Archives New Zealand s response to you OIA2425 0593 Non Compliance with the Public Records Act by Government Agencies.pdf

  21 Huitānguru 2025
Te Rua Mahara o te Kāwanatanga Archives New Zealand,
10 Mulgrave Street, Wel ington
Phone +64 499 5595
Lance D. Lavery
Websites www.archives.govt.nz
fyi-request-29559-
www.dia.govt.nz
[email address]
E te rangatira e Lance, tēnā koe
Non-Compliance with the Public Records Act by Government Agencies
Thank you for your email, received on 15 December 2024 requesting information about
compliance with the Public Records Act 2005 (PRA) and related statutory obligations across
government agencies under the Official Information Act 1982 (the Act).
You have requested:
I am requesting information under the Official Information Act 1982 about compliance
with the Public Records Act (PRA) and related statutory obligations across government
agencies. This request seeks to understand the trends, scope, and actions associated with
PRA non-compliance over the past decade.
Specifically, I request the following information:
1.  Annual Data on PRA Non-Compliance: A year-by-year breakdown of identified
instances of PRA non-compliance over the last 10 years.
2.  Categories of Non-Compliance: A detailed breakdown of non-compliance types
(e.g. missing records, inaccessible records, or failures to document decision-making
processes).
3.  Agency-Specific Data: A list of the agencies where non-compliance was reported,
including details of corrective or enforcement actions taken.
4.  Oversight and Audits: Copies of internal reviews, audits, or oversight reports
addressing trends in PRA non-compliance.
5.  Recommendations and Implementation Status: Details of recommendations
provided to agencies to address non-compliance issues and their current
implementation status.
On 28 January, we emailed you to extend the time available to respond to your request
under section 15A(1)(b) of the Act by 14 working days to 24 February 2025. Please see our
response below.
Kia pono ai te rua Mahara – Enabling trusted government information
Auckland Regional Office, 95 Richard Pearse Drive, Mangere, Auckland
Christchurch Regional Office, 15 Harvard Avenue, Wigram, Christchurch
Dunedin Regional Office, 556 George Street, Dunedin

1.  Annual Data on PRA Non-Compliance: A year-by-year breakdown of identified
instances of PRA non-compliance over the last 10 years.
2.  Categories of Non-Compliance: A detailed breakdown of non-compliance types
(e.g. missing records, inaccessible records, or failures to document decision-making
processes).
3.  Agency-Specific Data: A list of the agencies where non-compliance was reported,
including details of corrective or enforcement actions taken.
Please see the information requested at Appendix A.
Te Rua Mahara o te Kāwanatanga Archives New Zealand (Te Rua Mahara) is sometimes
asked to comment on recordkeeping issues as part of investigations undertaken by the
Office of the Ombudsman.
Please note that under section 2(i) of the OIA, official information does not include
information contained in any correspondence or communication which has taken place
between the office of the Ombudsmen and any public service agency or Minister of the
Crown or organisation and which relates to an investigation conducted by an Ombudsman
under the OIA or under the Ombudsmen Act 1975, other than information that came into
existence before the commencement of that investigation.
Accordingly, any instances where Te Rua Mahara has provided comment on recordkeeping
practices as part of an Ombudsman investigation has not been included as in scope of your
request.
4.  Oversight and Audits: Copies of internal reviews, audits, or oversight reports
addressing trends in PRA non-compliance.
The annual Report on the State of Government Recordkeeping includes information on
trends in government recordkeeping, including compliance with the Public Records Act
2005. The reports can be viewed at https://www.archives.govt.nz/about-
us/publications/report-on-the-state-of-government-recordkeeping.
The current round of audit reports (2020/21-2024/25) have been published on our website,
and can be viewed at https://www.archives.govt.nz/manage-information/how-we-
regulate/monitoring-and-audit/audit/audit-reports. These measure information
management maturity for individual public offices. As the audit is not a compliance audit, it
does not produce overal  trends in PRA non-compliance.
There are 29 audit reports from the 2010/11 to 2014/15 audit programme that are within
the scope of the last decade. These are attached as a zip file.
Some information has been withheld under section 6(c), as the making available of that
information would be likely to prejudice the maintenance of the law, including the
prevention, investigation, and detection of offences, and the right to a fair trial.
Page 2 of 31

