3 DA710 Appraisal Report redacted.pdf

Appraisal Report
for
the New Zealand Defence
Force (NZDF)
Disposal Authority

Version 1.1
March 2022

RELEASED UNDER THE OFFICIAL INFORMATION ACT 1982

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Document Control
File/Document ID
For Archives New Zealand use
Agency
New Zealand Defence Force
Contact Name and Details  Agency contact – Glenn Kirker
s. 9(2)(a)

Date
March 2022
Version
1.1

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1  Introduction
1.1  Schedule overview
The New Zealand Defence Force (NZDF) is responsible for delivering defence capability and services
for New Zealand. The Disposal Schedule accompanying this report applies to information and
records pertaining to the functions of NZDF, whether current, non-current or yet to be created.
The disposal of NZDF information and records must be authorised by the Chief Archivist as per the
requirements of the Public Records Act 2005. This is typically documented through a disposal
schedule that identifies the different types of information and records created and received, and the
time period for keeping information and records prior to their destruction or transfer to Archives
New Zealand. This appraisal report provides context and justification for the disposal decisions
documented in the disposal schedule. Its purpose is to support the approval of the disposal schedule
by the Chief Archivist as required under the Public Records Act.
There is also a business requirement to ensure the accompanying disposal schedule can be
implemented easily and practically.
The schedule consists of eight classes of information and records:
1.  Command, Governance, Strategy and Planning
2.  Intelligence and Security
3.  Operations
4.  Logistics and Estate
5.  Information Technology and Information Management
6.  Learning, Training and Education
7.  Capability and Development
8.  Finance

A ninth class covering activities associated with managing personnel is also being developed and will
be submitted as an amendment to this Disposal Schedule at a later date.
In addition to this disposal schedule, NZDF will utilise relevant classes of the Archives New Zealand
General Disposal Authorities (GDAs) 6 and 7 for information and records covered by those
authorities. The GDAs provide disposal approval for information and records created for common
corporate functions that are relevant to all public sector agencies.
1.2  Context of the development of the disposal schedule
NZDF is undergoing a significant period of change in relation to its information and records
management practices.
The Knowledge and Information Management Directorate (KIMD), was established in 2015 to deliver
on a large portfolio of work encompassing initiatives such as (but not limited to):
•  Delivery of a Digital Workplace programme to modernise how NZDF creates, stores and
consumes information
•  Delivery of Enterprise Analytics capability
•  Development of a new business classification structure for its information

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•  Completion of an information asset identification exercise
Development of this disposal schedule is timely as it supports and informs the wider portfolio of
work that is improving the management of information and records across NZDF. To date NZDF has
used separate disposal schedules for each of the three services; Air, Navy and Army. This new
schedule combines the functions of each service and addresses gaps in existing disposal coverage.
It is planned that following the approval of this disposal schedule, an education and training project
will be undertaken across NZDF to support the implementation of disposal actions on non-current
records. Disposal activity will also be integrated into recordkeeping and line of business systems.
This means for existing systems, NZDF plans to undertake appropriate disposal activities on the
information in those systems. This will be implemented through system functionality where possible,
and if not, then likely at point of migration to any new system. It also means that information
disposal requirements will be considered during new system design and implementation. NZDF
policy is that no information or records will be transferred to Archives New Zealand if they are still
classified. A declassification process will take place on any classified material prior to transfer.
1.3  Scope of the disposal schedule
This disposal schedule applies to all information and records in any format pertaining to the
functions of NZDF whether current, non-current or yet to be created. This includes:
•  Information and records created/used/managed by any business unit in NZDF (whether New
Zealand based or overseas)1
•  Hard copy records (both current and non-current)
•  Electronic records (both current and non-current)
•  Information and records held in line of business systems and databases
•  Information and records that are either unclassified or classified at SECRET level and below
The disposal schedule excludes:
•  Information and records classified at TOP SECRET level
•  Information and records created/managed/used by Veterans' Affairs as they have recently
developed their own disposal schedule
•  Information and records received by NZDF from other countries as part of Operations or
Intelligence activities.
•  Information collected by NZDF on behalf of other New Zealand government agencies that is
then passed on directly to those agencies. Such information is covered by the disposal
authorities of the agency that the information is being collected for. For example,
hydrographic data collected by NZDF for the National Institute of Water and Atmospheric
Research (NIWA)
•  Ministry of Defence (MoD) information and records that are stored on NZDF systems. While
MoD has a close working relationship with NZDF, which includes sharing a document

1 Military Personnel information will be covered in an amendment to this schedule. See section 3.6 of this
report for more detail

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management system and ICT requirements, the disposal of Ministry records is covered by
their own agency specific disposal schedule
2  Agency information - about the New Zealand
Defence Force
2.1  Functions of NZDF
The Defence Act (1990) established NZDF and the primary responsibilities for the provision of
defence for New Zealand and security for New Zealanders. The Act reaffirms the historical
prerogative of the Crown to raise and maintain armed forces.
The principal role of the Defence Force is to defend the nation’s sovereign territory and those areas
for which New Zealand is responsible, providing security for New Zealanders, including against
terrorism and related threats. Its functions are to:
•  Defend New Zealand’s sovereign territory
•  Contribute to national resilience and whole of government security objectives
•  Meet New Zealand's commitment as an ally of Australia
•  Support New Zealand's civilian presence in the Ross Dependency of Antarctica, and
participate in whole of government efforts to monitor and respond to activity in the
Southern Ocean
•  Contribute to and, where necessary, lead operations in the South Pacific
•  Make a credible contribution in support of peace and security in the Asia-Pacific region
•  Protect New Zealand’s wider interests by contributing to international peace and security,
and the international rule of law
•  Contribute to the advancement of New Zealand's security partnerships
•  Participate in all-of-government efforts to monitor the strategic environment
•  Be prepared to respond to sudden shifts in the strategic environment
2.2  Organisation structure2
Section 5 of the Defence Act 1990 constitutes that the Governor-General may raise the armed forces
in the name and on behalf of the Sovereign of New Zealand. The Governor-General, under the
Letters Patent 1983, serves as the Commander-in-Chief of the Realm of New Zealand.
Under the Defence Act 1990, the Secretary of Defence is the lead civilian advisor on defence matters
and the Chief of Defence Force is the lead military advisor and senior military officer. The Minister of
Defence exercises control of NZDF through the Chief of Defence Force (CDF).
The Secretary of Defence and the Chief of Defence Force are jointly accountable for the
management of defence capability. This joint accountability is exercised through the Capability

2 Detail in the following section has been taken from the NZDF website as at September 2019

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Governance Board (formerly the Capability Management Board), which includes two external
advisors. The Secretary of Defence has primary accountability for policy development, capability
definition and acquisition. The Chief of Defence Force has primary accountability for introduction
into service of capability, operating that capability in service, and disposing of it at end of life. In
many instances the Ministry of Defence and New Zealand Defence Force collaborate on key pieces of
work including on Defence capabilities and international Defence relations. While the Secretary of
Defence and Chief of Defence Force have separate formal accountabilities for phases of the
capability life cycle, they are carried out in a seamless and dynamic process.
The command structure of NZDF is a single chain emanating from the Crown, through the CDF to
individual units and Single Service (Navy, Army and Air Force) personnel. The CDF is the professional
head of the Armed Forces as a whole and the Government’s principal military adviser. This includes
the direction of Military Operations and, through the Chiefs of Service (Navy, Army and Air Force),
the responsibility for ensuring the fighting effectiveness, efficiency and morale of NZDF.
In addition to the strategic command role, CDF is the Chief Executive of the Defence Force and solely
accountable to the Government and people of New Zealand for the effective and efficient
management of the NZDF.
The Navy, Army and the Air Force are the primary components of the NZDF and individually are
known as the Single Services. The Single Service Chiefs have primary responsibility for the
management of activities that ensure their own Force Elements are trained, equipped and prepared
for operational employment, including the engagement of joint enablers for some functions.
The personnel component of these capabilities comprises full-time and part-time uniformed
personnel including the specialists needed to support deployed operations and others that are
available to individually augment operational forces.
The Commander Joint Forces delivers integrated joint force capabilities through additional training
activities and pre-deployment validation and assessment. These activities prepare soldiers, sailors,
and airmen/airwomen, leaders and units to operate and succeed in an uncertain operational
environment where the stability can deteriorate without warning. While there is some commonality
in the way each Service generates operational capability, each is optimised to meet specific
environmental imperatives.
Navy capability generation is driven largely by the need to maintain and deliver ships and their
complement at readiness. The fleet training programme differs from the activities of the other
Services in that maritime deployments cover a range of concurrent tasks including maritime
exercises, defence diplomacy, potential operations and some training.
The Army operates an annual training plan with units and formations moving through progressive
stages of preparation and contingency before being ready for deployment.
Air Force processes are driven by the need to train and maintain aircrews at the directed state of
readiness and provide air capabilities to concurrently sustain domestic outputs and deployed
operations.

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Reserve Forces contribute to follow-on forces and can augment smaller operational missions. They
also provide additional capacity when regular forces are deployed on operations. In particular, the
Reserve Force provides specialists in a wide range of roles where it is not practical or cost-effective
to maintain the capability in the regular force on a continual basis.
The Headquarters Joint Forces New Zealand plans and executes joint or potentially joint operations
in support of the Government’s direction to the Defence Force. For domestic crises, this
headquarters is responsible for the Defence Force contributions to the civil power.
The below diagram illustrates the top two tiers of NZDF’s organisational structure as a 2019.
HQNZDF Chief of Staff
Warrant Officer of the
Defence Force
Vice Chief of Defence
Force
Chief Defence Strategy
and Governance
rce
Chief People Officer
Fo
ce
fen
e
Chief Financial Officer
f D
f o
ie
Chief of Joint Defence
Ch
Services
Chief of Navy
Chief of Army
Chief of Air Force
Commander Joint Forces

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2.3  NZDF Information Management Environment
Information and records management for NZDF is coordinated by the KIMD. KIMD is part of
Communications and Information Systems (CIS) Branch within Joint Defence Services (JDS) and leads
the delivery of information management strategy across NZDF, working in partnership with all parts
of NZDF to ensure continual evolution of information management maturity and compliance.

KIMD uses a hub and spoke (federated) model to support Knowledge and Information Management
(KIM) Subject Matter Expert(s) (SME) across NZDF. KIMD acts as the central hub to provide support
and expertise, while most of the information management work across NZDF will remain the
responsibility of existing teams.
As the hub KIMD:
•  Provides KIM specialists
•  Sets the standards
•  Defines the processes
•  Manages KIM tools
•  Provides best practice KIM leadership
As the spokes business units:
•  Provide functional SMEs with KIM skills
•  Follow the standards set by KIMD
•  Follow the processes set by KIMD

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•  Use KIM tools for management of their information and records
•  Demonstrate best practice KIM
KIMD works closely with the information and communications technology staff in CIS Branch to
ensure NZDF’s information systems are fit for purpose and support NZDF staff to manage
information effectively throughout its lifecycle.
Examples of ‘spokes’ that have specific recordkeeping responsibilities are the Records Registries
across the three forces (that make up NZDF and Joint Forces), Personnel Archives and Medals (PAM).

Records
PAM
Registries
KIMD
(and CIS
Branch)
The Records Registries provide recordkeeping services, primarily with physical records, for each of
the three services plus Joint Forces. There are multiple Registries across NZDF and located in most
NZDF camps and bases throughout New Zealand. However, they do have a responsibility to KIMD to
ensure that they are following NZDF policy and practice in relation to information and records
management.
Personnel Archives and Medals (PAM) business unit is located at Trentham Camp, Upper Hutt and is
part of the People Capability Portfolio that reports directly to the CDF. PAM currently has two broad
business functions:
1.  To store all physical personnel files, both civilian and military, and provide information from
these records to individuals, their families and other interested parties in accordance with
New Zealand Government legislation; and
2.  To research and establish entitlement to medals of serving and ex-serving military
personnel, and to issue campaign and service medals awarded on behalf of New Zealand to
entitled recipients.
The role of PAM has evolved from a business unit that created and managed current Army personnel
records in 1915 to that of managing non-current physical military personnel files of Single Services
today. The incorporation of Navy and Airforce records occurred from 1989 as part of the
establishment of the NZDF Headquarters.
2.3.1  Current paper records
Formal paper files are still being created across NZDF. Transition to electronic only recordkeeping
has begun but will take several years to become embedded practice. In the meantime, the Registries
support NZDF teams and units through the creation, management, storage and advice relating to
paper-based filing systems.

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2.3.2  Non-current paper records
NZDF non-current physical records are kept onsite at camps and bases. Very few are kept offsite at
commercial storage providers. It is expected therefore that NZDF is holding large quantities of non-
current paper-based records that could be disposed of once this disposal schedule is approved.
2.3.3  Current electronic documents
NZDF has rolled out an enterprise wide electronic Defence Document Management System (DDMS).
It will ultimately replace shared drives and become the primary document-based repository for
NZDF electronic records. It is planned that disposal processes will be able to be implemented within
DDMS.
2.3.4  Business information systems and data stores
NZDF has a wide range of line of business systems, many bespoke, to support specific processes.
Examples of the range of repositories in use are:
Database Name  Short Description
AMS
Accommodation Management System. Booking and placement system for
staff staying in Barracks on Camps and Bases.
EARLLS
Electronic Activities Reporting and Lessons Learnt System. Lessons Learnt
system for Operations and Exercises.
ESM
Executive Strategy Manager. Portfolio Project Management Reporting tool.
FEMS
Force Element Management System. Supports Operational reporting and
management requirements across the RNZAF including Flying Hours
recording, Personnel details, Flight Authorisations, General Declarations and
Aircrew Currencies.
SID
Security Incident Database.
SRS
Safety Reporting System. Reporting system for Health and Safety.
VICRS
Vehicle Incident Crash Reporting System.
MID
Moving Images Database.
DDMS
Defence Document Management System.
Sitaware
A Battle Management System that tracks tactical information around land
forces while on operations
LIGHTHOUSE
The application that holds the Master Activity Schedule for NZDF exercises
and operations.

In addition, NZDF has multiple customer facing websites, with backend databases that support
publication to them.

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Specific repositories of information and records (such as the example databases/tools listed above)
are not named in the disposal schedule as, in principle, the schedule applies regardless of what
format or in which repository the information resides.
3 Points of note
The sections below outline points of note that pertain to the development of the disposal schedule
for NZDF.
3.1  Importance of NZDF and its records
The primary purpose of NZDF is national defence. The success, and degree to which NZDF
undertakes this role, can directly impact how New Zealand may view itself and its place in the world.
In the past, the military had the primary role of defence from invasion but also may have been used
in offensive warfare (e.g. New Zealand participation in World War I and II). However, NZDF now has
a much broader role in society than ever before, internally and internationally during both peace
and times of conflict.
With these broader roles now being undertaken by NZDF it touches on almost all aspects of society
to some extent as it is deployed in different ways. For example, through:
•  Operations to keep peace, participate in conflict zones and cooperate with allies
•  Civil defence including responding to national and international emergencies and natural
disasters
•  Responding to internal security incidents
•  Aiding law enforcement, e.g. border control, drug control, crime investigation, cyber
operations, intelligence gathering
•  Civil protection tasks, e.g. protecting critical infrastructure, important personnel, or
largescale public events
•  Non-security focussed tasks such as search and rescue, training and monitoring, equipment
or asset and facility provision, scientific research, environmental protection
The information and records created by military activities while deployed, and those that document
the readiness required by NZDF in order to be able to deploy at short notice, provide a strong body
of knowledge that is relevant across society and across time. The information and records reflect
government and military decisions, actions and outcomes and as such provide a highly valuable
resource for future understanding and research about decision-making, action taken and
involvement in national and international affairs. This in turn shapes New Zealand and its defence
forces.
Military records have traditionally had very high retention rates due to the importance of the
military in society. In developing this disposal schedule, attention has been paid to this fundamental
role that NZDF and the armed forces play in society.

