist, Archives New Zealand

> GENERAL DISPOSAL AUTHORITY: DIGITISED ORIGINAL SOURCE RECORDS

This General Disposal Authority: Digitised Original Source Records (hereafter GDA) is for the use of public offices wishing to dispose of records legally. This GDA is a companion piece to the Digitisation Standard S6. No GDA should be used except as part of a well managed disposal programme.

The General Disposal Authorities Implementation Guide outlines the processes for public offices to follow when implementing disposal recommendations, and gives advice on other recordkeeping issues such as access and transfer.

The disposal recommendations in the GDA are:

• Destroy = destruction to be carried out in a secure manner. It is not mandatory to destroy records at the end of the retention period; they may be kept for longer.
• Retain for appraisal = records should be evaluated by each agency for inclusion in their own, agency specific retention authority.

These general instructions apply to the entire authority:

• This authority covers all public records except where specifically excluded. The Public Records Act 2005 defines "public records" as "a record or created or received...by a public office in the conduct of its affairs."
• Records examples are only representative of records types, and are not an exhaustive list.
• The onus is on each agency to establish its legal obligations for record retention. This GDA does not provide identification of record retention requirements under statute or statutory regulation.
• If you think that a record marked for destruction ought to be preserved permanently, DO NOT DESTROY IT. Contact the Appraisal section of Archives New Zealand to discuss options for further appraisal.

NB Where there is concern over application of a disposal class take the more conservative option.

Possessing a valid disposal authority may not provide sufficient legal cover if records destruction can be proven to have been carried out fraudulently or with intention to pervert the course of justice.

Scope

This General Disposal Authority covers:

• Those records digitised as part of a 'business as usual' business process.

AND

• Where records digitised are no more than 5 years old.

AND

• Where those records are created and managed in accordance with the requirements of the Digitisation Standard S6.

This General Disposal Authority does NOT cover;

• Records predating 1946
• Original source records digitised prior to the adoption of the Digitisation Standard, which do not comply with its requirements
• Original source records digitised in specific digitisation projects, where the source records are maintained in existing paper systems.
• Items with significant intrinsic or cultural value, including items of high value to Māori. (This category only applies where value is significant enough to warrant the extra expenditure of resources. It includes items with value due to their rarity, uniqueness or scarcity, artistic or aesthetic qualities, or items where notions of national or cultural identity require the original object as the true and correct representation).

OR

• Any records where the system and processes outlined in the Digitisation Standard have not been fully complied with.

OR

• Any records covered by specific legislation requiring retention. The GDA cannot list or control all individual agency retention requirements; it is a general guide for disposal only. An agency should always ensure that these recommendations are consistent with their own legislation. Where it is not, an agency specific variation is required before disposing of any records.

NB This GDA may only be used where compliance is certified under Appendix 2 of the Digitisation Standard. Agencies using this Authority to destroy original records may be required to provide proof of their compliance.

> STATEMENT OF DISPOSAL CRITERIA

Under section 25(1) of the Electronic Transactions Act 2002, the Chief Archivist must approve the retention of public records in electronic form, before destruction of the original records.

The Electronic Transaction Act 2002 requires two criteria to be fulfilled prior to consideration of destruction:

• (a) The electronic form must provide a reliable means of assuring the maintenance of the integrity of the information; and
• The information must be readily accessible so people can use it for subsequent reference.

The Digitisation Standard S6 provides guidance on how to meet these criteria (meeting the mandatory requirements of the standard as set out in Appendices 1 & 2 are prerequisites to the implementation of this GDA):

> STATEMENT OF CRITERIA

Public offices must be able to assert, and prove:

• That the digitised record is an accurate and complete rendition of the original it replaces (including colour reproduction, where applicable)
• That appropriate quality assurance procedures and certifications for the digitising processes are defined, implemented and monitored routinely
• That the digitised record is individually identified and linked to the context of its creation and use.
• That an appropriate management system is in place to ensure the ongoing business use of the digitised record
• That the digitised record is relied upon in the normal conduct of business
• That the metadata about the digitised record is maintained in compliance with the standards issued by Archives New Zealand (pending)
• That the disposal program in place within the public office or local authority encompasses the business system/s incorporating digitised records
• That a migration and/or preservation strategy is defined, documented and implemented for electronic records, including digitised records
• That legislative or regulatory requirements to maintain the records in a specific form are not violated
• That no known or anticipated legal action will be imperilled by the destruction of the original
• That the risk of challenge to the authenticity and integrity of the digitised record is acceptable to the organisation.

NO.	RECORD CLASS DESCRIPTION	EXAMPLES OF RECORDS [Note: The examples are only representative of records types, and are not an exhaustive list]	AGENCY RETENTION PERIOD	DISPOSAL ACTION
1.0	ANY PAPER OR OTHER ORIGINAL SOURCE RECORDS (INCLUDING AUDIO,VIDEO, MICROFORM ETC)
1.1	Records under 5 years old digitised as part of a routine business process	Non-digital correspondance (e.g. applications, complaints, enquiries etc.) Security videos Receipts, invoices and records of payment Building consent applications Legal instruments (e.g.contracts)	Until administrative use has ceased	Destroy
1.2	Records over 5 years old All other records in any format		Until administrative use has ceased	Retain for appraisal
1.3	Records of intrinsic or cultural value This category only applies where value is significant enough to warrant the extra expenditure of resources. It includes: Items with value due to their Rarity Uniqueness or scarcity Artistic or aesthetic qualities Items where notions of national or cultural identity require the original object as the true and correct representation Items where the physical object contains the relevant metadata (e.g. watermarks proving authenticity) Items where monetary value resides in the original (e.g. stamps, original signatures)	Town charters Honour and appointment certificates Original artworks Documents iconic to a particular event (e.g. posters from protest actions)	Until administrative use has ceased	Retain for appraisal