Information has also been withheld under section 9(2)(ba)(i) and (i ), to protect information
which is subject to an obligation of confidence or which any person has been or could be
compelled to provide under the authority of any enactment, where the making available of
the information (i) would be likely to prejudice the supply of similar information, or
information from the same source, and it is in the public interest that such information
should continue to be supplied, and (ii) would be likely otherwise to damage the public
interest.
As required by section 9(1) of the Act, where information has been withheld under section 9
I have considered whether the grounds for withholding information are outweighed by
other considerations which would make it desirable, in the public interest, to make that
information available. In this instance, I do not consider that to be the case.
A table of documents released and applied redaction grounds under the Act has been
attached as Appendix B.
5.  Recommendations and Implementation Status: Details of recommendations
provided to agencies to address non-compliance issues and their current
implementation status.
Appendix A contains information on recommendations provided to public offices and local
authorities as part of compliance assessments, and information on implementation if it is
available. Recommendations are not given an ‘implementation status’ in our processes of
managing compliance with the PRA. This information is unable to be provided under section
18(e) of the Act, that the document al eged to contain the information requested does not
exist or, despite reasonable efforts to locate it, cannot be found.
The audit programme gives Te Rua Mahara an insight into the information management
maturity of an organisation but is not a compliance audit. The audit produces a report of the
organisation with a letter from the Chief Archivist identifying priority recommendations.
Audit reports can be viewed at https://www.archives.govt.nz/manage-information/how-we-
regulate/monitoring-and-audit/audit/audit-reports.
These priority recommendations are fol owed up with the organisation over a period of two
years but are not given an ‘implementation status’.
You can find more about our audit process here at  https://www.archives.govt.nz/manage-
information/how-we-regulate/monitoring-and-audit/audit/audit-of-public-office-
recordkeeping.
Please contact [email address] if you have any questions about this response. I note you
have requested to meet with me to discuss record losses; if you could provide my team with
more information on what in particular you wish to discuss, they may be able to assist.
Where our response provides information that is identified to be of public interest, the
response may also be published on the Department of Internal Affairs website. If we publish
our response to your OIA request, all personal information, including your name and contact
details, will be removed.
Page 3 of 31

You have the right under section 28 of the Act to seek an investigation and review by the
Ombudsman of this decision. Information about how to make a complaint can be found at
https://www.ombudsman.parliament.nz/ or freephone 0800 802 602.
Ngā mihi, nā

Anahera Morehu
Poumanaaki Chief Archivist

Page 4 of 31

Appendix A
2024/2025:
Public Office/Local Authority
Category of possible non-
Actions taken
compliance identified
Associate Minister of Health
Creation, capture and/or
Assessment ongoing
(Hon Casey Costello)’s Office
accessibility of information
Fire and Emergency New
Creation, capture and/or
None – no non-compliance
Zealand (FENZ)
accessibility of information
identified
Immigration New Zealand
Retention of information
Assessed, ongoing
(Ministry of Business,
Innovation and Employment)
Ministry of Business,
Creation, capture and/or
Assessment ongoing
Innovation and Employment
accessibility of information
New Zealand Defence Force
Missing or damaged records
Assessed; ongoing
Oranga Tamariki
Creation, capture and/or
Assessment ongoing
accessibility of information
Oranga Tamariki
Creation, capture and/or
Assessment ongoing

accessibility of information

Selwyn District Council
Missing or damaged records
Assessed, ongoing
South Wairarapa District
Storage of records
None – no non-compliance
Council
identified
Stratford District Council
Unauthorised disposal of
Assessment ongoing
records