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3.2  Role of the military museums
Each Single Service that makes up NZDF operates its own service specific Museum. The National
Army Museum is based in Waiouru with the area of responsibility the Waiouru Army Base, the Navy
Museum is operated from Devonport Naval Base and the Airforce Museum is run from Wigram in
Christchurch. The Museums are run by Museum Trust Boards and are operated as charitable trusts.
New Zealand’s military museums hold important collections of film, photographs and archives
relating to the various arms of each service.
Any public records offered to the museums for their collections must be formally discharged under
section 25 of the Public Records Act and Archives New Zealand’s discharge process. To facilitate that
process the following criteria have been established to govern which information and records
marked as Destroy/Discharge in the schedule will be offered to the Museums to add to their
collections.
•  Routine records of commemorations and ceremonies hosted or led by Single Services,
including Single Service-specific awards and competitions
•  Routine records of Heritage, culture and historical matters related to the Single Services
•  Routine records related to Single Service publications
•  Routine records related to Single Service Operations
•  Routine records related to Single Service Military Training
•  Routine records related to Single Service Maintenance and Engineering, Movements,
Transport and Supply
•  Routine records related to Facilities, Estate and Infrastructure associated with single service
activities
There are several classes in the disposal schedule, listed below, where it is expected that information
and records recommended for destruction will meet the criteria outlined above and therefore be
offered to the museums using the Public Records Act discharge mechanism instead of being
destroyed.
All records eligible for discharge to the museums will only be discharged with the relevant NZDF
Business Owner’s approval. If that approval is given and the museum wishes to accept the record
then it will be able to add it to their collection and the record will no longer be considered to be a
public record, meaning NZDF will have no further control over what the museum may choose to do
with that record. Affected classes are:
Sub-class
Title
1.1
Support activities associated with the enablement of NZDF Command, Governance,
Strategy and Planning
3.1
Support activities associated with the enablement of Operations
3.11
Deployment, redeployment and conduct activities during Standard or Routine
Operations

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Sub-class
Title
4.8
Maintenance and engineering activities associated with NZDF-owned military-
specific vehicles, vessels, aircraft and equipment or asset
4.9
Logistics Movements, Transport and Supply
4.10
Facilities, Estate, and Infrastructure maintenance and management
6.1
Support activities associated with the enablement of Military Learning, Training and
Education

Additionally, the following criteria have been established to determine information and records that
will not be offered to the Museums:
•  Policy or policy review records
•  Governance and Strategy records
•  Legal records
•  Contracts
•  Intelligence and Security records
•  Research and development records
•  NZDF project records
•  Information Technology records
•  Operations records where the Operation was led by Joint Forces
3.3  Standard pattern for every class
To support consistency of implementation and interpretation, a standard set of four sub-classes has
been established for each class in this schedule. They are:
•  Support activities
•  Raw data
•  Governance and strategy activities
•  Reporting and performance activities
Support activities are those activities that are delivered to support a function. The information and
records may be at a detailed level, or about lower level processes within a class, or they may be the
workings and drafts of more important documents that are recommended for retention as archives
in other sub-classes. The purpose of this sub-class is to have a standard place covering administrative
aspects of any function. The examples of information and records of relevance have been tailored to
each class. All information and records considered to be support records are recommended for
destruction as they are of a transitory value and low-level in nature.
The raw data sub-class in each class provides a place for all kinds of data that may be generated in
fulfilling the function covered by the class it is in. When developing the disposal schedule, it became
apparent that NZDF creates and holds vast amounts of data, yet as an organisation the protocols and

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practices around data management are still maturing. To ensure that NZDF staff are aware of the
need for disposal of data to be governed by the disposal schedule it was decided that putting it into
its own sub-class would support more robust data disposal practices. The examples of possible
datasets have been tailored to each class. All raw data sub-classes have a Destroy action once the
data is administratively no longer required. Any data that is considered to be analysed / anonymised
/ processed is covered by the other non ’raw data’ sub-classes as just one of the formats each sub-
class may cover.
Governance and strategy and planning activities are those activities that provide governance,
planning and decision making at a strategic level for any function. Typically, this would include
strategic level decision-making, organisation-wide planning and strategic thinking, and oversight and
governance at a senior level through formal governance bodies or processes. All sub-classes relating
to governance, strategy and planning activities have a Retain as Archive disposal action. These are
high-level information and records documenting a function so have archival value because they
provide accountability, transparency and knowledge about governance, strategy and planning
activities.
Reporting and performance activities are the activities that focus on monitoring and comparing
progress/success against what was planned and what happened. At a strategic level this covers
reporting and planning (including risk management) of either organisation-wide initiatives and
frameworks or reporting requirements or strategic programmes of work. All sub-classes relating to
reporting and performance activities have a Retain as Archive disposal action as they are the high-
level information and records documenting a function so have archival value because they provide
accountability, transparency and knowledge about reporting and performance monitoring activities.
3.4  Use of terms ‘significant’ and ‘standard’
To differentiate between information and records of archival value and those that are more routine
the terms significant and standard are used throughout the schedule. Anything described as
significant will have an archival value, whereas those described as standard have only short-medium
term business value.
Example criteria used to establish whether information documented may be considered significant
are:
•  It documents a high-level and strategic view of a core function of NZDF
•  It documents the process of decision-making and approvals which involve substantial
change/innovation, elevated risk, and/or large capital expenditure
•  It documents advice to Ministers and Ministerial decisions
•  It documents at a strategic level the liaison and/or agreements with partners and
international forces, or other government agencies
•  It documents a strategic level of planning and reporting
•  It documents an organisation-wide view of the management and maintenance of New
Zealand’s military forces their personnel, processes and protocols
•  It documents NZDF participation and contribution to events of national significance
(whether ceremonial, military or emergency response)

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•  It documents activities that are covered by the Archives New Zealand Appraisal Statement
September 2018 as having archival value
Example criteria used to establish whether information may be considered routine are:
•  It documents activities which are of a routine and regular nature that are just part of NZDF
“business as usual”
•  It documents at a detailed level, activities  that may be unique to NZDF, but that are more
appropriately captured in other records (e.g. summary records)
•  It documents administrative activities
The exception to this “rule” is class 7 where the word consequential is used to describe the projects
that have archival value, rather than significant. Within NZDF use of the word significant in relation
to capability projects was previously used to denote Defence-led projects which are actually covered
by the Ministry of Defence disposal schedule for the relevant life cycle phases. To avoid the potential
for confusion in Class 7, the word significant has therefore not been used.
3.5  Use of General Disposal Authorities (GDA)
NZDF intends, for the most part, to use the general disposal authorities for information and records
covered by those authorities. However, several classes in GDA6 do not provide appropriate disposal
coverage to the degree in which they are needed for NZDF, or do not express the activites covered
by the GDA classes in a way that makes sense within the NZDF environment. The table below
outlines how GDA6 will be utilised.
Class
Use of GDA6
Class 1 - Command, Governance,
GDA6 Classes 1, 2 ,3 6, 7 apply and will be utilised to
Strategy and Planning
provide disposal decisions for common corporate records
pertaining to command, governance, strategy and planning
activities of relevance. Anything related to Command,
Governance, Strategy and Planning not adequately covered
by GDA6 will have its own sub-class in the NZDF specific
disposal schedule.
Class 2 - Intelligence and Security
GDA6 does contain some sub-classes covering physical
security however, given the nature of NZDF activities, those
clauses were not considered to be adequate to cover NZDF
information and records of security activities. Anything
related to Intelligence and Security not adequately covered
by GDA6 will have its own sub-class in the NZDF specific
disposal schedule.
Class 3 – Operations
GDA6 does not apply as this function is not common across
the public sector. All activities under Operations therefore
have their own sub-class in the NZDF specific disposal
schedule.

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Class
Use of GDA6
Class 4 - Logistics and Estate
GDA6 Class 5 applies and will be utilised to provide disposal
decisions for common corporate records pertaining to
logistics and estate activities. Anything related to Logistics
and Estate not adequately covered by GDA6 will have its
own sub-class in the NZDF specific disposal schedule.
Class 5 - Information Technology
GDA6 Class 8 applies and will be utilised to provide disposal
and Information Management
decisions for common corporate records pertaining to
information technology and information management.
Anything related to Information Technology and
Information Management that NZDF does not consider to
be either adequately covered by GDA6 will have its own
sub-class in the NZDF specific disposal schedule. In addition,
where GDA6 wording does not sufficiently match the
terminology and processes used to manage IT and IM within
NZDF, then NZDF specific classes have been included in this
schedule to assist with implementation.
Class 6 - Learning, Training and
GDA6 Class 3 applies and will be utilised to provide disposal
Education
decisions for common corporate records pertaining to
learning, training and education. Specifically, GDA6 will be
used to provide disposal decisions for civilian training
activities. Anything related to Learning, Training and
Education not adequately covered by GDA6 will have its
own sub-class in the NZDF specific disposal schedule.
Class 7 - Capability and
GDA6 does not apply as this function is not common across
Development
the public sector. All activities under Capability and
Development therefore have their own sub-class in the
NZDF specific disposal schedule.
Class 8 – Finance
GDA6 Class 4 applies and will be utilised to provide disposal
decisions for common corporate records pertaining to
finance activities. Anything related to Finance not
adequately covered by GDA6 will have its own sub-class in
the NZDF specific disposal schedule.

GDA7 will be used across all classes of NZDF information and records as appropriate.

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3.6  Personnel class to be added as an amendment
The function of managing personnel is an extremely complex function within NZDF. NZDF is New
Zealand’s largest government employer and has a mix of both military and civilian roles.
In developing the disposal schedule, it became apparent that the systems and processes in place for
managing personnel information were highly complex and spanned multiple decades, formats,
locations and processes to a greater extent than any other NZDF function.
Development of the disposal schedule is a pre-requisite for several other projects being
implemented across NZDF such as decommissioning various line of business databases, re-framing
how the Registry activities operate, redeveloping directives and policy, and closing legacy
environments. It is therefore not desirable to hold up the rest of the development process until
appropriate effort can be placed covering the personnel function.
KIMD, with the support of Archives New Zealand Disposal and Acquisition staff, determined that the
project was not able to include the personnel function in the schedule at this time. A separate
exercise will be carried out to complete the analysis and appraisal required to determine
appropriate disposal actions for personnel related information and records. It is planned that once
complete, an amendment to the disposal schedule will be submitted as Class Nine, to Archives New
Zealand, so it can be considered as part of the same disposal authority.
3.7  Implementation considerations
NZDF is a large and complex organisation with many different systems, tools and physical locations
where information and records are created and managed. The disposal schedule will therefore be
implemented in a very distributed manner.
A full education and support process will be put in place for those implementing the schedule.
However, as part of the development of the schedule, the planned distributed implementation
model led to several decisions about wording and terminology to support its implementation. These
were:
•  Use of the term ‘retain as archive’ rather than ‘retain as public archive’. This is to ensure that
NZDF staff implementing the schedule are not confused by the use of the word public to
mean that the information once it becomes an archive will automatically be open to
members of the the public. The list of restrictions is available in section 6 of this report, and
by each relevant sub-class in the schedule.
•  The term “administratively no longer required” is used in a number of sub-classes instead of
a specific retention time period. This statement has been used for sub-classes where it was
not possible to determine single minimum retention period that is appropriate across NZDF.
For example the raw data sub-class which features in every class. The appropriate time
period for retneiton of raw data is particular to the context in which that data was collected,
its purpose and use. For some parts of NZDF that raw data may only be relevant for 12
months for other parts of the organisation it will have a longer business value. By using the
term ‘until administratively no longer required’ those that create and use that data will have
the ability to establish a consistent business rule for raw data which is relevant to the
activity it relates to. It is expected that as part of implementation, any business group

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applying the schedule on a sub-class that has such a minimum retention statement will
establish their own business rules for what that time period should be. These would then be
documented in their business unit specific implementation guidance which will mitigate the
risk over-retention and premature disposal. Raw data that may be required for evidential
and compliance purposes are covered by other classes pertaining to formal investigations
and inquiries.
4 Methodology
4.1  Development Activities
The following activities were undertaken to develop this disposal schedule:
Examination of relevant background information and
information gathering
Development of a draft disposal schedule
Consultation with NZDF staff
Consultation with relevant external stakeholders
Submission to Archives New Zealand
4.2  Internal consultation
Following the completion of background research and information gathering from many staff across
the NZDF functions, a draft disposal schedule for NZDF was developed.
The draft schedule was submitted to the Digital Workplace Senior Advisory Group for their review.
This group is the appropriate internal governance group for this project as they are responsible for
providing NZDF wide subject matter expertise and direction to information related projects within
NZDF. Members of the group then nominated representative staff from across NZDF to review the
disposal schedule to ensure that:
•  It will provide complete coverage across NZDF functions and activities
•  It will be fit for purpose
•  The retention periods and disposal actions are supported by the business
Appendix One lists all NZDF staff who were consulted during the development of the disposal
schedule.

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4.3   External consultation
Several organisations were identified as key external stakeholders for the NZDF disposal schedule
because they may have an interest in the disposal of NZDF information and records.
Feedback from the external consultation was considered and included within the schedule as
appropriate. Appendix Two contains the list of external stakeholders provided with the opportunity
to provide feedback on the draft disposal schedule.
Feedback during the external consultation was received from:
•  CASS/The Treasury
•  Centre for Defence and Security Studies, Massey University
•  Department of Prime Minister and Cabinet (DPMC)
•  Ministry of Civil Defence and Emergency Management
•  Ministry of Foreign Affairs and Trade (MFAT)
•  Ministry of Primary Industries (MPI)
•  National Institute of Water and Atmospheric Research (NIWA)
•  New Zealand Professional Historians Association
•  NZ Police
•  Office of the Auditor General
•  Office of the Ombudsman
•  Records and Information Management Specialists Australasia (RIMPA)
•  Veterans’ Affairs
There were no major changes required to either the schedule or report as a result of the feedback
received. Some minor wording and editing changes were made in response to the feedback.
4.4  Preceding disposal authorities of relevance
The table below shows current disposal authorities relating to NZDF information and records
(Archives New Zealand agency code ABFK – NZDF Headquarters). There are many previous disposal
decisions across multiple ongoing and ad-hoc disposal authorities covering NZDF information and
records. While they inform the disposal recommendations made in this disposal schedule, the
appraisal carried out to develop it is based on appraisal criteria as released by Archives New Zealand.
DA number  Expiry date  Description
DA196
31/12/2020
This retention and disposal schedule covers Royal New Zealand Navy
classified and unclassified records in the Standard Defence Filing
System (SDFS).
DA357
31/12/2020
This Disposal Authority covers classified and unclassified Royal New
Zealand Air Force (hereafter RNZAF) records in the SDFS.
DA470
23/09/2026
This disposal authority for the New Zealand Army covers hardcopy
classified and unclassified records in the SDFS.

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DA number  Expiry date  Description
DA540
25/06/2022
This appraisal report covers classified and unclassified records created
during flights carried out by the RNZAF.
DA654
28/02/2027
This disposal authority covers all records controlled by Veterans’
Affairs New Zealand (an operational unit of the New Zealand Defence
Force) in all formats.

Disposal decisions from the preceding disposal authorities have been continued within this new
disposal schedule where relevant. Development of this new disposal authority has allowed for
assessment of archival value and a more considered and justifiable set of disposal actions to be
recommended.
Approval of this disposal schedule will require DA196, DA357, DA540 and DA470 to be revoked as
the disposal decisions in this schedule will replace those existing disposal decisions.
4.5  Appraisal criteria
The following appraisal criteria have been used in assessing the value of the records covered by this
disposal schedule. These criteria (which were current at the time of writing this appraisal report)
have been taken from the Archives New Zealand Appraisal Statement September 2018 that were
developed to provide the rationale for long-term retention of public records as archives.
Criteria 1. Business value
Information and records that are fundamental to the ability of a
public office or local Authority to carry out its business and enable
continuity of services to the New Zealand public.
Information and records identified will be considered essential for the particular business
processes or services of an agency or public office, or for fulfilment of other requirements
whether legislative, regulatory or commercial. This information and records will need to be
retained for a period of time as opposed to those of a transitory nature.
Criteria 2. Accountability
Information and records that are fundamental to providing
citizens with trust in government; providing evidence of the well-
being of the community and the impact of government activities
on them, in compliance with relevant legislation and regulations.
Information and records identified will be considered essential for the protection and well-being
of current and future generations and enhance public confidence in the actions of public offices
and local authorities. This includes information and records documenting the impact of
government activities on the community or individuals, and the intervention of the government in
people’s lives.

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Criteria 3. Rights and
Information and records providing evidence of the legal status
entitlements
and fundamental rights and entitlements of individuals and
groups.
Information and records that are essential for the establishment and protection of fundamental
rights and entitlements of individuals, legal or natural, and groups within the community and
nation, and the ongoing administration of the government of New Zealand. This includes
information and records documenting the existence of individuals or groups, their rights to
participate in the affairs of the nation and make claim to entitlements, and protection provided by
the government.
Criteria 4. Legitimacy of
Information and records that identify and document the source of
Authority
Authority and foundation of the machinery of government of New
Zealand and its public sector bodies.
Information and records that document the establishment and allocation of functions to
government agencies and local authorities. They will define the nature and extent of their
jurisdiction, obligations and powers. They will originate from legislation and central agencies of
the public service.
Criteria 5. Treaty of
Information and records that provide evidence of recognition and
Waitangi/Te Tiriti o
respect for, fulfilment of or aspirations to the Treaty of Waitangi/
Waitangi
Te Tiriti o Waitangi principles and the Crown’s obligations, or in
the absence of this, evidence of failure to fulfil obligations and/or
principles.
Information and records provide evidence of government decisions that have been documented
in relationship to consultation, negotiations, debates and discussions including those that
document failure to fulfil obligations. They will also provide evidence of post Treaty settlement
relationships and partnerships with Iwi Māori. They will be taonga available for all New
Zealanders, iwi and the Crown.
Criteria 6. Knowledge
Information and records that will substantially contribute to
knowledge and understanding of New Zealand, its history,
geography, society, culture and achievements and New
Zealanders’ sense of their national identity.
All information and records carry knowledge through time. Ongoing retention is only justified for
information and records identified as having the capacity and potential to substantially contribute
to the body of knowledge or understanding that will materially improve the life of New Zealanders
now and in the future.

