This is an HTML version of an attachment to the Official Information request 'VUW: Evidence Of Ability to Comply with the Public Records Act and the OIA'.

5 December 2019 
Chris Johnston 
By email: [FYI request #11558 email]  
Dear Chris 
Official information request for information on the University's compliance 
with the OIA & Public Records Act 
I refer to your requests for information under the Official Information Act 1982 (the Act) 
dated 30 October 2019.  
Each of your requests, and the University’s response, is set out below. 
“…please provide records for: 
OIA   The business processes and training materials for servicing OIA Requests 
  Any Audits (internal or external) that relate to OIA compliance 
  The latest reporting (e.g. KPIs or Dashboard) that quantifies OIA 
  Ombudsman's decisions about OIA requests declined by VUW” 
Staff members responsible for managing the University’s OIA request processes sit within 
the University’s Legal Services team. The University’s usual process for OIA requests is 
attached along with screenshots of information from the University intranet. Staff 
servicing OIA requests also use the guidelines and other resources available on the 
Ombudsman’s website  
The University has not been subject to any internal or external audits related to OIA 
compliance. However, the University conducts an annual legislative compliance survey, 
and the most recent result relating to the OIA is as follows. 
Instance of non-
Corrective Action 
One complaint to the Office 
The Ombudsman’s 

Information Act 
of the Ombudsman 
investigation was 
regarding Official 
discontinued following a 
Information Act compliance  response to the Ombudsman 
was upheld by the 
(with apology and 
Ombudsman. One request 
acknowledgement of failure 
was not answered within 
to meet the timeframe). 
the 20-day timeframe. 
“Status” Key: • = Resolved 

A weekly report on OIA requests received is provided to the Senior Leadership Team. 
Attached is the most recent report. The names of those who have made OIA requests have 
been withheld under section 9(2)(a) of the Act. 
Details of all Ombudsman complaints against the University since July 2016 can be found 
on the Ombudsman’s website here:
“…please provide records for… 
Public Records Act 

  The business processes and training materials for complying with the 
Public Records Act 
  Any Audits (internal or external) that relate to Public Records Act 
  Any reporting or KPIs that detail what Retention and Disposal activities 
have occurred in the last period reported on.” 
The University’s Information and Records Management (IRM) team works with key 
stakeholders to ensure that information and records are managed in accordance with our 
legislative and business requirements. Please find the IRM Booklet, Guidance Documents 
and screenshots from the University’s intranet attached. The University’s Records 
Management Policy is on our website here:
policy.pdf. The disposal of records is authorised by The New Zealand Universities General 
Disposal Authority DA337 on the Archives NZ website here:  
The University was audited in relation to its record keeping practices by Archives New 
Zealand in 2011. Attached is a copy of the Audit Findings Report and accompanying 
This University does not report on or have any key performance indicators related to the 
disposal of records. 
Please also note the definition of “public record” in section 4(c)(ii) of the Public Records 
Act 2005 – “public record…does not include…records created by the academic staff or 
students of a tertiary education institution, unless the records have become part of the 
records of that institution.” 
“…please provide records for… 
Information Architecture 
  High level information architecture document for VUW that describes the 
main technologies, products and partners that are used - with the main 
focus on:  
  Record Search capability 
  Retention and Disposal capability” 
The University does not have a high level information architecture document that 
describes the main technologies, products, and partners used. Therefore, the information 
is refused under section 18(e) of the Act on the basis “that the document alleged to 
contain the information requested does not exist”

The University uses over four hundred systems that store information. These range from 
student management systems and research management systems through to data storage 
platforms. All University emails are stored in Office365. Unstructured 'business' data1 is 
mainly stored in EMC Isilon. However, more use is being made of Office365 SharePoint 
and Microsoft Teams. Unstructured research data2 is also mainly stored in EMC Isilon, 
with some SharePoint sites used for collaboration. 
The University uses Microsoft Office365 products for searches across Office365, this 
includes the likes of Outlook, SharePoint, Microsoft Teams etc. There is nothing in place 
to allow for searching across the unstructured data platforms apart from the standard 
inbuilt capability these systems have. All of our larger systems like those used by our 
Finance and Human Resources teams have inbuilt search capability.  
The University uses the tools within Office365 in conjunction with Information 
Architecture principles laid down by the Information and Records Management team. 
You have the right to seek an investigation and review by the Ombudsman of the 
University’s decision to withhold certain information. Information about how to make a 
complaint is available at or freephone 0800 802 602. 
If you wish to discuss this decision with us, please feel free to contact me at 
[VUW request email]. 
Yours sincerely 
Georgia Tawharu 
Adviser, Information Access and Copyright 
1 Data stored in the University’s networks. This includes word processing documents and 
2 Research data similar to unstructured business data.