Total: [10]
2023/2024:
Agency/organisation
Category of possible non-
Actions taken
compliance identified
Auckland Council
Creation, capture and/or
Archives New Zealand
accessibility of information
reminded Auckland Council of
their responsibilities under
Section 17 of the Public
Records Act 2005 (PRA).
Auckland Transport
Creation, capture and/or
Auckland Transport has
accessibility of information
assured Archives New Zealand
that their information
management practice is in
accordance with the PRA.
Page 5 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Ministry of Education
Inaccurate storage of
The Ministry is in the process
records/inaccurate
of correcting storage of
recordkeeping
records.
Ministry of Health
Creation, capture and/or
Assessment ongoing
accessibility of information
Ministry of Health
Unauthorised disposal of
Assessment ongoing
records
Netsafe
Creation, capture and/or
None – no non-compliance
accessibility of information
identified
New Zealand Police
Unauthorised disposal of
Archives New Zealand
records
provided advice on retention
period of records.
Porirua City Council
Damaged records / storage of Physical compliance
records
assessment was undertaken.
Radio New Zealand
Unauthorised disposal of
Appropriate disposal of
records
records has been made.
Watercare Services
Lack of policies and
None – no non-compliance
procedures around
identified
recordkeeping
Oranga Tamariki
Creation, capture and/or
Duplicate of one of the
accessibility of information
2022/2023 cases where
Oranga Tamariki has updated
its Practice Policy to ensure
full and accurate records are
captured.

Total: [11]
2022/2023
Agency/organisation
Category of possible non-
Actions taken
compliance identified
Oranga Tamariki
Creation, capture and/or
Ongoing
accessibility of information
New Zealand Police
Creation, capture and/or
A meeting was requested to
accessibility of information
understand recordkeeping
practices.
Paraparaumu College
Creation, capture and/or
Fol ow up to understand what
accessibility of information
progress the school has made
to improve its information
management practices.
Page 6 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Oranga Tamariki
Unauthorised disposal of
Case is being monitored by
records
Archives New Zealand around
disposal actions.
Whanganui District Court
Government loan - Missing
Whanganui District Court have
records
put in processes for loans of
original records.
New Zealand Police
Inaccurate recordkeeping /
Recommended that New
Storage of information
Zealand Police proceed with
ongoing training across the
organisation to ensure future
compliance with the PRA and
the mandatory Information
and records management
Standard.
Oranga Tamariki
Creation, capture and/or
Oranga Tamariki has updated
accessibility of information
its Practice Policy to ensure
full and accurate records are
captured.
ACC
Unauthorised disposal of
From the assessment
records; failure to create and
undertaken, Archives New
maintain records
Zealand is satisfied that
disposal of call recordings is in
accordance with Disposal
Authority DA442 and
therefore compliant with the
requirements of the PRA.
Department of Corrections
Creation, capture and/or
Fol ow up to understand what
accessibility of information
progress the Department of
Corrections has made to
replace its’ Health patient
system.
New Zealand Blood Service
Creation, capture and/or
None – no non-compliance

accessibility of information
identified

Page 7 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Christchurch City Council
Creation, capture and/or
Archives New Zealand agrees
accessibility of information
that Christchurch City Council
is making improvements to
ensure information is
protected from unauthorised
or unlawful access, alteration,
loss, deletion and/ or
destruction.
Oranga Tamariki
Creation, capture and/or
Archives New Zealand
accessibility of information
reviewed correspondence and
there is nothing substantive in
this case that warrants further
review around Oranga
Tamariki’s information and
recordkeeping practice.

Total: [12]
2021/2022:
Agency/organisation
Category of possible non-
Actions taken
compliance identified
New Zealand Defence Force
Creation, capture and/or
Recommendations to be
accessibility of information
fol owed by the Expert
Review Implementation
Steering Group.
Oranga Tamariki
Creation, capture and/or
Archives New Zealand
accessibility of information;
monitoring.
deletion of records
Ministry of Justice
Creation, capture and/or
Archives New Zealand
accessibility of information
followed up on the
development of their client
management system.
Ara Institute of Canterbury
Creation, capture and/or
From the assessment
accessibility of information
undertaken, Archives New
Zealand is satisfied that Ara
Institute of Canterbury are
currently meeting their
recordkeeping requirements
under the PRA and the
Information and records
management standard.
Ministry of Education
Creation, capture and/or
No evidence to support