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4.6  Format of the schedule
The retention and disposal schedule spreadsheet (Appendix Three) has the following primary fields:
Field name
Description
Class No.
The reference number of the disposal class
Class/sub-class title
The broad class of records and sub-classes.
Description and examples
A description of the record type and examples of the
information and records covered (or excluded)
Trigger (point when minimum
When the record becomes non-current and thus can have
retention period starts)
retention periods and disposal actions applied
Minimum retention
The minimum period of time for which the record must be kept
before final disposal
Disposal action
The final disposal action on the record:
D – Destroy
A – Transfer to Archives NZ
DIS – Discharge. Discharge in relation to information and records
covered by this disposal schedule means that NZDF may choose
to offer records from classes marked with this action to the
Army, Navy or Airforce museums instead of destroying them
providing discharge authority has been given by Archives New
Zealand.

5 Description and evaluation of classes
The sections below outline each class and provide details of records covered by that class, an
evaluation and recommended disposal action. The schedule consists of eight classes of records,
namely:
Class 1   Command, Governance, Strategy and Planning
Class 2 Intelligence and Security
Class 3 Operations
Class 4 Logistics and Estate
Class 5 Information Technology and Information Management
Class 6 Learning, Training and Education
Class 7 Capability and Development
Class 8   Finance

A ninth class covering activities associated with managing personnel is also being developed and will
be submitted as an amendment to this disposal schedule at a later date.

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5.1  Class no. 1 – Command, Governance, Strategy and Planning
5.1.1  Description
Command, Governance, Strategy and Planning is the function of developing, authorising and
directing the strategic management, governance and accountability of NZDF. This function includes
authorising missions and tasks, developing organisational goals, objectives, and strategic plans and
high-level reporting internally and externally via key output documents.
The Command, Governance, Strategy and Planning class consists of the following sub-classes of
information and records:
•  Support activities associated with the enablement of NZDF Command, Governance, Strategy
and Planning
•  Raw data collected to support enablement of NZDF Command, Governance, Strategy and
Planning
•  Significant organisation-wide NZDF Command, Governance, Strategy and Planning
•  Standard organisation-wide NZDF Command, Governance, Strategy and Planning
•  Implementation of Command, Governance, Strategy and Planning outputs
•  Organisational performance reporting
•  Significant Legal Advice and Counsel associated with Operations
•  Standard Legal Advice and Counsel associated with Operations
•  Significant Legal Advice and Counsel associated with all NZDF activities (excluding
Operations)
•  Standard Legal Advice and Counsel associated with all NZDF activities (excluding Operations)
•  Serious or significant Military good order and/or discipline
•  Standard Military good order and/or discipline
•  Administrative support to external inquiries and reviews
•  Audit and Assurance monitoring and reporting
•  Military Ceremonies, Commemorations, and Protocols planning and management
•  Military Heritage and Culture planning and management
•  Relationship management reporting and coordination
Sub-class 1.1 Support activities associated with the enablement of NZDF Command, Governance,
Strategy and Planning are those associated with supporting and administering the NZDF Command,
Governance, Strategy and Planning function.
Examples of information and records may include (but are not limited to):
•  Records for meeting groups/committees/boards which have no influence on the overall
Command, Governance, Strategy and Planning activities (e.g. information preparation and
planning, consultation, and similar)
•  Routine forms and templates
•  Facilitative administrative records such as correspondence, standard information for staff,
travel itineraries, bookings and arrangements, greetings, letters of thanks and
congratulations, informal advice, inductions, calendars, announcements, office
management, and similar

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•  Information that facilitates visits and administration at overseas posts, including visit
programmes and plans
•  Informal liaison and correspondence between single services, overseas agencies,
government (central and local) and the wider NZ public
•  Routine records of commemorations hosted or led by NZDF, and all records of
commemorations not hosted or led by NZDF
•  Routine records associated with NZDF Heritage, Protocol and Culture (e.g. unit level
protocols or culture, and similar)
Sub-class 1.2 Raw data collected to support enablement of NZDF Command, Governance, Strategy
and Planning may include data collected or created.
Examples of data may include (but are not limited to):
•  Questionnaires and interview transcripts (except for interview transcripts that relate to
offending, which must be retained for longer than other types of data as it may be relevant
to any appeals or charges etc. See sub-class 1.11 and 1.12)
•  Administrative data
Sub-class 1.3 Significant organisation-wide NZDF Command, Governance, Strategy and Planning
covers the processes of governance, strategy, planning. Activities are those that document
Command, Governance, Strategy and Planning at a strategic level as well as decision-making and
approvals which involve significant change innovation, elevated risk, and/or large capital
expenditure.  Also includes liaison/agreements with partners and international forces, strategic level
liaison/agreements with other government agencies.
Examples of information and records documenting significant activities may include (but are not
limited to):
•  Governance board/committee agendas, meeting minutes, action and decisions registers,
papers presented and relevant supporting information/analysis, and final
approvals/decisions which involve significant change/innovation, elevated risk, and/or large
capital expenditure
•  Significant organisational strategies and directives (e.g. Strategy 2025, Defence Statement of
Intent, Environmental Strategy, and similar)
•  Significant organisation-wide output plans (e.g. NZDF Annual Plan, NZDF Four-year plan)
•  Liaison between multinational commanders and the New Zealand chain of command to
confirm or change operational authority
•  International instruments (agreements and arrangements) with our partners and
international forces (e.g. agreements with foreign governments and military forces, North
Atlantic Treaty Organisation (NATO), United Nations, and similar)
•  Agreements between NZ Military Forces, including those in order to conduct Operations
•  Agreements with other government agencies or bodies that have a major impact on the
business of NZDF

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•  Significant organisation-wide Operation and mission strategies and governance. For
example, Executive Orders and Directives to conduct Operations and associated liaison (such
as briefings, and associated documents, to the Minister, Cabinet and Select Committees)
•  Significant legal frameworks regarding the legality of Operational activities in accordance
with agreements and international law (e.g. Rules of Engagement, Military Law and its
interpretation, Government Mandates to conduct Operations, the establishment of Military
detention centres and the handling of captured or detained persons, and similar)
•  Strategic Risk Appetite Framework
•  Enterprise-wide Risk Register
•  Significant forecasting and planning for future NZDF performance
•  Final reports of externally driven Inquiries, Investigations, and Reviews
Sub-class 1.4 Standard organisation-wide NZDF Command, Governance, Strategy and Planning
activities are those of a more operational or tactical nature.
Examples of information and records documenting standard activities may include (but are not
limited to):
•  Governance board/committee Papers presented and relevant supporting
information/analysis, and final approvals/decisions which involve standard
change/innovation, routine risk and/or routine expenditure
•  Standard organisational strategies and directives
•  Standard organisation-wide annual reports and reviews
•  Standard organisation-wide output plans
•  Agreements with other government agencies or bodies that have no major impact on the
business of NZDF
•  Standard guidance and processes associated with NZDF risk management
•  Standard forecasting and planning for future NZDF performance
Sub-class 1.5 Implementation of Command, Governance, Strategy and Planning outputs covers
information and records documenting activities associated with implementation of Command,
Governance, Strategy and Planning. This includes the production of all formal, significant
instructions, directives, orders and policies produced for the overall direction and command of
NZDF. Examples of activities include (but are not limited to):
•  Direct instruction to the organisation on a particular course of action as set out by senior
command and the strategic documentation
•  Engagement with, and instruction to, the internal NZDF chain of command regarding the
facilitation of business planning and process development
•  Liaison with NZDF's key stakeholders and diplomatic partners for input on strategic actions
Examples of information and records may include (but are not limited to):
•  Approvals for the publication and use of all significant, organisation-wide business process
records
•  Final versions of Significant Orders, Instructions, Directives and Authorities of Command
(e.g. CDF Command Directives, Defence Force Orders (DFOs), Standing Orders, and similar)

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•  Final versions of policies at an organisation-wide or Executive level
•  Final versions of NZDF doctrine, including providing input into international military doctrine
and adopting, adapting and/or discarding international military doctrine
•  Significant advice on interpretation or adoption of authorised publications
•  Significant Briefs and Minutes from strategic talks and dialogues
•  Significant Briefs and Minutes from formal military international service to service talks and
dialogues
Sub-class 1.6 Organisational performance reporting covers information and records that track
organisation level annual planning against government expectations, as well as the management and
reporting of the outputs of strategic plans (both Military and Corporate). Examples of activities
include (but are not limited to):
•  Setting of performance criteria, measures and targets for significant organisational plans
•  Monitoring and reporting on key measurements and key performance indicators such as
Military Readiness
•  Developing major management reports and reviews, such as the NZDF Quarterly Report, and
the NZDF Annual Report
•  Coordination, management and reporting of Operational Readiness for NZDF forces as a
whole
Examples of information and records may include (but are not limited to):
•  Significant organisational progress reports
•  Significant Operations reporting to Parliament and the Minister (e.g. Operations updates
including limitations, issues, outputs and outcomes to Parliament and the Minister)
Information and records documenting activities associated with providing legal advice and counsel
for Operations have been divided into two sub-classes. One being the provision of legal advice and
counsel relating to significant actions (such as legal opinions and frameworks about the Rules of
Engagement, Law of Armed Conflict, and similar), and the other covering routine advice and
activities.
Sub-class 1.7 Significant Legal Advice and Counsel associated with Operations
Examples of information and records documenting significant activities may include (but are not
limited to):
•  Advice regarding the movements of overseas forces in NZ waters/airspace/land
•  Personnel issues during Operations that may result in complaints
•  Advice on NZDF forces Operational actions in other countries such as providing assistance
during elections
•  Advice on the use of force during Operations
•  Decisions, formal legal advice and opinions regarding detention centres during the conduct
of specific Operations
•  Decisions, formal advice and opinions regarding the handling of captured or detained
persons during the conduct of specific Operations

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Sub-class 1.8 Standard Legal Advice and Counsel associated with Operations
Examples of information and records documenting standard or routine activities may include (but
are not limited to):
•  Legal guidelines and procedures specific to Operations activities
•  Provision of standard legal advice (e.g. advice on drafting Operational Orders, advice to a
Single Service unit on low-level matters, general domestic law advice, and similar)
Information and records relating to legal advice and counsel associated with all NZDF activities
(excluding Operations) have been divided into two sub-classes. One covers the provision of legal
advice and counsel relating to significant actions, and the other to standard activities.
Sub-class 1.9 Significant legal advice and counsel associated with all NZDF activities (excluding
specific Operations).
Examples of information and records documenting significant legal advice and counsel may include
(but are not limited to):
•  Significant matters relating to litigation
•  Significant legal matters to do with Operations that do not relate to a specific deployment
(e.g. Article 36/Geneva Convention reviews, advice relating to Status of Forces Agreements,
and similar)
•  Legal advice forming the basis of significant or controversial decisions (e.g. major
organisational restructuring especially when involving redundancies, matters with high
reputational risk such as historic criminal allegations, disestablishing or acquiring of a major
capability)
•  Registers related to Military Courts and trials (e.g. recommendations register)
•  Decisions, formal legal advice and opinions regarding the establishment of Military
detention centres
•  Decisions, formal legal advice and opinions regarding the handling of captured or detained
persons
Sub-class 1.10 Standard legal advice and counsel associated with all NZDF activities (excluding
specific Operations).
Examples of information and records documenting standard or routine legal advice and counsel may
include (but are not limited to):
•  Legal compliance
•  Legal procedures and guidelines
•  Legal advice and opinions related to all standard NZDF activities, excluding Operations (for
example minor personnel issues that may result in complaints or a dispute resolution
process, detention of personnel for minor offences, drafting advice regarding policies or
instructions)
Military good order and/or discipline activities are those that relate to the keeping of good order
within military forces. They have been divided into two sub-classes. One covers serious or significant

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activities which result in formal investigations and can include (but are not limited to) command
investigations, process or system investigations, and similar, preliminary inquiries, summary trials,
court martials, and Courts of Inquiry. The other sub-class covers standard discipline activities which
are those that do not result in formal investigations, trials, inquiries or Courts.
Sub-class 1.11 Serious or Significant Military good order and/or discipline
Examples of information and records documenting serious or significant good order and/or discipline
activities may include (but are not limited to):
•  Any matter reported to or initiated by NZDF MP (including initial complaints, investigation
file elements and files held awaiting further information, and completed investigation files
(where a final report has been released to Commanders)
•  Serious investigations branch files which result in Military prosecution (e.g. MP
investigations regarding serious assaults, drug possession or supply, sexual offending
investigations, fraud and similar)
•  Formal Guidance related to the inquiry, trial, or court setup and proceedings
•  Final reports and recommendations
•  Reviews by the relevant Authorities (e.g. Assembling Authority)
•  Court Martials (including Appeals, Panel of Review, and Summary Trial records)
•  Investigation, inquiry, trial and Court exhibits, witness lists and statements, transcripts and
recordings of court proceedings
•  Court evidence and records of proceedings
•  Interviews conducted for serious investigations but outside of Court/Criminal proceedings
(e.g. interrogation for intelligence collection)
•  Criminal investigation files which result in Military prosecution (e.g. Military police
investigations regarding serious assaults, drug possession, Sexual Assault Prevention and
Response Advisor (SAPRA) programme investigations, and similar)
•  Legal Aid and assistance related to serious or significant inquiries or investigations
•  Detention records or reporting for Military Personnel placed into Service Custody within
New Zealand (i.e. Services Corrective Establishment [SCE] and local detention in Unit
Detention Quarters or Holding Cells)
•  Detention records regarding the handling of captured or detained persons by NZDF Forces
undertaken during an operation (held by HQ Joint Forces until release)
Sub-class 1.12 Standard Military good order and/or discipline
•  Criminal investigation files which do not result in Military prosecution (e.g. simple breaches
of order, criminal incidents on camps/bases such as running a stop sign on base, minor
damage to property, and similar)
•  Informal or ad hoc enquiry findings, correspondence and instructions (e.g. Commander looks
into a minor breach of protocol, and reports on findings)
•  Minor investigation and detention guidelines and processes
•  Legal Aid and assistance related to routine or ad hoc investigations
•  Processing and day-to-day management of captured or detained persons

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Sub-class 1.13 Administrative support to external inquiries and reviews covers information and
records documenting activities associated with the collation and administration of information for
externally-driven inquiries, investigations, and reviews not controlled by NZDF (e.g. required by
Government such as the Operation Burnham Inquiry) but that are about NZDF activities, or that
NZDF is a party to.
Examples of information and records may include (but are not limited to):
•  Collating and packaging up information required for the Investigation, Inquiry or Review
•  Correspondence with agencies involved in the Investigation, Inquiry or Review
•  NZDF Feedback, advice or opinions on Inquiry, Investigation, or Review findings or
recommendations
Sub-class 1.14 Audit and Assurance monitoring and reporting activities covers information and
records documenting internal monitoring, auditing, and assuring of NZDF capabilities, processes and
systems, ensuring they are compliant and functioning adequately based on set criteria and
frameworks. This can include (but is not limited to) safety assurance, environmental assurance,
worthiness, and similar.
Examples of information and records may include (but are not limited to):
•  Guidelines and procedures
•  Risk registers, risk assessments and risk management plans
•  Internal audit and assurance investigation reports and associated audit findings, including
those related to specific military platforms, assets, or safety incidents
•  Implementation plans and reports based on internal audits, investigations, and reviews
•  Implementation and monitoring of recommendations from formal military disciplinary
bodies (e.g. Courts of Inquiry and similar)
•  Environmental compliance, monitoring, testing, and reporting
•  Overseas post assurance, audits, and assessments
Sub-class 1.15 Military Ceremonies, Commemorations, and Protocols planning and management
covers information and records documenting activities associated with establishing, and managing
military commemorations and ceremonies either hosted or led by NZDF OR of national importance
with significant NZDF input or participation. This includes the protocols surrounding significant
commemorations or ceremonies and visits by NZDF personnel to other national and international
destinations, and events related to Operations.
Examples of such occasions include (but are not limited to):
•  ANZAC Day/Gallipoli commemorations
•  Commemorations of major battles
•  Ceremonies for visiting overseas heads of states, monarchs, and similar
Examples of information and records may include (but are not limited to):
•  Commemorations and ceremonial protocols

