The latest update to the records toolkit is two forms relating to the transfer of physical records to Archives New Zealand (Archives). In today’s blog we’ll describe how these two forms - the Transfer Agreement form and the Access Authority form– fit into the process of transferring physical records to Archives.
Transferring records is an obligation under the Public Records Act (PRA). Under section 21 of the PRA public offices are obligated to transfer public records that have been in existence for 25 years.
The Transfer Agreement form is the official record of the acceptance of a transfer and is submitted at the end of the transfer process described on the Transfer of Physical Records toolkit page.
It is important to contact Archives as soon as possible if you think that you have records for transfer. Archives will work with you to make the transfer progress as smoothly as possible.
By working through the transfer process both your public office and Archives will understand the transfer that is taking place. Archives needs to know the quantity and nature of the records being transferred. Appropriate repository space can then be set aside and staff arranged to manage the transfer. Going through the process also allows your office and Archives to identify any aspects of the transfer that require more work.
The transfer process involves working through preliminary details with your assigned transfer archivist. The transfer will be assigned an accession number, access authority number and transfer list reference which will enable you to begin to fill in the Transfer Agreement form. Once the transfer meets the requirements the Transfer Agreement form can be submitted.
In order to begin the process of transferring records to Archives there are two essential requirements that the prospective transfer must meet:
1. Only records with a valid disposal authority (DA) can be accepted for transfer.
A disposal authority is the Chief Archivist’s legal permission for you to dispose of public records. Any records you are intending to transfer must be covered by a valid DA.
2.Only records that are passed the minimum retention period under a valid disposal authority can be accepted for transfer.
The DA will apply retention periods to the records. You do not have to transfer records as soon as the retention period is passed. You can retain the records in your office if you need them as long as the records are less than 25 years old. If the records that you wish to retain in your office are over 25 years old, you should apply for a deferral of transfer.
Once your public office satisfies these two requirements please contact Archives at: rkadvice@dia.govt.nz in order to start the process with your assigned transfer archivist from Archives.
The second form we have added to the records toolkit is the Access Authority form.
This form sets out the access conditions for the records being transferred. Our guide to Making Decisions on the Access Status of Public Records describes the considerations that should go into deciding the restriction status of records. Archives can advise on how other public offices have managed records of a similar type, and provide examples of other Access Authorities.
Even if none of the records being transferred are to be restricted it is necessary to submit the Access Authority form with the first three sections filled out. Your transfer archivist will let you know when the completed form is needed.
At the end of the process between your public office and Archives the Transfer Agreement and Access Authority forms will be signed by the head of your public office and the Chief Archivist. The records will then be transferred to the appropriate Archives repository and come under the control of the Chief Archivist.
The Transfer Agreement form and the Access Authority form are not simply tools for Archives’ internal purposes. Together, they allow Archives to physically store and list newly transferred records efficiently and quickly. This enables researchers to identify the records and access them if appropriate and allows your public office to identify and access the files via the Government Loans service.
For further information on the transfer process please read through the Transfer of Physical Records page on the records toolkit.
If you would like to start the process of arranging a transfer or have any other questions or comments let us know in the comments or email us at: rkadvice@dia.govt.nz.
Useful Resources
• Transfer of Physical Records Process and Flow Chart
• Guide: Making decisions on the access status of public records
• Guide: Transport of your transfer to Archives New Zealand
• Forms: Transfer Agreement; Access Authority