accessibility of information
reported recordkeeping
issues.
Page 8 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Wellington High Court
Government Loan - near loss of  Wellington High Court will
a record
retain the loaned files until
one of their local Justices is
the Duty Judge.
Southern
Unauthorised disposal
None – no non-compliance
Response/Earthquake
identified
Commission
Commerce Commission
Creation, capture and/or
From the assessment
accessibility of information
undertaken, Archives New
Zealand is satisfied that the
Commerce Commission has
met its recordkeeping
obligations under the PRA
and Information and records
management standard.
Office of Privacy
Inability to provide information  From the assessment
Commissioner
under the Official Information
undertaken, Archives New
Act 1982 due to missing records  Zealand is satisfied that the
Office of the Privacy
Commissioner has met its
recordkeeping obligations
under the PRA and
Information and records
management standard.
ACC
Creation, capture and/or
PRA does not apply and did
accessibility of information
not take further action on
the case.
Ministry of Health
Creation, capture and/or
Ministry of Health to make a

accessibility of information
business decision around
vaccination records.
Multiple (x4) –Ministry of
Creation, capture and/or
Case suspended until further
Education, Education Review
accessibility of information
information provided by the
Office, Teaching Council and
complainant.
Oranga Tamariki

Orillion (Animal Control
Unauthorised disposal
Orillion will work with the
Products Ltd)
Disposal and Acquisition
team to generate their own
organisation’s Disposal
Authority.
Page 9 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Southern District Health Board  Inaccurate storage of
Southern District Health
records/inaccurate
Board worked with the
recordkeeping
Disposal and Acquisition
team to maintain the
records and destroy them
after the disposal
moratorium comes to an
end.

Ministry of Foreign Affairs and  Creation, capture and/or
From the assessment
Trade
accessibility of information
undertaken, Archives New

Zealand is satisfied with the
actions that the Ministry has
taken to ensure its ongoing
compliance with the PRA
and the Information and
records management
standard.
Stratford District Council
Creation, capture and/or
Archives New Zealand will
accessibility of information
take no further action at this
time. Improvements that
Stratford District Council is
planning on making in 2022
appear to be sufficient to
prevent a similar incident
from occurring again.
Department of Conservation
Storage of archival records
No response from the

complainant after seeking
further information on the
case.
Ministry of Business,
Creation, capture and/or
From the assessment
Innovation and Employment
accessibility of information
undertaken, Archives New
(MBIE)
Zealand is satisfied that the
MBIE/Managed Isolation and
Quarantine (MIQ) has met
its recordkeeping obligations
under the PRA and
Information and records
management standard.
Department of Corrections
Creation, capture and/or
From the assessment

accessibility of information
undertaken, Archives New
Zealand is satisfied with the
actions that Corrections has
taken to ensure its
compliance with the PRA
and Information and records
management standard.
Page 10 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Royal Commission of Inquiry
Creation, capture and/or
No further action taken until
into Abuse in Care
accessibility of information;
the release of the final
inconsistencies around disposal  report on the Royal
of records
Commission of Inquiry into
Abuse in State Care.
Mid Central District Health
Creation, capture and/or
None  –  no non-compliance
Board
accessibility of information
identified

Independent Police Conduct
Loss of a USB drive containing
While the loss of the USB
Authority
private information
drive has resulted in a
contravention of the
mandatory Information and
records management
standard (Principle 3.4),
Archives New Zealand is
satisfied at this time that the
incident was not caused by a
‘gap’ in, or inadequate,
information management
policies.