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•  Military protocol regarding high-profile visits (e.g. visiting heads of state, military personnel
at Government House, and similar)
•  Finalised instructions
•  Finalised programmes, including logistical and security arrangements
•  Visit briefings, reports, and summaries
Sub-class 1.16 Military Heritage and Culture planning and management covers information and
records documenting activities associated with the management of military heritage, preservation,
traditions, and history of the New Zealand Defence Force.
Examples of information and records may include (but are not limited to):
•  Formal advice to inter-departmental governance boards on heritage issues with a Defence
element
•  Master registers of heritage holdings (e.g. art collection)
•  Master registers of museum collection holdings, and supporting information including
museum policies
•  Purpose, design, and protocol related to overall military and specific Single Service culture
and traditions such as colours, flags, badges, crests, insignia, etiquette and customs of
military service, and similar
•  Formal papers, reports, presentations on NZDF history
•  Oral history records (including audio and visual recordings, transcripts and supporting
material)
•  Maori culture protocol, policy, and awareness activities
•  Repatriation policies and procedures
•  Historical monographs
Sub-class 1.17 Relationship management reporting and coordination covers information and
records documenting activities associated with coordinating, administering and managing NZDF
commitments and engagement within New Zealand and internationally to build and manage
relationships.
Examples of information and records may include (but are not limited to):
•  Ad hoc/informal 'quick' reports and Annual plans (e.g. from Attaché posts)
•  Key Leader engagement programme (KLE) planning, decisions/approvals, and reporting
•  Mutual assistance programme planning, decisions/approvals, and reporting
The information and records documenting plans, decisions and approvals relating to the outcome of
NZDF’s commitments and engagements are covered by class 1.3.
5.1.2  Value statement
Information and records of significant organisation-wide NZDF Command, Governance, Strategy and
Planning and implementation of the outputs associated with the planning and organisational
performance reporting (sub-classes 1.3, 1.5 and 1.6) document NZDF’s accountability through how it
is managed and decisions that are made at the highest level in the organisation. They provide
evidence of how NZDF planned and fulfilled its core functions and the impacts it may have had on

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peoples’ lives in New Zealand and overseas. They are therefore recommended for retention as
archives.
The information and records of significant legal advice (sub-classes 1.7 and 1.9) provide evidence of
how NZDF operated within the New Zealand judicial system and how it managed its legal
arrangements. It also provides evidence of the rights and entitlements of individuals and how those
rights are protected and administered within NZDF whether to do with Operations or in the normal
course of business. For example, the provision of legal advice relating to the use of force during an
Operation has ongoing importance in demonstrating how NZDF personnel were expected to behave
and how they executed their duties during an operation. They are therefore recommended for
retention as public archives.
Information and records documenting serious or significant military good order and/or discipline
activities (sub-class 1.11) provide evidence of how Military good order is maintained within NZDF,
and how any issues with maintaining good order of a significant nature are dealt with. For example,
case records of Court Martials provide evidence of how NZDF manages its discipline activities and
conducts itself as an organisation when dealing with any infringements against policy/protocol that
are significant. They also provide evidence of the rights and entitlements of individuals and how
those rights are protected and administered within NZDF as part of any discipline process. They are
therefore recommended for retention as public archives.
The information and records documenting planning and management of Military Ceremonies,
Commemorations, and Protocols, plus Military Heritage and Culture (sub-classes 1.15 and 1.16)
provide evidence of how NZDF and the New Zealand Military contribute to the growth of knowledge
and understanding of the military, its place in our society and the New Zealand community. The
Military has a strong tradition of ceremonies and commemorations which provide a rich history and
insight into NZDF. Participation in ceremonies and providing and supporting culture and heritage
activities preserve that history and tradition for the New Zealand public. They are therefore
recommended for retention as public archives.
All other sub-classes in Command, Governance, Strategy and Planning are of a routine administrative
or operational nature and of short to medium term business value only. Sub-class 1.1 is
recommended for either destruction or discharge to the appropriate military museum as outlined in
section 3.2 of this report. Sub-classes 1.2, 1.4, 1.8, 1.10, 1.12, 1.13, 1.14, 1.17 are recommended for
destruction.
5.1.3 Disposal recommendations
Information and records recommended for retention as public archives:
Sub-Class No.
Class title
1.3
Significant organisation wide NZDF Command, Governance, Strategy and
Planning
1.5
Implementation of Command, Governance, Strategy and Planning outputs
1.6
Organisational performance reporting

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Sub-Class No.
Class title
1.7
Significant Legal Advice and Counsel associated with Operations
1.9
Significant Legal Advice and Counsel associated with all NZDF activities
(excluding Operations)
1.11
Serious or significant Military good order and/or discipline
1.15
Military Ceremonies, Commemorations, and Protocols planning and
management
1.16
Military Heritage and Culture planning and management

Information and records recommended for destruction:
(Note: Sub-class 1.1 includes records recommended for either destruction or discharge)
Sub-Class No.
Class title
1.1
Support activities associated with the enablement of NZDF Command,
Governance, Strategy and Planning
1.2
Raw data collected to support enablement of NZDF Command, Governance,
Strategy and Planning
1.4
Standard, organisation wide NZDF Command, Governance, Strategy and
Planning
1.8
Standard Legal Advice and Counsel associated with Operations
1.10
Standard Legal Advice and Counsel associated with all NZDF activities
(excluding Operations)
1.12
Standard Military good order and/or discipline
1.13
Administrative support to external inquiries and reviews
1.14
Audit and Assurance monitoring and reporting
1.17
Relationship management reporting and coordination

5.2  Class no. 2 – Intelligence and Security
5.2.1  Description
Intelligence and Security is the function of providing intelligence services and security activities
across NZDF. Intelligence is the gathering and processing of information concerning potential
threats, potential hostile forces, and potential areas of operations. It involves evaluation, analysis,

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integration and interpretation of disparate pieces of information to attempt to clarify a situation and
produce meaningful conclusions, assessments and predictions.
Intelligence enables understanding of the three domains (physical, information and human), in
which NZDF and their adversaries operate; and ensures NZDF can monitor key issues and focus
military power appropriately.
Security enables the protection of information, personnel, material, premises, facilities and assets
against espionage, sabotage, subversion and terrorism, which can be via unauthorised access, wilful
damage, interference, disruption, theft or unauthorised disclosure.
The Intelligence and Security class consists of the following sub-classes of information and records:
•  Intelligence and Security support
•  Raw data collected to support enablement of Intelligence and Security
•  Intelligence Governance and Strategy
•  Intelligence Planning and Guidance
•  Intelligence Preparation and Presentation
•  Security Governance, Strategy and Planning
•  Security Reporting and Performance
•  Information, Communications, Personnel and Physical security management and
maintenance
•  Information, Communications, Personnel and Physical security provision and practice
•  Major security violations and incidents
•  Minor security breaches and infringements
Sub-class 2.1 Intelligence and Security support covers information and records documenting
activities associated with supporting and administering NZDF Intelligence and Security.
Examples of information and records may include (but are not limited to):
•  Records for meeting groups/committees/boards which have no influence on the overall
Governance or Strategy of Intelligence and Security activities (e.g. information preparation
and planning, consultation, and similar)
•  Routine forms and templates (e.g. classified document receipt forms, and similar)
•  Facilitative administrative records such as correspondence, standard information for staff,
travel itineraries, bookings and arrangements, informal advice, inductions, calendars,
announcements, office management, and similar
•  Liaison, coordination and administration of Intelligence and Security agreements and
arrangement
Sub-class 2.2 Raw data collected to support enablement of Intelligence and Security may include
data collected or created.
Examples of data may include (but are not limited to):

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•  Questionnaires and interview transcripts (except for interview transcripts that relate to
offending, which must be retained for longer than other types of data as it may be relevant
to any appeals or charges etc. See sub-class 1.11 and 1.12)
•  Administrative data
•  Security surveillance data (e.g. security camera footage)
This class excludes raw data that may be required for evidential and compliance purposes (e.g.
appeals, complaints, inquiries). Such records are covered by classes 1.11 ,1.12 and 1.13.
See also sub-class 3.2 for data collection as part of Operations.
Sub-class 2.3 Intelligence Governance and Strategy covers information and records documenting
activities associated with the overall governance and strategy of Intelligence including Intelligence
Governance Boards, significant decisions and approvals and organisation-wide, significant
intelligence requirements, objectives, strategies, and frameworks.
Examples of information and records may include (but are not limited to):
•  Intelligence finalised strategies, policies and directives
•  Governance board and committee minutes, approvals, and decisions
•  Intelligence records required as part of Operations (e.g. Concept of Operations which is both
an analysis and a formal document that describes how a capability will be employed and
supported)
•  Intelligence technical standards and compliance records
Sub-class 2.4   Intelligence Planning and Guidance covers information and records documenting
activities associated with the planning, guidance and practicing of NZDF Intelligence. This can include
developing formal intelligence plans, requirements, criteria, directives, instructions, and policies.
Examples of information and records may include (but are not limited to):
•  Intelligence planning documents for Operations
•  Threat Assessments (includes annual assessments, and assessments of specific threats)
See also sub-classes 3.6 and 3.11 for intelligence activity planning and execution in relation to
Operations.
Sub-class 2.5 Intelligence Preparation and Presentation cover information and records
documenting activities associated with collecting, collating, preparing, and reporting of intelligence
in NZDF to support military situational awareness, decision making and operations activities.
Examples of information and records may include (but are not limited to):
•  Intelligence reports
•  Intelligence briefings
•  Intelligence summaries
•  Register of foreign intelligence reports
•  Liaison, coordination and management of intelligence and security systems, practices and
networks (including people networks)

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Sub-class 2.6 Security Governance, Strategy and Planning covers information and records
documenting activities associated with the overall governance and strategy of NZDF Security
including security governance boards, significant decisions and approvals, organisation-wide
significant security requirements, objectives, strategies, frameworks and policy development.
Examples of information and records may include (but are not limited to):
•  Security finalised strategies, policies and directives
•  Governance board and committee minutes, approvals, and decisions
•  Finalised planning records which set criteria and frameworks associated with the safety and
security of NZDF as a whole (e.g. significant business continuity plans, threat response plans,
and similar)
•  Security technical standards and compliance records
Sub-class 2.7 Security Reporting and Performance covers information and records documenting
activities associated with the reporting, performance, and monitoring of NZDF security activities.
Examples of information and records may include (but are not limited to):
•  Security processes, procedures, and guidelines (e.g. instruction, standard operating
procedures and similar)
•  Security specific reporting which contributes to major NZDF reports (e.g. reporting on
Security assurance and audit)
•  Unit Security Registers (records all unit-level security incidents, responsibilities, vetting, and
similar)
•  Classified asset and document registers
•  Security Delegations (e.g. Defence Area Authorisation Warrants)
•  Due Diligence reports
•  Security accreditation and certification assessments, reviews, and reports
•  Security Risk registers
Sub-class 2.8 Information, Communications, Personnel and Physical security management and
maintenance covers information and records documenting activities associated with the
management and maintenance of a safe and secure environment for the protection of people,
information, communications and physical assets; and the measures designed to detect and prevent
unauthorised access to official resources, and respond to intruders.
Examples of information and records may include (but are not limited to):
•  Codes of conduct
•  Data security, privacy and breach response protocols
•  Information Security Contingency and Incident Plans
•  Guidance on current laws, regulations and requirements
•  Search and seizure records
•  Security Briefs and Debriefs
•  Staff security and criminal vetting procedures
•  Staff security clearance procedures

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•  Physical security plans (e.g. security movement plans)
•  Agreements and arrangements for the special release of information (e.g. classified
information and information owned by foreign governments, forces or organisations)
Sub-class 2.9 Information, Communications, Personnel and Physical security provision and practice
covers information and records documenting activities associated with the provision of routine
security services and practices.
Examples of information and records may include (but are not limited to):
•  Identity cards
•  Visitor records
•  Key registers
•  Access control logs
•  Alarm codes and safe combinations
•  Classified information and asset access and management practice, including movement and
declassification
•  Security clearance practices (e.g. confirmation of security clearances to enable NZDF work,
staff travel clearances, and similar)
•  Security code-words
Sub-class 2.10 Major security violations and incidents covers information and records documenting
activities associated with investigations into major security violations and incidents related to
information, communications, people, and physical security. Major security violations and incidents
involve a deliberate, negligent or reckless action that leads, or could lead, to the loss, damage,
corruption or disclosure of official resources.
Examples of major security incidents, violations and breaches include:
•  Removal of highly classified material or equipment or asset from official custody
•  Actual or suspected compromise of information including tampering with security
equipment or asset or material
•  Actual or suspected hacking into or tampering of any information system or equipment or
asset
•  Theft and attempted theft of classified equipment or asset or material
•  Unauthorised disclosure of official or protectively marked information
Examples of information and records may include (but are not limited to):
•  Incident Investigation plans
•  Incident Interview plans
•  Major Security Incident Report
•  Critical decision register
•  Exhibit sheets, and job sheets
•  Security Incident Minutes

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Sub-class 2.11 Minor security breaches and infringements covers information and records
documenting activities associated with investigations into minor security breaches and
infringements related to information, communications, people, and physical security. Minor security
breaches and infringements involve any incident that violates internal protective security
procedures, other than those that can be categorised as a major violation or breach.
Examples of minor security infringements include:
•  Unauthorised access
•  Unintentional failure to observe protective security requirements
•  Other occurrences which prove to be inconsequential or where a threat was reported but no
violation or breach was identified
Examples of information and records may include (but are not limited to):
•  Minor Security Incident Reports
•  Findings
•  Correspondence
•  Instructions
5.2.2  Value statement
The information and records documenting governance, strategy and planning for intelligence and
security activities (sub-classes 2.3, 2.4, 2.6) document how a core function of NZDF is managed at
the highest levels of the organisation, how the activities are planned, and how and what intelligence
guidance is given (such as intelligence planning documents for Operations, or threat assessments)
regarding planned NZDF actions. This shows how NZDF is accountable for managing the intelligence
aspects of its function of protecting New Zealand, its personnel, and the community at large from
threats.  They are therefore recommended for retention as public archives.
Information and records of intelligence preparation and presentation (sub-class 2.5) are the
“output” of intelligence activities. They are the formal reports, advice and assessments made by
NZDF intelligence in relation to threats to national security. As such they provide evidence of how
NZDF contributes to protecting New Zealand and the community. They also show how NZDF is
accountable for assessing and developing reports on particular threats, and activities that contribute
to the picture that the Minister and the government receive on national security. The information
and records in this sub-class also provide insight and knowledge about how New Zealand viewed
threats and how our intelligence activities were carried out. They are therefore recommended for
retention as public archives.
The information and records of major security violations and incidents (sub-class 2.10) document
how NZDF deals with and manages significant security violations, how NZDF operates to support
New Zealand government security protocol and policies regarding areas such as classified material,
and how NZDF demonstrates accountability in appropriately dealing with security violations. The
information and records provide evidence of how an individual’s rights and entitlements are
protected through the security and incident processes which are in place. They are therefore
recommended for retention as public archives.

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All other sub-classes in Intelligence and Security are of a routine administrative or operational nature
and of short to medium term business value only. They are therefore recommended for destruction.
5.2.3  Disposal recommendations
Information and records recommended for retention as public archives:
Sub-Class No.
Class title
2.3
Intelligence Governance and Strategy
2.4
Intelligence Planning and Guidance
2.5
Intelligence Preparation and Presentation
2.6
Security Governance, Strategy and Planning
2.10
Major security violations and incidents

Information and records recommended for destruction:
Sub-Class No.
Class title
2.1
Intelligence and Security support
2.2
Raw data collected to support enablement of Intelligence and Security
2.7
Security Reporting and Performance
2.8
Information, Communications, Personnel and Physical security management
and maintenance
2.9
Information, Communications, Personnel and Physical security provision and
practice
2.11
Minor security breaches and infringements

5.3  Class no. 3 – Operations
5.3.1  Description
Operations is the function of NZDF carrying out specific Operations using the military forces. The
Operation may be to secure New Zealand against external threat, to protect sovereign interests, and
to be able to act to meet likely contingencies in our strategic areas of interest. Or the Operation may
be that NZDF has been tasked to conduct or support a range of national strategic objectives.
Operations may also be referred to as Military Operations, or Military Assistance. There is a standard
sequence and process for conducting an Operation which consists of:

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•  Command (the authorisation and oversight of specific Operations at the highest level, and
Operations as a concept)
•  Planning (once high-level approval has been directed, the planning cycle instructs the Forces
on their next steps and how everything will work)
•  Pre-deployment (preparation of the Forces for deployment, primarily training)
•  Deployment (moving Forces to the deployment area, running the Operation on the
ground/in theatre, and then moving out of the deployment area)
•  Evaluation/Lessons Learned (reviewing all aspects of the Operation, in order to feed into the
next strategic round of Operational Command and Planning)
The Operations class consists of the following sub-classes of information and records:
•  Support activities associated with the enablement of Operations
•  Raw data associated with Operations
•  Command and Control activities for Significant Operations
•  Planning activities for Significant Operations
•  Preparation activities for Significant Operations
•  Deployment, redeployment and conduct activities during Significant Operations
•  Post-deployment analysis and reporting activities for Significant Operations
•  Command and Control activities for Standard or Routine Operations
•  Planning activities for Standard or Routine Operations
•  Preparation activities for Standard or Routine Operations
•  Deployment, redeployment and conduct activities during Standard or Routine Operations
•  Post-deployment analysis and reporting activities for Standard or Routine Operations
Sub-class 3.1 Support activities associated with the enablement of Operations covers the
information and records documenting activities associated with supporting and administering
Operations.
Examples of information and records may include (but are not limited to):
•  Records for meeting groups/committees/Boards which have no high-level influence on the
overall Governance or Strategy of Defence Operations (e.g. information preparation and
planning, consultation, and similar)
•  Routine forms and templates
•  Facilitative administrative records such as correspondence, standard information for staff,
travel itineraries, bookings and arrangements, greetings, informal advice, inductions,
calendars, announcements, catering and food services, mortuary services, laundry services,
cleaning services, pest control services, refuse and waste management services, office
management (such as provision of stationery, fuel cards, mobile devices, pay-as-you-dine
cards)
•  Customer service records such as completed requests and associated correspondence
•  Duty rosters
•  Routine reports, briefings, presentations, dealing with local vendors (e.g. for hire vehicles
onsite)
•  Coordination of farewell and welcome home events

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•  Accommodation allocation, duties/sentry, responsibilities, position requirements and any
additional job requirements
Sub-class 3.2 Raw data associated with Operations may include data either collected or created.
Examples of data may include (but are not limited to):
•  Questionnaires and interview transcripts (except for interview transcripts that relate to
offending, which must be retained for longer than other types of data as it may be relevant
to any appeals or charges etc. See sub-classes 1.11 and 1.12)
•  Geospatial and imagery data
•  Surveillance data
•  Hydrographic survey data
•  Time series data
•  Routine operational flight, sailing, or vehicle movement data (e.g. flight radio log data)
•  Intelligence mission data
This class excludes raw data that may be required for evidential and compliance purposes (e.g.
appeals, complaints, inquiries). Such records are covered by classes 1.11, 1.12 and 1.13.
The remaining sub-classes in this class (sub-classes 3.3 – 3.12) Operations relate to the carrying out
of Operations. As shown at the start of this section, there are five standard phases/groups of
activities followed by NZDF for any Operation. To address archival value considerations, two sets of
sub-classes have been created for each of the five Operations activities listed, one that relates to
significant operations and the other that relates to standard or routine operations. For the purposes
of information and records disposal decisions, significant Operations can be defined as:
•  Combatant operations (e.g. deployments which involve active battles, attacks and response
to threats using force)
•  Emergency response operations and evacuations (e.g. humanitarian aid and disaster relief
such as the Kaikoura earthquake, or evacuating refugees)
•  Peacekeeping and peace-making operations (e.g. operations in the Middle East to observe
and report violations to UN Security Council Resolution, or similar Treaties)
•  Security and stability operations (e.g. ensuring and enhancing the ongoing security and
stability in Afghanistan)
•  Resource and border protection operations on behalf of other government agencies (e.g.
maritime surveillance in support of Pacific Island countries in order to protect NZ interests in
the South Pacific)
Significant Operations typically involve:
•  the use of NZDF Military personnel, units, and assets internationally, or on a large-scale
domestically and/or
•  substantial implications for NZDF strategic inputs and outputs
•  elevated risk and/or
•  significant expenditure

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For the purposes of information and records disposal decisions, standard or routine Operations can
be defined as:
•  Routine planned movements such as scheduled flights by Air Force or sailings by Navy
•  Military assistance to civil authorities, foreign nations, coalition partners or organisations in
non-emergency situation (e.g. the rebuild of the Waiho Bailey bridge)
•  Defence support to the community, including increasing public awareness of the practice of
Armed Forces (e.g. Military displays/open days, construction support to schools, support for
Hikoi's or Tangi's, Poppy Day)
Standard or Routine Operations typically involve:
•  smaller scale operational activities, generally carried out by a single service (or with minimal
input from the other services) at unit or base level and/or
•  routine activities which function to keep the single services maintained and/or
•  routine risk and/or
•  routine expenditure
Sub-class 3.3 Command and Control activites for Significant Operations and Sub-class 3.8
Command and Control activites for Standard or Routine Operations covers information and records
documenting activities associated with the Command and Control of Operations. Activities include
the initiation of operations, implementation of operational directives and the assignment of forces,
missions and tasks for specific Operations, and other key information that may significantly impact
on the outcomes of an operation.
Examples of information and records for operations may include (but are not limited to):
•  Operations authorisations, and instructions, including humanitarian aid and disaster relief
(e.g. Operational Orders, Fragmentary Orders, Order or instruction amendments, and
similar)
•  Final approved Operational governance bodies (boards, committees) decision-making
records such as approvals to conduct operations
•  Decision making, delegations and instructions to do with the initiation of an Operation
•  Liaison and coordination with coalition partners, other government organisations, local
authorities and non-government organisations relating to the conduct of Operations,
collaboration and information sharing, integration and synchronisation of operational
effects
•  High level financial reporting
Sub-class 3.4 Planning Activities for Significant Operations and Sub-class 3.9 Planning Activities for
Routine or Standard Operations covers information and records documenting activities associated
with the planning of Operations to enable the preparation, command, operation, sustainment and
regeneration of assigned forces.
Examples of information and records may include (but are not limited to):
•  Information that details the high-level strategic Operations planning process for all stages of
an operation

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•  Issued orders, instructions, directives and reports (e.g. CONOPS (Concept of Operation),
Situational Reports (SITREPS), Initiating Directives, Warning Orders, Task orders, and similar)
•  Contingency plans
•  Forecasting planning
•  Risk management records
•  Aide memoirs used to present mission analysis information.
•  Preliminary scoping and framing of the commander’s critical information requirements and
associated lists.
•  Establishment and Assignment of Operation-specific codewords
Sub-class 3.5 Preparation Activities for Significant Operations and Sub-class 3.10 Preparation
Activites for Routine or Standard Operations activities are those associated with preparation for
Operations, including individual or collective training.
Examples of information and records may include (but are not limited to):
•  Pre-deployment training (PDT) Attendance records
•  PDT requirements for Operations
•  PDT material associated with force preparation training or reception, staging, onward
movement and integration deployment training (e.g. presentations and briefings related to
deployment activities, mission rehearsals instructions and reports, and similar)
•  Reports related to major incidents during force preparation
•  PDT observations, evaluations and force certifications
•  Training and Certification standards
Sub-class 3.6 Deployment, redeployment and conduct activities during Significant Operations and
Sub-class 3.11 Deployment, redeployment and conduct activities during Standard or Routine
Operations  cover information and records documenting activities conducted by deployed units and
personnel in theatre during Operations. These include the management of incidents and events
during operations, contact with opposing forces (for example ship boarding), events surrounding
forces including capture of foreign forces, loss or damage of equipment or asset, liaison with other
forces, partners or organisations, and similar.
Examples of information and records may include (but are not limited to):
•  Movements records (e.g. Army unit diaries, Air Force squadron flight diaries, Naval Reports
of Proceedings, and similar)
•  Master lists of NZDF members involved in a specific Operation (e.g. Services Operational
Mission Matrix (SOMM)/Nominal Rolls, and similar)
•  Any other summarised record of activities that occurred during a specific Operation
•  Tracking of operational effectiveness throughout the period of deployment, including that of
foreign, coalition, partner, other government agency, contractor and non-combatant
persons involved in NZDF Operations, activities or tasks.
•  Instructions and briefs issued throughout the period of deployment, including those to
foreign, coalition, partner, other government agency, contractor and non-combatant

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persons involved in NZDF Operations, activities or tasks (e.g. in-country brief, Intelligence
and Security briefings, Area of Operation induction/briefings)
•  Reports produced during deployment (e.g. Situation Reports (SITREPs), Incident Reports
(INCREPs), Notification Reports, Supplementary Update Reports, Contact and Near Miss
Reports, and similar)
•  Reachback and Return to New Zealand (RTNZ) procedures, repatriation, manifests, and
similar
•  Operations security-related documents (patrol reports, in country SITREPS, flight manifests
and similar)
•  Policies for all phases of the Operational Deployment Cycle
•  Rules of Engagement confirmations, and notifications, and related Standard Operating
Procedures (SOPs)
•  Mission-specific SOPs and Techniques, Tactics and Procedures (TTPs) adopted and applied
within that operation or theatre
•  Tactical governance decision-making and liaison which affect the delivery of in-theatre
activities
•  Tracking of NZDF Operations personnel, animals and assets, including operational status,
allocation to tasking, clearances and authorisations
Sub-class 3.7 Post-deployment analysis and reporting activities for Significant Operations and Sub-
class 3.12 Post-deployment analysis and reporting activities for Standard or Routine Operations
covers information and records documenting activities associated with operational analysis and
resulting performance improvement documentation associated with operational evaluation for
Operations.
Examples of information and records may include (but are not limited to):
•  Operational performance improvement plans
•  Operational evaluation: lessons learned and operational analysis activities
•  Implementing and monitoring of remedial actions
•  Technical advice relating to operational improvement
•  Liaison and communication within NZDF and with other stakeholders relating to
performance improvement
•  Post Activity Reports, Lessons Learnt Reports and associated briefings
5.3.2  Value statement
All sub-classes to do with significant operations are considered to have archival value. That is, sub-
classes 3.3, 3.4, 3.5, 3.6 and 3.7.
The information and records of significant Operations help provide evidence and accountability of
Operations undertaken on behalf of New Zealand, whether nationally or overseas. This
accountability covers decisions to conduct Operations, NZDF’s understanding of the operational
situation or context (including the role that New Zealand forces may play in the Operation), and
approvals from financial, strategic, and government perspectives.

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They also provide accountability for how the Operation is executed and the activities of the NZDF
personnel undertaking the operations. Information and records of significant Operations also
increase our knowledge of New Zealand’s participation in global events, and our identity through the
NZDF roles and actions in Operations.
In some instances, significant Operations records demonstrate use of new technologies, protocols or
how NZDF have worked with military forces from other countries. There is a high level of research
value in the information and records as they tell a story of New Zealand’s military actions and
activities over time and are of great interest to the military history community. As such they are
recommended for retention as public archives.
In addition the information and records that document the command and control activities relating
to standard Operations have been recommend for retention as public archives, that is sub-class 3.8.
These records document the decision-making and authorisation for operations, including military
assistance activities and as such provide evidence of military activities and approvals. They (along
with the information and records in sub-class 3.3) provide a full set of the authorisations and
decision-making about the use of military personnel across all Operations.
All other sub-classes in Operations are of a routine administrative or operational nature and of short
to medium term business value only. Sub-classes 3.1 and 3.11 are recommended for either
destruction or discharge to the appropriate military museum as outlined in section 3.2 of this report.
Sub-classes 3.2, 3.9, 3.10, 3.12 are recommended for destruction.

5.3.3  Disposal recommendations
Information and records recommended for retention as public archives:
Sub-Class No.
Class title
3.3
Command and Control activities for Significant Operations
3.4
Planning activities for Significant Operations
3.5
Preparation activities for Significant Operations
3.6
Deployment, redeployment and conduct activities during Significant
Operations
3.7
Post-deployment analysis and reporting activities for Significant
Operations
3.8
Command and Control activities for Standard or Routine Operations

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Information and records recommended for destruction:
(Note: Sub-classes 3.1 and 3.11 includes records recommended for destruction or discharge)
Sub-Class No.
Class title
3.1
Support activities associated with the enablement of Operations
3.2
Raw data associated with Operations
3.9
Planning activities for Standard or Routine Operations
3.10
Preparation activities for Standard or Routine Operations
3.11
Deployment, redeployment and conduct activities during Standard or
Routine Operations
3.12
Post-deployment analysis and reporting activities for Standard or Routine
Operations

5.4  Class no. 4 – Logistics and Estate
5.4.1  Description
The Logistics and Estate class is the function of planning and performing the movement and
maintenance of military forces and equipment or asset; and the acquiring, leasing, constructing,
managing, maintaining and disposing of NZDF infrastructure, buildings, and facilities.
The Logistics and Estate class consists of the following sub-classes of information and records:
•  Support activities associated with the enablement of Logistics and Estate
•  Raw data collected to support enablement of Logistics and Estate
•  Logistics and Estate Governance and Strategy
•  Logistics and Estate Reporting and Performance
•  Design and specification activities associated with NZDF-owned military-specific vehicles,
vessels, aircraft and equipment or asset
•  Design, specification, and construction activities associated with NZDF-owned Estate and
Infrastructure
•  Security system design, specification, and construction associated with NZDF-occupied
Estate and Infrastructure
•  Maintenance and engineering activities associated with NZDF-owned military-specific
vehicles, vessels, aircraft and equipment or asset
•  Logistics Movements, Transport and Supply
•  Facilities, Estate, and Infrastructure maintenance and management

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Sub-class 4.1 Support activities associated with the enablement of Logistics and Estate covers
information and records associated with supporting and administering Logistics and Estate.
Examples of information and records may include (but are not limited to):
•  Records for meeting groups/committees/boards which have no significant influence on the
overall governance or strategy of Defence Logistics and Estate activities (e.g. information
preparation and planning, consultation, and similar)
•  Routine forms and templates
•  Facilitative administrative records such as general base and facility (including detention
centres) support services, provision of catering and food services, travel services, mortuary
services, laundry services, cleaning services, pest control services, refuse and waste
management services, office management, and similar
•  Customer service management records such as provision of service, completed customer
service requests (and associated correspondence), and similar
Sub-class 4.2 Raw data collected to support enablement of Logistics and Estate may be collected or
created.
Examples of information and records may include (but are not limited to):
•  Questionnaires and interview transcripts (except for interview transcripts that relate to
offending, which must be retained for longer than other types of data as it may be relevant
to any appeals or charges etc. See sub-classes 1.11 and 1.12)
•  Movements data
•  Administrative data
•  Occupation and use data of military camps and bases
•  Asset or platform data point scans, automated tests and prototypes
Sub-class 4.3 Logistics and Estate Governance and Strategy covers information and records
documenting activities associated with the governance, planning and performance monitoring of
Defence Logistics and Estate, including:
•  Logistics and Estate governance (including Logistics and Estate governance boards),
decisions and approvals
•  Organisation-wide Logistics and Estate requirements, objectives, strategies, and capability
planning
Examples of information and records may include (but are not limited to):
•  Logistics and Estate finalised strategies, policies and directives (e.g. Asset Management
Policy and similar)
•  Analysis, approvals and agreements related to military asset acquisitions, integration into
service, through-life support and disposal
•  Land settlement requirements, opinions, expertise and agreements
•  Governance board and committee minutes, approvals, and decisions

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Sub-class 4.4 Logistics and Estate Reporting and Performance covers information and records
documenting activities associated with the reporting, performance and monitoring of Defence
Logistical and Estate activities.
Examples of information and records may include (but are not limited to):
•  Logistics and Estate Policy development
•  Logistics and Estate processes, procedures, and guidelines
•  Compliance and monitoring reports
•  Logistics and Estate specific reporting which contributes to major NZDF reports
•  Risk registers
Sub-class 4.5 Design and Specification activities associated with NZDF-owned, military-specific
vehicles, vessels, aircraft and equipment or asset covers information and records documenting
activities associated with plans, specifications, drawings and amendments to NZDF-owned vehicular
items and equipment or asset which are Military specific.
Examples of information and records may include (but are not limited to):
•  Original final plans, specifications, drawings and requirements for military sea vessels
primarily used by NZ Navy, e.g. ships, Rigid Hull Inflatable Boats (RHIB), and similar
•  Original final plans, specifications, drawings and requirements for military aircraft primarily
used by NZ Air Force, e.g. fixed and rotary wing aircraft, drones (or unmanned/remotely
piloted), aerial systems and vehicles, specific trucks for aircraft loading and aircraft
unloading, and similar
•  Original final plans, specifications, drawings and requirements for military land vehicles
primarily used by NZ Army (e.g. Light Armoured Vehicles (LAV), Light Operational Vehicles
(LOV), Unimog, Medium Heavy Operational Vehicles (MHOV), and similar)
•  Original final plans, specifications, drawings and requirements for military equipment or
asset (e.g. military uniforms, tents used for military activities, deployable bulk fuel
installation equipment or asset, bomb and munitions units (trailers, hoists etc.), weapons
and ammunition, specific individual systems on board military vehicles such as bespoke
satellite systems, and similar)
Sub-class 4.6   Design, specification, and construction activities associated with NZDF-owned
Estate and Infrastructure covers information and records documenting activities associated with
design and construction amendments of NZDF-owned estate and infrastructure items such as ports,
roads, airfields and operational base and camp and base buildings, leave centres, attaché posts; and
associated significant monitoring and reporting.
Examples of information and records may include (but are not limited to):
•  Original final plans, specifications, drawings and requirements for NZDF-owned or NZDF-
occupied camps and bases
•  Original final plans, specifications, drawings and requirements associated with the building
of the NZDF-owned Estate and Infrastructure such as ports, roads, airfields and buildings