Department of Corrections /
Inadequate transfer of
From the assessment
Southern and Canterbury
information within or between  undertaken, Archives New
District Health Boards
one service and another –
Zealand is satisfied with the

differing systems to record
actions that Corrections,
information.
Southern and Canterbury
DHBs have taken to ensure
its compliance with the PRA
and Information and records
management standard.
New Zealand Police
Creation, capture and/or
Archives New Zealand

accessibility of information
recommended New Zealand
Police to consider
implementing a review of its
use of evidence.com to
ensure that it is meeting
business needs.
New Zealand Police
Creation, capture and/or
None – no non-compliance

accessibility of information
identified
Page 11 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Ministry for Pacific Peoples
Creation, capture and/or
Archives New Zealand

accessibility of information
recommended that the
Ministry develop its policies
and processes for the use of
the Signal app, and also
recommended that the
Ministry incorporate the
published guidance that is
available on the
archives.govt.nz website.
New Zealand Defence Force
Storage of physical records.
From the information that
(NZDF)
has been provided, NZDF

appears to be already taking
meaningful steps to lift its
compliance of the PRA and
the Information and records
management standard, with
the overal  goal of improving
accessibility to the records
requested.
Auckland Council
Creation, capture and/or
Archives New Zealand
accessibility of information
recommended to the
Auckland Council to
complete regular testing to
verify that systems can
locate information and
records which are complete;
ensure all appropriate
metadata is loaded onto the
systems to ensure
information and records are
identifiable, accessible, and
useable.
Civil Aviation Authority
Managing and maintaining
This issue was managed and
physical information during
addressed during the PRA
business and system changes
audit programme.
Ministry of Justice and ACC
Creation, capture and/or
Ministry of Justice has
accessibility of information
outlined a number of steps
to improve information and
records management; ACC is
working with Datacom to
expand Dynamic 365 to its
Media team.
ACC
Creation, capture and/or
Duplicate of above case
accessibility of information
Page 12 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
New Zealand Defence Force
Creation, capture and/or
New Zealand Defence Force
accessibility of information
is in the process of managing
their media request log and
combining four
organisational-specific
disposal authorities into one.
Inglewood High School (Board Deletion of school
Recommended Inglewood
of Trustees)
records/accessing information
High School to consider

developing some written
guidance (i.e., Standard
Operating Procedures) for
staff based on the school’s
recordkeeping policies and
procedures and to develop a
process to record when
disposal actions occur and to
what records.
Ministry of Justice
Government Loan taken apart
Reminded Ministry of Justice
about the process for
managing loans. Disposal
and Acquisition Team to
work with Ministry of Justice
about status, access and/or
restrictions.
Ministry of Business,
Creation, capture and/or
From the assessment
Innovation and Employment
accessibility of information
undertaken, Archives New
(MBIE)/Ministers for Tourism
Zealand is satisfied with the
Recovery
actions MBIE has/will take to
ensure its compliance with
the PRA and Information and
records management
standard as a result of the
Auditor-General’s report.
Waitematā District Health
Creation, capture and/or
Te Whatu Ora (Health NZ) –
Board
accessibility of information
Waitematā implemented

changes in 2018 around
documenting decisions to
changing levels of
observation. No further
action taken.
Page 13 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Department of Conservation
Government Loan – missing
Archives New Zealand
(DOC)
records
acknowledged DOC updating
staff guidance
documentation to increase
government loans process
and requirements; Archives
New Zealand recommended
DOC implement procedure
to mitigate further risk of
government loans going
missing in the future.
Ministry of Business,
Creation, capture and/or
Ongoing monitoring and
Innovation and Employment
accessibility of information;
communication with the
(Immigration NZ)
unauthorised disposal
Ministry of Business,
Innovation and Employment.

Oranga Tamariki
Creation, capture and/or
Archives New Zealand
accessibility of information
reviewed correspondence
and found nothing
substantive that warrants
further review around
Oranga Tamariki’s
information and
recordkeeping practice.