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•  Final approvals, progress reports and completion reports for construction activities that
require building consent or significantly change the structure of the building
•  Approvals, accreditations, and certifications related to the installation of required elements
of NZDF Estate and Infrastructure (e.g. accreditation for security systems)
Sub-class 4.7   Security system design, specification, and construction associated with NZDF-
occupied Estate and Infrastructure covers information and records documenting activities
associated with security installation and amendments of NZDF-occupied buildings.
Examples of information and records may include (but are not limited to):
•  Installation of NZDF-specific security equipment or asset into leased buildings
•  Detailed, unique building security specifications and requirements needed to enable NZDF-
occupation of a leased building
Sub-class 4.8   Maintenance and Engineering activities associated with NZDF-owned, military-
specific vehicles, vessels, aircraft and equipment or asset covers information and records
documenting activities associated with retaining military equipment or asset in, or restoring it to, a
specified condition including inspection, testing, servicing, and classification as to serviceability,
repair, rebuilding and reclamation. Examples of information and records may include (but are not
limited to):
•  Engineering and maintenance plans (e.g. through-life management plan)
•  Routine and ad-hoc engineering and maintenance requests, analysis, activities and reports
(e.g. Asset Maintenance Planning systems records, ship vibration analysis, fitting of
specialised equipment or asset and similar)
•  Technical regulation reports and decisions of Defence maintenance and engineering (e.g.
Operational Deficiencies (OPDEF) reports)
•  Management of technical risks
•  Certification processes and final decision regarding equipment or asset maintenance
including upgrades, replacements, recovery or disposals (e.g. comprehensive work package,
Certificate of Condemnation, and similar)
•  Vessel, aircraft or vehicle logs which monitor technical activity and assist in determining
serviceability and asset performance (e.g. Aircraft sign out forms such as the F700 forms)
•  Clearances for movement of equipment or asset including quarantine and biosecurity
Sub-class 4.9 Logistics Movements, Transport and Supply covers information and records
documenting activities associated with NZDF logistical movements, transportation and supplying of
goods. Activities may include (but are not limited to):
•  The movement of NZDF forces including the allocation, tracking, distribution and storage of
supplies and equipment or asset
•  Implementing and controlling the efficient and effective flow of goods, services and
information from point of origin to point of consumption. This is often referred to as the
Supply Chain or Materiel
•  Management of stores including weapons and ammunition, fuel, construction, subsistence
(i.e. foodstuffs and water), medical/dental (i.e. pharmaceuticals, drugs and medical

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supplies), general supplies such as clothing, tents, administrative stores such as stationary,
parts and non-military miscellaneous
•  Freight management
•  Management of non-routine movements such as evacuations
Examples of information and records may include (but are not limited to):
•  Warehouse stock inventory lists and processes
•  Inventory status reports
•  Arms, Ammunition, Explosives, and Foreign Weapon Registers or Ledgers
•  Uniform allocations
•  Vehicle fleet records and damage reports
•  Fuel and petroleum support processes and reports
•  Post and mail processes and movements
•  Logs associated with routine tasked vessel, aircraft or vehicle movements which record
routine details such as engineer's fuel report, pilot's flight plan, catering requirements on
board, passenger manifest etc.)
Sub-class 4.10 Facilities, Estate, and Infrastructure maintenance and management covers
information and records documenting activities associated with maintenance and management of
NZDF-owned or occupied infrastructure and estate. These include the management of ports, roads,
airfields and camp and base buildings, Leave centres and Attaché Posts, routine construction and
maintenance work.
Examples of information and records may include (but are not limited to):
•  All records associated with routine construction activities including financial transactions
and correspondence
•  Coordinating the physical workplace and maintenance activities with land and facilities users
(e.g. office relocations, minor office fit outs)
•  Energy and environmental management and monitoring, including consumption reports
•  Utilities installation and management, including water, electricity sewers and drains and gas
information
•  Management of NZDF Leave Centres (welfare houses) including maintenance required,
custodian details, chattels registers, processes and procedures, correspondence and
communications, budget management, and similar
•  Management and maintenance of camp and base training facilities such as marae, firing
ranges, moving target ranges, urban training facilities, munitions facilities, and similar
•  Management of Defence Attaché Posts including post openings, rebuilds, closings, reviews,
enhancements and furniture
•  Installation of security infrastructure (e.g. security cabling, installation of cameras and access
control)

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5.4.2  Value statement
The information and records of governance and strategic activities for logistics and estate (sub-class
4.3) provides a high-level overview of how those functions are carried out by NZDF. Ensuring that
vessels, aircraft, vehicles and equipment or asset meet the needs of military requirements is vital to
the management of military forces. The governance and strategy sub-class provides evidence of
decisions and the approach to managing logistics and estate in an accountable manner. They are
therefore recommended for retention as public archives.
Information and records covering design and specification activities of NZDF owned military specific
vehicles, vessels, aircraft and equipment or asset, as well as NZDF owned infrastructure and estate
(sub-classes 4.5 and 4.6) provide evidence of assets owned and managed by NZDF in carrying out its
core functions. They are required to provide ongoing accountability for the management and use of
equipment or asset, vehicles and other assets by NZDF staff when undertaking military training
exercises, Operations etc. The design and specification records provide a vast resource for increased
knowledge and understanding of equipment or asset in use at any particular time and the
advancements made by the military as part of its normal activities. For example, introduction of new
equipment or asset, use of a new type of tank, or advancements in technology brought about by
needs of the military forces. As such they are recommended for retention as public archives.
All other sub-classes in Logistics and Estate are of a routine administrative or operational nature and
of short to medium term business value only. Sub-classes 4.8, 4.9 and 4.10 are recommended for
either destruction or discharge to the appropriate military museum as outlined in section 3.2 of this
report. Sub-classes 4.1, 4.2, 4.4, 4.7 are recommended for destruction.
5.4.3  Disposal recommendations
Information and records recommended for retention as public archives:
Sub-Class No.
Class title
4.3
Logistics and Estate Governance and Strategy
4.5
Design and Specification activities associated with NZDF-owned, Military-
specific vehicles, vessels, aircraft and equipment or asset
4.6
Design, specification, and construction activities associated with NZDF-
owned Estate and Infrastructure

Information and records recommended for destruction:
(Note: Sub-classes 4.8, 4.9 and 4.10 includes records recommended for discharge)
Sub-Class No.
Class title
4.1
Support activities associated with the enablement of Logistics and Estate
4.2
Raw data collected to support enablement of Logistics and Estate

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Sub-Class No.
Class title
4.4
Logistics and Estate Reporting and Performance
4.7
Security system design, specification, and construction associated with
NZDF-occupied Estate and Infrastructure
4.8
Maintenance and Engineering activities associated with NZDF-owned,
Military-specific vehicles, vessels, aircraft and equipment or asset
4.9
Logistics Movements, Transport and Supply activities
4.10
Facilities, Estate, and Infrastructure maintenance and management activities

5.5  Class no. 5 – Information Technology and Information Management
5.5.1  Description
Information Technology and Information Management are the functions that provide services
relating to the creation, use and management of information and records across NZDF in its entirety.
Information Technology is the delivery of technology solutions, and the management and support
which ensures that technology is used to support business needs and processes. Information
Management is the management of the information content, regardless of format, throughout its
life cycle. Many of the standard information technology and information management activities
carried out by NZDF are covered by the GDAs. However, a number of sub-classes have been
identified and included in the NZDF specific disposal schedule to cover gaps in the existing GDAs, or
to express the activities in a manner that is more appropriate to the NZDF environment.
The Information Technology and Information Management class consists of the following sub-classes
of information and records:
•  Support activities associated with the enablement of Information Technology and
Information Management
•  Raw data collected to support enablement of Information Technology and Information
Management
•  Information Technology and Information Management Governance and Strategy
•  Information Technology and Information Management Reporting and Performance
•  Management and oversight of NZDF-specific Information Technology systems and networks
•  Routine Information Technology and Information Management service provision
Sub-class 5.1 Support activities associated with the enablement of Information Technology and
Information Management cover information and records associated with supporting and
administering NZDF Information Technology (IT) and Information Management (IM).
Examples of information and records may include (but are not limited to):

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•  Records for meeting groups/committees/Boards which have no significant influence on the
overall governance or strategy of Intelligence activities (e.g. information preparation and
planning, consultation, and similar)
•  Routine forms and templates
•  Facilitative administrative records such as correspondence, standard information for staff,
travel itineraries, bookings and arrangements, informal advice, inductions, calendars,
announcements, office management and similar
Sub-class 5.2 Raw data collected to support enablement of Information Technology and
Information Management may include data collected or created.
Examples of data may include (but are not limited to):
•  Questionnaires and interview transcripts (except for interview transcripts that relate to
offending, which must be retained for longer than other types of data as it may be relevant
to any appeals or charges etc. See sub-class 1.11 and 1.12)
•  Administrative data
•  System generated data (e.g. routine back-ups, restores and similar)
•  Event logs
•  Cryptographic data (e.g. data using encryption such as KEYMAT (keying material) data)
This class excludes raw data that may be required for evidential and compliance purposes (e.g.
appeals, complaints, inquiries). Such records are covered by classes 1.11 ,1.12 and 1.13.
Sub-class 5.3 Information Technology and Information Management Governance and Strategy
covers information and records documenting activities associated with the overall governance and
strategy of NZDF IT and IM, including:
•  IT and IM governance (including governance boards), significant decisions and approvals
•  Organisation-wide, significant IT and IM requirements, objectives, strategies and
frameworks
Examples of information and records may include (but are not limited to):
•  IT and IM finalised strategies, policies and directives
•  Governance board and committee minutes, approvals, and decisions
Sub-class 5.4 Information Technology and Information Management Reporting and Performance
covers information and records documenting activities associated with the reporting, performance,
and monitoring of NZDF IT and IM activities.
Examples of information and records may include (but are not limited to):
•  IT and IM Policy and Frameworks development (e.g. enterprise architecture frameworks,
metadata standards, and similar)
•  IT and IM processes, procedures, and guidelines (e.g. instructions, standard operating
procedures, and similar)

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•  IT and IM specific reporting which contributes to major NZDF reports (e.g. reporting on IT
and IM audits or reviews)
Sub-class 5.5 Management and oversight of NZDF-specific Information Technology systems and
networks covers information and records documenting activities associated with the management,
oversight and control of NZDF-specific Information Technology systems, networks and assets.
Examples of information and records may include (but are not limited to):
•  Outsourcing arrangements
•  Upgrade documentation
•  Configuration and programming specific to NZDF requirements
•  Testing
•  Technical specifications
•  System audits
•  Certification and accreditation (compliance) of specific information systems and products
Sub-class 5.6 Routine Information Technology and Information Management service provision
covers information and records documenting activities associated with the provision of routine
Information Technology services.
Examples of information and records may include (but are not limited to):
•  Resolved helpdesk support requests
•  Day to day performance reporting
•  IT and IM research requests and advice
5.5.2  Value statement
Information and records of the governance and strategy activities associated with information
technology and information management (sub-class 5.3) provide evidence of accountability for
NZDF management of IT and IM assets and services. NZDF relies heavily on technology to deliver its
core functions. It also views its information as a core asset.  The information and records
documenting the governance decisions and strategic direction of IT and IM activities provide
accountability of NZDF actions. They are therefore recommended for retention as public archives.
All other sub-classes in Information Technology and Information Management are of a routine
administrative or operational nature and of short to medium term business value only. They are
therefore recommended for destruction.
5.5.3  Disposal recommendations
Information and records recommended for retention as public archives:
Sub-Class No.
Class title
5.3
Information Technology and Information Management Governance and
Strategy

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Information and records recommended for destruction:
Sub-Class No.
Class title
5.1
Support activities associated with the enablement of Information
Technology and Information Management
5.2
Raw data collected to support enablement of Information Technology and
Information Management
5.4
Information Technology and Information Management Reporting and
Performance
5.5
Management and oversight of NZDF-specific Information Technology
systems and networks
5.6
Routine Information Technology and Information Management service
provision

5.6  Class no. 6 – Learning, Training and Education
5.6.1  Description
Learning, Training and Education is the function of designing and delivering development courses to
military personnel to enhance their skills and experience. Learning is the process and/or experience
of an individual acquiring new knowledge, skills and understanding as a result of training, and
education. The people, policy, processes, resources and frameworks required to create, deliver and
manage learning are components of the learning system.
Learning, Training and Education is carried out in two ways in NZDF:
•  Individual learning (specific courses intended to train an individual for a particular skill)
•  Collective training (training exercises or scenarios carried out in groups in order to be
prepared for military activities and movements). Collective training involves creating,
replicating or simulating the operational conditions under which collective tasks are
expected to be performed. Collective training encompasses small Single Service team
training through to combined joint task force exercises.
The GDAs cover a number of learning and training activities however, given the scale and complexity
of this function within NZDF, specific classes have been created for Military Learning, Training and
Education activities. Non-military training is covered by the GDAs.
The Learning, Training and Education class consists of the following sub-classes of information and
records:
•  Support activities associated with the enablement of Military Learning, Training and
Education
•  Raw data collected to support enablement of Military Learning, Training, and Education

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•  Military Learning, Training and Education Governance and Strategy
•  Military Learning, Training and Education Reporting and Performance
•  Analysing, designing, and evaluating Individual Military Learning, Training and Education
•  Developing and implementing Individual Military Learning, Training and Education
•  Analysing, designing, and evaluating Collective Military Training and Education
•  Development and implementation of Collective Military Training and Education
Sub-class 6.1 Support activities associated with the enablement of Military Learning, Training and
Education cover activities associated with supporting and administering Military Learning, Training
and Education.
Examples of information and records may include (but are not limited to):
•  Records for meeting groups/committees/boards which have no significant influence on the
overall governance or strategy of Military Learning, Training and Education activities (e.g.
information preparation and planning, consultation, and similar)
•  Routine forms and templates
•  Facilitative administrative records such as correspondence, standard information for staff,
travel itineraries, bookings and arrangements, greetings, informal advice, inductions,
calendars, announcements, office management, and similar
•  Customer service support records such as completed help requests and associated
correspondence
•  Coordinating routine training support such as scheduling times for instruction, booking
rooms; and logistical preparation of training material, resources, equipment or asset, and
supplies (e.g. collating office supplies, printing etc.)
Sub-class 6.2 Raw data collected to support enablement of Military Learning, Training, and
Education may be created or collected.
Examples of data may include (but are not limited to):
•  Questionnaires and interview transcripts (except for interview transcripts that relate to
offending, which must be retained for longer than other types of data as it may be relevant
to any appeals or charges etc. See sub-class 1.11 and 1.12)
•  Research data
•  Administrative data
•  Training attendance rates and trends
Sub-class 6.3 Military Learning, Training and Education Governance and Strategy covers
information and records documenting activities associated with the governance and strategy of
Military Learning, Training and Education, including:
•  Learning, Training and Education governance (including governance boards), Significant
decisions and approvals
•  Organisation-wide, Significant Learning, Training and Education requirements, objectives,
strategies and capability planning
•  Learning, Training and Education frameworks and criteria development

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Examples of information and records may include (but are not limited to):
•  Learning, Training and Education finalised strategies, policies, directives, implementation
plans and approvals
•  Significant Learning, Training and Education designs, frameworks, and scenarios (which are
not course specific)
•  Significant Learning, Training and Education criteria and requirements (including funding
requirements, individual capability requirements, Military capability requirements, and
similar)
•  Governance board and committee minutes, approvals, and decisions
Sub-class 6.4 Military Learning, Training and Education Reporting and Performance covers
information and records documenting activities associated with the reporting, performance, and
monitoring of Military Learning, Training and Education activities. Examples of information and
records may include (but are not limited to):
•  Learning, Training and Education policy development
•  Learning, Training and Education processes, procedures, and guidelines
•  Risk registers
•  Recording and reporting of course outcomes, results and retraining requirements (e.g.
General Course Reports)
•  Assessment and compliance monitoring of trainers
•  Training specific reporting which contributes to major NZDF reports (e.g. the training
component of the Annual Training Commitments directive)
This sub-class excludes Individual Trainee evaluations and course reports as it is expected to be in
the individual personnel record which will be covered by Class 9 once it is developed and submitted
as an amendment to this Schedule.
Sub-class 6.5 Analysing, designing, and evaluating Individual Military Learning, Training and
Education covers information and records documenting activities associated with analysis, design,
development and evaluation of Individual Military training. Activities may include:
•  Assessing the individual training implications of new NZDF capabilities such as equipment or
asset or technologies
•  Significant updates to existing courses and designing new courses
•  Providing advice to capability development projects on the individual training component
•  Establishing scenarios to be used during Individual Military training
•  Ensuring training is in-line with qualification standards and authorities (e.g. New Zealand
Qualifications Authority)
•  Monitoring and implementing of continuous improvement business processes for individual
training
Examples of information and records may include (but are not limited to):
•  Formal, finalised Individual Learning and training proposals, designs and models

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•  Impact analyses and reports regarding new individual training initiatives, ideas, or
technologies on training requirements
•  Syllabi and training plans for specific courses
Sub-class 6.6 Developing and implementing Individual Military Learning, Training and Education
covers information and records documenting activities associated with developing and
implementing Military training to individuals. Types of training may include (but are not limited to):
•  Trades training (electric, mechanical and similar)
•  Rank-specific training (i.e. training that is required to be promoted to a higher military rank)
•  Military-specific training required for enlisted individuals (i.e. weapon specialisation,
gunnery and ammunition, military vehicle driving/flying/navigation courses, military tactics
and warfare strategies, military law awareness)
•  Military-specific individual international and domestic exchanges and other external training
programmes
•  Individual unit training (i.e. training that is carried out by one military unit only)
Examples of information and records may include (but are not limited to):
•  Course materials including plans, outlines and resources
•  Summarised course information including lists of nominations, enrolments and attendance
•  NZDF-produced resources for trainees related to specific individual courses
•  NZDF-produced visual or audio footage related to individual military training which are used
as training resources
•  Specific instructions to the individuals involved in the training regarding attending and
carrying out training (e.g. instructions, orders, requirements for attending training such as
health and safety information or resources trainees need to provide etc.)
This sub-class excludes Individual Trainee evaluations and course reports, as it is expected to be in
the individual personnel record which will be covered by Class 9 once it is developed and submitted
as an amendment to this appraisal report and disposal schedule (i.e. Disposal Authority).
Sub-class 6.7 Analysing, designing, and evaluating Collective Military Training and Education covers
information and records documenting activities associated with analysis, design, development and
improvement of Collective Military training that combines individual skills in a group environment to
provide a collective output. Activities may include:
•  Analysing collective military training directives
•  Determining military collective training and continuation training requirements
•  Designing collective military training plans and integrating  with other arms and Services
•  Development of annual collective military training directives
•  Evaluating collective military training activities
•  Assessing the collective training implications of new NZDF capabilities such as equipment or
asset or technologies.
•  Designing new or significantly updating  collective training activities
•  Providing advice to capability development projects on the collective training component

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•  Establishing scenarios to be used during Collective Military training
•  Monitoring and implementing continuous improvement business processes for collective
training (can be referred to as Lessons Learned)
Examples of information and records may include (but are not limited to):
•  Formal, finalised Collective training proposals, designs and models
•  Formal impact analyses and reports regarding new training initiatives, ideas, or technologies
on training requirements
•  Training back brief e.g. recommended training activity and estimated resources
•  Training directives that includes objectives, commitments, time and resources
Sub-class 6.8 Development and implementation of Collective Military Training and Education
covers information and records documenting activities associated with developing and
implementing Collective Military training that combines individual skills in a group environment to
provide a collective output.
Types of training may include (but are not limited to):
•  Special to Arm training
•  Combined Arms training such as infantry, armour, artillery
•  Joint and Multinational training involves two or more services
•  Pre-deployment training i.e. additional training that reflects the particular circumstances
Examples of information and records may include (but are not limited to):
•  Collective training materials including plans, outlines and resources
•  Summarised collective training information including lists of participating units, and exercise
attendees
•  NZDF-produced resources and documents related to specific collective training activities
•  NZDF-produced visual or audio footage related to Collective Military training
•  Specific instructions to the units involved in the training regarding attending and carrying out
training (e.g. instructions, orders, requirements for attending collective training
exercises/activities such as health and safety information or resources trainees need to
provide etc.)
This sub-class excludes Individual Trainee evaluations and course reports, as it is expected to be in
the individual personnel record which will be covered by Class 9 once it is developed and submitted
as an amendment to this Schedule.
5.6.2  Value statement
Information and records documenting the governance and strategy associated with learning,
training and education activities (sub-class 6.3) provide evidence of accountability for NZDF
management of the learning and education function. Providing training for military personnel
(whether collective or individual) is one of the core aspects of running a military force. It is vital that
NZDF military personnel and non-military staff are trained appropriately for the roles they fulfil. The
information and records documenting the governance decisions and strategic direction of learning,
training and education activities provide accountability of NZDF actions. In addition, such records

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increase our understanding and knowledge of different practices, approaches and ways in which
personnel may have been trained over the years which directly impacts the effectiveness of our
military, their role in society and how they perform. They are therefore recommended for retention
as public archives.
All other sub-classes in Learning, Training and Education are of a routine administrative or
operational nature and of short to medium term business value only. Sub-class 6.1 is recommended
for either destruction or discharge to the appropriate military museum as outlined in section 3.2 of
this report. Sub-classes 6.2, 6.4, 6.5, 6.6, 6.7, 6.8 are recommended for destruction.
5.6.3  Disposal recommendations
Information and records recommended for retention as public archives:
Sub-Class No.
Class title
6.3
Military Learning, Training and Education Governance and Strategy

Information and records recommended for destruction:
(Note: Sub-class 6.1 includes records recommended for discharge)
Sub-Class No.
Class title
6.1
Support activities associated with the enablement of Military Learning,
Training and Education
6.2
Raw data collected to support enablement of Military Learning, Training,
and Education
6.4
Military Learning, Training and Education Reporting and Performance
6.5
Analysing, designing, and evaluating Individual Military Learning, Training
and Education
6.6
Developing and implementing Individual Military Learning, Training and
Education
6.7
Analysing, designing, and evaluating Collective Military Training and
Education
6.8
Development and implementation of Collective Military Training and
Education

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5.7  Class no. 7 – Capability and Development
5.7.1  Description
Capability and Development is the function of researching, defining, and acquiring NZDF capabilities,
introducing them into service, overseeing their review and assessment, and planning for further
long-term capability development. ‘Capabilities’ are assets, programmes and projects which enable
and enhance NZDF to execute the activities they are directed by government to undertake. They can
include having capable military vehicles, vessels and aircraft, having capable technology
infrastructure and hardware, having a capable Force of personnel who are adequately trained and
ready for deployment, or having adequate core facilities and building infrastructure to carry out
military activities.
NZDF are involved in or carry out two different types of capability projects – Defence-led and NZDF-
led projects.
For Defence-led projects the Secretary of Defence leads and is accountable for the policy and
strategy, capability definition and capability delivery phases of the capability life cycle. The
information and records generated through those phases of the Defence-led projects are managed
by the Ministry of Defence and are covered by their disposal schedule. The Chief of Defence Force
leads and is accountable for the development of the capability concept documents, the introduction
into–service, operating that capability in service, and disposal phases of the capability life-cycle for
Defence-led projects and therefore the NZDF schedule covers the information and records
generated in those phases of the life-cycle which are typically operated as separate projects in their
own right. Some information and records are transferred from the Ministry to NZDF as the capability
life-cycle progresses. Note that NZDF personnel will be assigned to Defence-led project teams in
parts of the life cycle for which the Secretary of Defence is accountable. Therefore any financial or
personnel information pertaining to NZDF should be covered by the NZDF schedule.
For NZDF-led projects, NZDF is responsible for all aspects of the projects. This may include projects
relating to some aspect of building or maintaining New Zealand’s Defence capability, or it may relate
to more corporate projects such as office-moves.
The Capability and Development class consists of the following sub-classes of information and
records:
•  Support activities associated with the enablement of Capability and Development
•  Raw data collected to support enablement of Capability and Development
•  Capability and Development Governance, Strategy and Planning
•  Capability and Development Reporting and Performance
•  Consequential research, development and innovation
•  Standard research, development and innovation
•  Project Management activities associated with consequential capability investment
•  Project Management activities associated with standard capability investment
To avoid the potential for confusion in Class 7, the word significant has not been used as it has been
in other classes. The word consequential is used instead to describe the projects that have archival
value, rather than significant. This is because within NZDF use of the word significant in relation to

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capability projects was previously used to denote Defence-led projects which are actually covered by
the Ministry of Defence disposal schedule for the relevant life cycle phases.
Sub-class 7.1 Support activities associated with the enablement of Capability and Development are
those activities associated with supporting and administering Capability and Development.
Examples of information and records may include (but are not limited to):
•  Records for meeting groups/committees/boards which have no significant influence on the
overall governance or strategy of Capability and Development activities (e.g. information
preparation and planning, consultation and similar)
•  Routine forms and template
•  Facilitative administrative records such as correspondence, standard information for staff,
travel itineraries, bookings and arrangements, informal advice, inductions, calendars,
announcements, office management, project finance support and status reporting, risk and
issue management, stakeholder liaison, contact lists and similar
Sub-class 7.2 Raw data collected to support enablement of Capability and Development may be
created or collected.
Examples of data may include (but are not limited to):
•  Questionnaires and interview transcripts (except for interview transcripts that relate to
offending, which must be retained for longer than other types of data as it may be relevant
to any appeals or charges etc. See sub-class 1.11 and 1.12)
•  Research data
•  Scientific data
•  Administrative data
•  Geospatial and imagery data
•  Hydrographic survey data
Sub-class 7.3 Capability and Development Governance, Strategy and Planning covers information
and records documenting activities associated with the governance, strategy, and planning of
Capability and Development including:
•  Capability Project Board records
•  Organisation-wide capability requirements, objectives, strategies, capability planning
Examples of information and records may include (but are not limited to):
•  Decisions and approvals
•  Capability finalised strategies and directives
•  Analysis, agreements, and reports related to Capability development
•  Plans and approvals related to significant NZDF-led projects

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Sub-class 7.4 Capability and Development Reporting and Performance covers information and
records documenting activities associated with the reporting, performance and monitoring of
Capability and Development, including oversight of the implementation of NZDF strategy into
programmes and projects.
Examples of information and records may include (but are not limited to):
•  Capability and Development Policy development
•  Capability and Development processes, procedures, and guidelines
•  Capability and Development specific reporting which contributes to major NZDF reports
•  Risk registers
•  Portfolio reporting
•  Service and Operational service level agreements
Capability and Development research, development and innovation information and records have
been split into two sub-classes covering Strategic and Standard.
Sub-class 7.5 Strategic research, development and innovation covers information and records
documenting activities associated with organisation-wide research, development and business
improvement initiatives including:
•  Development and oversight of strategic scientific and technology research;
•  Significant 'blue sky' thinking and development for Defence future force capabilities,
innovations and operational concepts
Examples of information and records may include (but are not limited to):
•  Internal organisational development surveys e.g. PULSE survey
•  Future Concepts papers
•  Stakeholder consultation documents
•  Agreements with other organisations regarding innovation, research and experimentation
such as universities
Sub-class 7.6 Standard research, development and innovation covers information and records
documenting standard research, development and business improvement initiatives including:
•  Development and oversight of routine scientific and technology research
•  Analysis of routine research initiatives
Examples of information and records may include (but are not limited to):
•  Research reports and analysis
•  Stakeholder consultation documents
Information and records associated with Project management activities associated with Capability
Investment have been split into two sub-classes, one covering the project management of
consequential projects and programmes and the other covering the project management of
standard projects and programmes.

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Sub-class 7.7 Project Management activities associated with consequential capability investment
covers information and records documenting projects and programmes that deliver consequential
capability to NZDF (includes both NZDF-led capability projects and corporate projects).  Projects and
programmes considered to be consequential typically involve significant change/innovation,
elevated risk, large capital expenditure and/or have high public interest.
Examples of consequential projects may include (but not limited to):
•  Purchase of new weapons
•  Redesign of camps and bases
•  Full service uniform redesign
•  Purchase of underwater diving equipment
Sub-class 7.8 Project Management activities associated with standard capability investment covers
information and records of projects and programmes delivering standard capability. Such projects
typically involve standard change/innovation, routine risk and capital expenditure. Examples may
include (but not limited to):
•  Document management system implementation
•  Office moves
•  Standard equipment or asset replacement Project Management activities associated with
standard capability investment
Examples of information and records for either type of programme or project (consequential or
standard) may include (but are not limited to):
•  Assessment and analysis reports
•  Business cases
•  Funding bids and appropriations
•  Finance budgets
•  Memorandums of Understanding
•  Requests for proposals and associated evaluation
•  Project planning
•  Project reporting
•  Project assurance and audit reports
•  Quality and risk assurance
•  Minutes of decisions made
•  Approvals and authorisations
•  Project closure report
5.7.2  Value statement
Information and records of the governance and strategy and planning associated with capability and
development activities (sub-class 7.3) provide evidence of accountability for NZDF management of
the capability and development function. Improving NZDF capabilities through continued
development requires strategic oversight and a significant investment from the government. The
governance, strategy and planning records provide evidence of the decisions made regarding

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investment, capability and development priorities, risks and outcomes at a strategic level. They are
therefore recommended for retention as public archives.
The information and records of strategic research, development and innovation, and the project
management records of consequential investment projects (sub-classes 7.5 and 7.7) provide
evidence of how NZDF managed consequential initiatives and projects. They provide accountability
for the funds used, the projects undertaken and their success and outcomes. Consequential projects
are those that are also likely to generate a high degree of public interest. They will have potential
research value for historians and those seeking to understand and gain knowledge about the work of
NZDF and how it may impact on society and the enhancement of New Zealand’s military forces.
These records are therefore recommended for retention as public archives.
All other sub-classes in Capability and Development are of a routine administrative or operational
nature and of short to medium term business value only. They are therefore recommended for
destruction.
5.7.3  Disposal recommendations
Information and records recommended for retention as public archives:
Sub-Class No.
Class title
7.3
Capability and Development Governance, Strategy and Planning
7.5
Strategic research, development and innovation
7.7
Project Management activities associated with consequential capability
investment

Information and records recommended for destruction:
Sub-Class No.
Class title
7.1
Support activities associated with the enablement of Capability and
Development
7.2
Raw data collected to support enablement of Capability and Development
7.4
Capability and Development Reporting and Performance
7.6
Standard research, development and innovation
7.8
Project Management activities associated with standard capability
investment

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5.8  Class no. 8 – Finance
5.8.1  Description
Finance is the function of planning and managing NZDF financial resources to ensure NZDF has the
financial resources it requires, utilises them wisely and can be accountable for financial decisions.
GDA6 Class 4 applies and will be utilised to provide disposal decisions for common corporate records
pertaining to finance activities. The sub-classes for Finance therefore cover activities that are not
fully or appropriately covered by the GDAs, for NZDF purposes.
The Finance class consists of the following sub-classes of information and records:
•  Financial Support activities associated with the enablement of NZDF Finance
•  Raw data collected to support enablement of NZDF-specific Finance
•  Standard management activities associated with Operations-specific Finance
•  Support activities associated with the enablement of Operations-specific Finance
•  Management of NZDF Non-Public Funds
•  Significant, NZDF-specific tendering and procurement
•  Significant, NZDF-specific contract management
Sub-class 8.1 Financial Support activities associated with the enablement of NZDF Finance are
those activities associated with supporting and administering NZDF Finance organisation-wide.
Activities associated with the governance, strategy, and planning of NZDF Finance are covered by
sub-classes 1.3 and 1.4. Financial reporting and performance activities are covered by GDA6.
Examples of information and records may include (but are not limited to):
•  Records for Finance meeting groups and committees which have no significant influence on
the overall management of the Operation (e.g. information preparation and planning,
consultation, and similar)
•  Routine forms, templates and guidelines
•  Routine facilitative administrative records such as standard information for staff, travel
itineraries, bookings and arrangements, greetings, informal advice, inductions, calendars,
announcements, office management and similar
•  Financial advice and correspondence to individuals and units such as cost-centre allocations,
how to do budgets, financial templates and processes etc
•  Liaison and coordination with contractors and vendors regarding financial matters
Sub-class 8.2 Raw data collected to support enablement of NZDF-specific Finance may be created
or collected.
Examples of data may include (but are not limited to):
•  Questionnaires and interview transcripts (except for interview transcripts that relate to
offending, which must be retained for longer than other types of data as it may be relevant
to any appeals or charges etc. See sub-class 1.11 and 1.12)
•  Research data
•  Administrative data

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•  Time series data
•  Financial forecasting data
There are two classes that relate to the financial activities that relate to Operations. Although these
types of activity may technically be covered by GDA6, these sub-classes have been included in this
schedule (with a different trigger than GDA6), as it helps provide the complete picture of records
associated with an Operation, which NZDF may need to identify easily in the future. One sub-class
covers financial management level activities and the other covers support and routine financial
activities.
Sub-class 8.3 Standard management activities associated with Operations-specific Finance
Examples of management level information and records may include (but are not limited to):
•  Operations finance policy documents
•  Finalised budget bids
•  Finalised request for funds
For any records for Finance meeting groups or committees which have influence on the decision
making of an Operation, refer to sub-class 3.3.
Sub-class 8.4 Support activities associated with the enablement of Operations-specific Finance
Examples of information and records considered to be of a support or routine level may include (but
are not limited to):
•  Records for Operations Finance meeting groups and committees which have no Significant
influence on the overall management of the Operation (e.g. information preparation and
planning, consultation, and similar)
•  Cashbooks
•  Invoices, receipts, cash and banking activities in relation to equipment or asset, goods and
services purchased in support of an Operation
•  Funding and task trackers
•  Operations budget estimates and budget build documentation.
•  Financial costing and assumption documents including briefings to NZDF Chief Financial
Office
•  Financial delegations register
•  Waivers/write-off of debt and debt recoveries for NZDF supplied goods and services during
Operations
•  Contingent/deployment financial liability documents related to an operation
•  Authorisations for procurement or acquisition where there is an urgent operational
requirement
•  Management of special accounts used for operations (e.g. foreign accounts)
•  Payments to foreign forces
•  Management of donations and gifts, including presenting, receiving and disposal during a
Military Operation