Total [39]
2020/2021:
Agency/organisation
Category of possible non-
Actions taken
compliance identified
Department of Internal Affairs Creation, capture and/or
DIA started implementing the

accessibility of information
discovery phase around
improving management of
Ministerial records.
Waitematā District Health
Damage of records;
Waitematā perform ongoing
Board
unauthorised destruction of
monitoring of their storage of
records
records; Policy and
procedures reviewed to
include property checks
during long periods of
business inactivity.
Page 14 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Ministry of Justice
Unauthorised disposal of
To stop future disposal of
records
records relating to the Royal
Commission, Ministry of
Justice provided training to
staff around records, updating
disposal guidance and
knowledge bases and
communicating to all staff
about moratorium through
multiple channels.
Department of Corrections
Damage of records
Department of Corrections
completed safety assessments
and was in the process of
recovering asbestos
contaminated records.
Mitigations put in place to
ensure records are not
recontaminated in the future.
Southern Response and the
Creation, capture and/or
Archives New Zealand
Earthquake Commission
accessibility of information;
concluded that this is not a
storage of records
breach of PRA and consider
this matter closed.
Department of Conservation
Creation, capture and/or
From the assessment
accessibility of information;
undertaken, Archives New
storage of records
Zealand is satisfied with the
actions that the Department
of Conservation has taken to
ensure its compliance with the
PRA and the Information and
records management
standard.
New Zealand Transport
Creation, capture and/or
The complainant did not
Agency and Porirua City
accessibility of information
respond to request for
Council
additional information to

further the complaint – case
closed.
Local City Council
Creation, capture and/or
None – no non-compliance

accessibility of information
identified.
Ministry of Health
Creation, capture and/or
Improvements made to the
accessibility of information
collection and recording of
information about deaths of
people with intellectual
disabilities. Timelines
provided for implementation;
recordkeeping practices
addressed.
Page 15 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
New Zealand Police
Creation, capture and/or
Determined that the Disposal
accessibility of information;
Authority outlines the
unauthorised disposal
justification for the retention
and disposal of Video and
Digital evidence.
Privacy Commissioner
Creation, capture and/or
Archives New Zealand
accessibility of information
concluded that this is not a
breach of PRA and consider
this matter closed.
KiwiRail
Creation, capture and/or
KiwiRail provided assurance
accessibility of information
that they are aware of their
responsibilities under the PRA.
They wil be undertaking a
further search as advised. No
further action required.
New Zealand Police
Creation, capture and/or
With the organisational

accessibility of information
redesign, the way the Māori
Focus Forum engages with the
Commission is being
rethought and New Zealand
Police will ensure robust
recording and filing processes
are in place.
Wellington City Council
Creation, capture and/or
Archives New Zealand

accessibility of information
reminded Wellington City
Council of their
responsibilities under Section
17 of the PRA specifically
around managing text
messages; Archives New
Zealand also initiated a
response to the local
government sector, about
how to best manage
communications specifically
with regards to text messages.
Royal Commission of Inquiry
Unauthorised release
No further action taken. A
into Abuse in Care
information
comprehensive review of the
incident was completed; no
specific failures in information
management processes have
been identified; refresher
training focusing on Privacy
elements is underway;
implementation of wider IT
system solutions are being
considered.
Page 16 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Waikato District Health Board Creation, capture and/or
Archives New Zealand
accessibility of information;
reminded Waikato District
unauthorised disposal;
Health Board of their
alteration of records
responsibilities under the PRA,
specifically Section 17, and the
requirement to maintain full
and accurate records.
Tauranga City Council
Creation, capture and/or
From the information
accessibility of information;
available, Archives New
unauthorised disposal;
Zealand cannot determine
whether there was a specific
breach in the PRA in the event
described. However,
appropriate steps have been
taken by the Council and that
the suggested updates to
procedures will assist in
ensuring that ful and
complete records, specifically
with regards to elected
member text messages, are
maintained.
Oranga Tamariki
Creation, capture and/or
No further action taken. No

accessibility of information
specific information and/or
evidence provided to
complete an assessment.
Department of Corrections
Government loan - Missing
Worked with the Department
records
of Corrections and the
Government Loans Team to
put procedures in place for
the future management of
Government Loans.
Department of Corrections
Creation, capture and/or
Reported as a compliance
accessibility of information
case in the Chief Archivist
Annual State of Government
Recordkeeping 2020/21.
Paraparaumu College
Creation, capture and/or
An Advisory Notice was issued