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•  Acquisition/procurement of equipment or asset, goods and services where there has been
no tendering, includes agreements, arrangements or contracts with foreign forces,
organisations and commercial providers
Sub-class 8.5 Management of NZDF Non-Public Funds covers activities where there is a need to
manage finances that have not been allocated to NZDF as part of public funds. Non-Public funds are
authorised under Section 58 of the Defence Act 1990 and established under Chapter 14 of DFO 1 and
in respective Service Orders and Regulations. They do not include funds held within trusts, such as
museums or those established under different acts of parliament, such as the Armed Forces Canteen
Council.
Examples include:
•  Service sports and culture clubs
•  RNZAF Central fund and base welfare funds
•  Corps and regimental funds
•  Non-public elements of messes and garrison clubs
•  Motel and leave centre funds, and benevolent funds and grants
Examples of information and records may include (but are not limited to):
•  Unit fund constitutions
•  Memberships
•  Meeting minutes
•  Financial and Audit reports
•  Internal management checks and reports
•  Stocktaking and inventory management
•  Disestablishment approvals
•  Purchase orders and other financial documents
•  Banking records and investment records
•  Property and asset ownership or transfer of ownership records
•  Grant applications and approvals
Sub-class 8.6 Significant, NZDF-specific tendering and procurement covers activities associated with
Significant NZDF-specific tendering and procurements related to significant Military acquisitions.
Tendering and procurement at this level typically involve Military acquisitions which are associated
with significant change/innovation, elevated risk and/or large capital expenditure and require
approval/sign off at an Executive Senior Leadership Board or Committee Level.
Examples of information and records may include (but are not limited to):
•  Final approved successful tenders
•  Signed off approvals for procurement activities, such as specification requirements, terms
and conditions
•  Significant drafts which impact the outcome of Significant tenders, procurements or
contracts

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•  Meeting minutes, decision documents and approvals from relevant Executive Leadership
board which impact on the procurement, tendering or contract being decided upon
Sub-class 8.7 Significant, NZDF-specific contract management covers activities associated with
Significant NZDF-specific contracts related to significant Military acquisitions. Contracts at this level
typically involve Military acquisitions which are associated with significant change/innovation,
elevated risk and/or large capital expenditure and require approval/sign off at an Executive Senior
Leadership Board or Committee Level.
Examples of information and records may include (but are not limited to):
•  Final approved contracts
•  Signed off approvals for procurement activities, such as specification requirements, contract
terms and conditions
•  Significant drafts which impact the outcome of significant contracts
•  Meeting minutes, decision documents and approvals from relevant Executive Leadership
board which impact on the procurement, tendering or contract being decided upon
5.8.2  Value statement
Information and records of significant NZDF specific tendering, procurement and contract
management (sub-classes 8.6 and 8.7) provide evidence of how NZDF is accountable for significant
purchasing and contracting activities. With the annual budget and investment required for large
scale purchasing (e.g. new aircraft for the Air Force) these records provide accountability for how the
decision to purchase or award contracts were made and then once made, how the contracts were
managed with suppliers. As such they are recommended for retention as public archives.
All other sub-classes in Finance are of a routine administrative or operational nature and of short to
medium term business value only. They are therefore recommended for destruction.
5.8.3  Disposal recommendations
Information and records recommended for retention as public archives:
Sub-Class No.
Class title
8.6
Significant, NZDF-specific tendering and procurement
8.7
Significant, NZDF-specific contract management

Information and records recommended for destruction:
Sub-Class No.
Class title
8.1
Financial Support activities associated with the enablement of NZDF Finance
8.2
Raw data collected to support enablement of NZDF-specific Finance

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Sub-Class No.
Class title
8.3
Standard management activities associated with Operations-specific Finance
8.4
Support activities associated with the enablement of Operations-specific
Finance
8.5
Management of NZDF Non-Public Funds
6  Access restrictions
Section 43 (1) of the Public Records Act requires that public records that have been in existence for
25 years  (or about to be transferred to the control of the Chief Archivist), are declared to be either
open access records or restricted access records.
It is expected that some information and records covered by this disposal schedule that are
transferred to Archives New Zealand will be transferred with restricted access. However, specific
access restrictions will be formally agreed at time of transfer of any records under this disposal
schedule. Classes where restricted access is expected are noted in the table below.
Class  Title
Restriction Period
Reason for restriction
1.7
Significant Legal Advice and Counsel
70 years after
Legal privilege and
associated with Operations
Operation is completed
national security
1.9
Significant Legal Advice and Counsel
70 years after
Legal privilege and
associated with all NZDF activities
Operation is completed
national security
(excluding Operations)
1.11
Serious or significant Military good
70 years after
Personal privacy and
order and/or discipline
inquiry/investigation is
maintaining the rule of
complete
law
2.3
Intelligence Governance and
70 years after last
National security
Strategy
information entry date
2.4
Intelligence Planning and Guidance
70 years after last
National security
information entry date
2.5
Intelligence Preparation and
70 years after last
National security
Presentation
information entry date
2.6
Security Governance, Strategy and
70 years after last
National security
Planning
information entry date

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Class  Title
Restriction Period
Reason for restriction
2.10
Major security violations and
70 years after
Personal privacy and
incidents
investigation complete
national security
3.3
Command and Control activities for
70 years after
Personal privacy and
significant Operations
Operation is completed
national security
3.4
Planning activities for significant
70 years after
Personal privacy and
Operations
Operation is completed
national security
3.5
Preparation activities for significant
70 years after
Personal privacy and
Operations
Operation is completed
national security
3.6
Deployment, redeployment and
70 years after
Personal privacy and
conduct activities during significant
Operation is completed
national security
Operations
3.7
Post-deployment analysis and
70 years after
Personal privacy and
reporting activities for significant
Operation is completed
national security
Operations
3.8
Command and Control activities for
70 years after
Personal privacy and
standard or routine Operations
Operation is completed
national security
4.5
Design and specification activities
70 years after
Personal privacy and
associated with NZDF-owned
Operation is completed
national security
military-specific vehicles, vessels,
aircraft and equipment or asset, if
the record relates to equipment or
assets to do with significant
Operations
4.6
Design, specification, and
70 years after
Personal privacy and
construction activities associated
Operation is completed
national security
with NZDF-owned Estate and
Infrastructure, if the record relates
to estate and infrastructure to do
with significant Operations
8.6
Significant, NZDF-specific tendering
10 years after tender or  Commercial confidence
and procurement
procurement activity
has ceased

70 years after
Personal privacy and
completion of
national security
Operation if the record
relates to significant

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Class  Title
Restriction Period
Reason for restriction
procurement to do with
significant Operations
8.7
Significant, NZDF-specific contract
10 years after contract
Commercial confidence
management
has expired/ceased

70 years after
completion of
Personal privacy and
Operation if the record
national security
relates to significant
contract management
to do with significant
Operations

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Appendix One - Internal consultation
Listed below is all staff that were consulted with or were part of internal approval processes during
the development of the disposal schedule.

Name
Class
Role
s. 9(2)(a)
Disposal schedule
NZDF Records Consultant (former), KIMD
author
Disposal schedule
NZDF Records Consultant (former), KIMD
author
General – all sections
NZDF Director Records Management (former), KIMD
General – all sections
NZDF Information Consultant, KIMD
General – all sections
KIMD Delivery Enabler
General – all sections
Acting Director Information Lifecycle Management
(former), KIMD
General – all sections
Director Information Lifecycle Management, KIMD
Information
NZDF Records Architect
Management
Information
NZDF Records Consultant (former)
Management
Information
NZDF Director ECM (former)
Management
Information
NZDF Chief Data Officer
Management
Information
Director Information Strategy and Governance
Management
General – all sections
Director Strategy Execution - Air Staff
General – all sections
Information Manager Navy
General – all sections
Chief of Staff - Army General Staff
General – all sections
Project Manager (Digital Information), Future HQ
General – all sections
Records Manager – Defence Shared Services Group
(DSSG)
General – all sections
Information Manager Ministry of Defence (MoD)
(former)
General – all sections
Information Manager MoD (former)
General – all sections
Information Advisor MoD
General – all sections
Royal New Zealand Air Force (RNZAF) Museum
Director (former)
General – all sections
Research Curator - RNZAF Museum
General – all sections
Director Strategy Execution - Air Staff (former)
General – all sections
Assistant Director Corporate Support Air Force
General – all sections
Director of Programme Management Office
General – all sections
Project Support Manager
General – all sections
Information Advisor Central Registry
General – all sections
Director Coordination (Navy)
General – all sections
Financial Controller

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Name
Class
Role
s. 9(2)(a)
General – all sections
Executive Officer OCDF
General – all sections
Portfolio Business Manager - PCP
General – all sections
Performance Manager - Air Staff
General – all sections
Senior Officer External Information Requirements -
Air Staff
General – all sections
Chief Of Staff Defence Logistics Command
General – all sections
Director Supply Chain Management
General – all sections
Chief Of Staff Defence Health
General – all sections
Future Technology Programme Manager – Joint
Defence Service (JDS)
General – all sections
Staff Officer to Chief Information Officer
General – all sections
Chief of Staff JDS
General – all sections
Chief of Staff Joint Support Component Command
General – all sections
Director - Industry Engagement - JDS
General – all sections
Defence Relationship Manager Auckland
General – all sections
Principal Advisor – Defence Security (DSY)
General – all sections
Deputy Director NZDF Cyber – Defence Information
Systems (DIS)
General – all sections
Director Business Futures Group JDS
General – all sections
Chief of Staff DCS
General – all sections
Provost Marshall
General – all sections
Defence Business Assessment Manager
General – all sections
Joint Defence Services – Policy Group
Data
Solution Manager - Defence Strategy Management
(DSM)
Data
NZDF Principal Data and Analytics
Data
Principal Advisor Organisational Research
Data
Science Researcher – Defence Technology Agency
(DTA)
Data
Director – DTA
Data
Strategic Advisor – Office of Chief of Defence Force
(OCDF)
Command &
Legal
Planning/Data
Command & Planning Court of Inquiry Administrator
Command & Planning Workplace Health & Safety Advocate - Directorate
of Safety

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Name
Class
Role
s. 9(2)(a)
Command &
Inspector General – HQ Joint Forces (HQJF)
Planning/Operations
Command & Planning  Principal Governance Advisor - DSM
Command & Planning  Senior Risk Advisor – DSM
Command & Planning  Assistant Inspector General (Defence)
Command & Planning  Senior Advisor Heritage – Defence Public Affairs
(DPA)
Command & Planning  Business Performance & Data Analyst – DPA
Command & Planning  Principle Advisor Planning & Monitoring – DPA
Command & Planning  Director Defence Attaches – Strategic Commitments
and Engagement Branch (SCEBR)
Command & Planning  Executive Officer Directorate of Safety
Command &
Joint Exercise & Activity Planner – HQJF
Planning/Training
Command & Planning  Deputy Director Personnel Law
Command & Planning   Legal Advisor, Joint (Operations) – HQJF
Command & Planning  Military Police Operations Warrant Officer
Intelligence &
Information Coordinator - NZDF Intelligence
Security
Intelligence &
Information Coordinator - NZDF
Security
Intelligence/Information Advisor MoD
Intelligence &
Director Strategic Intelligence
Security
Intelligence &
Team Leader Security Policy
Security
Intelligence &
Team Leader Security Risk and Assurance
Security
Intelligence &
Information Coordinator - NZDF Intelligence
Security
Intelligence &
Chief Information Security Officer
Security
Intelligence &
Principal Advisor Cyber
Security
Intelligence &
Deputy Director Cyber Security
Security
Intelligence &
Cyber Security contractor
Security

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Name
Class
Role
s. 9(2)(a)
Intelligence &
Team Leader Counter Intelligence
Security
Intelligence &
Team Lead Security Incident Response Centre
Security
Operations
Office Coordinator – SCEBr
Operations
DA and Support Services Office Coordinator – SCEBr
Operations
Senior Financial Advisor – HQJF
Operations
Information Architect – HQJF
Operations
Warrant Officer 1 Brigade
Operations
Personnel Officer - Deployable Joint Inter-Agency
Task Force
Operations
OpSIS Trade Lead
Operations
S1 (Personnel) – NZ Special Air Service (NZSAS)
Logistics
Operations Manager - Directorate of Engineering
and Technical Airworthiness (DETA)
Logistics
Engineering Planning Manager – Logistics Command
Maritime (LCM)
Logistics
Manager Engineering Services - Logistics Command
Land (LCL)
Logistics
Business and Resource Manager - Defence Logistics
Command (DLC)
Logistics
40Sqn Operations Officer - Air Force
Logistics
Principal Advisor Logistics Engagement
Logistics
Facilities Support Team Leader – Defence Estate and
Infrastructure (DEI) Ohakea
Logistics
Asset Management Officer Central - DEI Ohakea
Logistics
Technical Combat Systems NZDF Regulatory – Navy
Logistics
Aviation Fuels Technical Authority
Logistics
RNZAF Armament Technician at Defence Explosives
Ordnance School
Logistics
Production Planner Material Support Wing Ohakea
Information
Information Manager – Communications and
Technology
Information Systems (CIS)
Information
Applications & Database Services Manager
Technology
Information
Air Communications and Information Systems
Technology/Data
Training
Artificer Weapons Training Wing Manager – Army
Training
Learning Information Systems Administrator – NZ
Defence College (NZDC)
Training
Project Officer – NZDC
Training
Senior Policy & Planning Analyst – NZDC

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Name
Class
Role
s. 9(2)(a)
Training
Staff Training Officer - Air Force
Capability
Branch Information Manager – Capability Branch
(CAPBR)
Capability
MoD Capability
Capability
Deputy Director Doctrine
Capability
Programme Delivery Manager - NZDF Internal
Projects - CAPBR
Capability
Executive Support Coordinator – CAPBR
Capability
P3M System Support Manager – CAPBR
Capability
Portfolio and Project support – Knowledge and
Information Management Directorate (KIMD)
Capability
Former Portfolio Manager – KIMD
Capability
Deputy Director Defence Excellence Continuous
Improvement – DSM
Capability
Senior Information Advisor, Capability Branch
Capability
Practice and Support Manager, Capability Branch
Finance
Senior Financial Analyst Budget and Forecasting
Finance
Operating Model Design – People Capability
Portfolio (PCP)
Finance
Assistant Director Welfare – Army General Staff
Finance
Corporate Support Airbank – Air Staff
Finance
Senior Financial Advisor – HQJF
Finance
Commercial Information Manager – Defence
Commercial Services (DCS)
Finance
Business Support Officer – DCS
Finance
Contracts Specialist – DCS
Ministry of Defence
Senior Information Advisor
Ministry of Defence
Director (Ministerial and Executive Services)

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Appendix Two – External consultation
Listed below are all organisations that were invited to provide input on the development of the
disposal schedule.
Name
Role
Organisation
s. 9(2)(a)
Director of Centre for
Centre for Strategic Studies, Victoria University of
Strategic Studies
Wellington
Senior Lecturer
Centre for Defence and Security Studies, Massey
University
General Manager
Records and Information Management Specialists
Australasia (RIMPA)
Information
National Institute of Water and Atmospheric
Management Analyst
Research (NIWA)
Deputy Head of
Veterans Affairs New Zealand
Veterans Affairs
Information Manager
Government Communications Service Bureau
(GCSB)
Information Manager
NZ Security and Intelligence Service (NZSIS)
Manager, Information  NZ Police
and Knowledge
Manager, Information  Ministry of Foreign Affairs and Trade (MFAT)
and Analytics
Records Management  Treasury / Central Agencies Shared Services
Advisor
Information
Ministry of Primary Industries (MPI)
Management Practice
Lead
Business and
Maritime NZ
Information Systems
Lead
Information Services
Civil Aviation Authority
Manager
Information and
Office of the Ombudsman
Knowledge
Management
Manager
Manager Information
Office of the Auditor General
Management
Historian
New Zealand Professional Historians Association
Information & Privacy  NZ Customs & National Maritime Coordination
Officer
Centre
[Not assigned]
Office of the Privacy Commissioner
Chairperson
Archives and Records Association New Zealand
(ARANZ)

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Caveat
Refer to any sentencing guidelines accompanying this report for specific recommendations:
➢  Records must be kept for the minimum period specified.
➢  The retention periods in the disposal schedule do not override any other retention period
required by law.
➢  Records may be destroyed at any point once the minimum retention periods have passed.
Records do not have to be destroyed; the agency may keep them for longer if required.
➢  No disposal action may be taken under this authority to any record in respect of which an
OIA request has been made under the Official Information Act 1982 until such time as
access has been granted to the requestor, or in the case where access is denied, an appeal
against refusal has been determined or, in the case where no appeal is made, 3 months
after the refusal.
A Discharge Authority Form (for the disposal of public records under section 20 (1) (e) of the
Public Records Act 2005) must be completed by the New Zealand Defence Force and
authorised by the Chief Archivist before any discharge of records can take place.
Conditions of discharge (as in s25(1) of the Public Records Act):
➢  The New Zealand Defence Force agrees to the discharge recommendations set out in the
appraisal report and disposal schedule of the records specified.
➢  The discharge of the records is consistent with the principles of the Privacy Act 2020.
➢  The records are open access records, not in current use and not subject to a request under
the Official Information Act 1982.
➢  The person to whom a public record is to be discharged is not a Minister of the Crown, the
Chief Archivist, an employee of Archives New Zealand, a member of the Archives Council, or
an employee of the controlling public office i.e. the New Zealand Defence Force.
This authority is valid for a period of 10 years from date of signing, unless previously agreed
with the Chief Archivist.

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