accessibility of information
to the Board of Trustees. The
notice included advice on the
issues raised, highlights of any
risks that are apparent to
Archives New Zealand at this
time.
Education Review Office and
Creation, capture and/or
Recommended concerns
Board of Trustees (unnamed
accessibility of information;
regarding the school in
schools)
missing records
question should be raised
with the Ministry of
Education.
Page 17 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
New Zealand Defence Force
Creation, capture and/or
Comprehensive assessment
accessibility of information;
undertaken to understand the
inaccurate recordkeeping
extent of the enquiry. An
expert review group was set
up with oversight of
recordkeeping practice and
systems.
Victoria University of
Unauthorised disposal of
Reported as a compliance
Wellington
records
case in the Chief Archivist
Annual State of Government
Recordkeeping 2020/21.
Multiple agencies
Creation, capture and/or
No further action taken as the

accessibility of information
complainant did not provide
further evidence.
Court of Appeal / Ministry of
Creation, capture and/or
No breach in the PRA.
Justice
accessibility of information
Archives New Zealand does

not direct a public office to
correct or amend a record. No
further action taken.
New Zealand Transport
Creation, capture and/or
The complainant did not get
Agency
accessibility of information
back with further information

to support the complaint. No
further action taken.
Ministry of Education
Unauthorised disposal of
Archives New Zealand notes

records
that the Ministry of Education
provided the complainant
with a copy of circular 98/25;
Archives New Zealand doesn’t
have the circulars that were
requested (98/25 and 94/31)
in its holdings.
Department of Internal Affairs  Creation, capture and/or
This is a historical event that

accessibility of information
happened 20 years ago before
the passing of the PRA. No
further action taken as there
was no breach.
New Zealand Police
Breaches to the Public
Archives New Zealand
Records Act 2005, Privacy Act  concluded that this is not a
2020 and Electronic
breach of the PRA and wil  not
Transactions Act 2002
be taking any further action in
this matter unless new
information can be provided
by the complainant to
reassess the matter.
Page 18 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
New Zealand Customs Service  Creation, capture and/or
Archives New Zealand is
accessibility of information
satisfied with the direction of
information management at
the New Zealand Customs
Service and the actions that it
has taken, plans to take, to
further improve its
information management
maturity.
Auckland District Health Board  Creation, capture and/or
Archives New Zealand
accessibility of information
reminded Auckland District
Health Board of their
responsibilities under Section
17 of the PRA, and specifically
those around creating and
maintaining records.
WorkSafe
Creation, capture and/or
Archives New Zealand notes

accessibility of information
that recordkeeping concerns
were addressed and that the
new technology solution is
being developed to improve
Information Management
(IM) at WorkSafe.
Ministry for Business
Creation, capture and/or
Ongoing assessment over the
Innovation and Employment
accessibility of information;
years. Same case as the one
(Immigration NZ)
unauthorised disposal
recorded in 2022/2023 year.

Total [34]
2019/2020:
Agency/organisation
Category of possible non-
Actions taken
compliance identified
New Zealand Security
Creation, capture and/or
This case was managed as
Intelligence Service and
accessibility of information;
part of the Operation
Government Communications  unauthorised disposal
Burnham Inquiry. An Expert
Security Bureau
review group was set up with
oversight of recordkeeping
practice and systems.
Unknown District Health
Creation, capture and/or
Monitored
Board
accessibility of information
Page 19 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Tasman District Council
Unauthorised disposal of
The Council completed an
records
independent review for
structure and processes.
Protective measures have
been implemented to ensure
staff awareness of the process
ana approval required before
documents are destroyed.
New Zealand Defence Force,
Intention to dispose records
Archives New Zealand worked
Trentham
with the New Zealand
Defence Force to help with
their Disposal Authority. No
further support needed.
Southern District Health Board Creation, capture and/or
Case added for monitoring.
- Seacliff Mental Hospital
accessibility of information;
unauthorised disposal of
records
Television New Zealand
Unauthorised disposal of
Archives New Zealand
(TVNZ)
records
reminded TVNZ to ensure

staff are reminded about the
use of third-party
technologies; consider its
policies and guidance on the
use of social media; continue
working on developing a
Disposal Authority and
implementation mechanisms.
Porirua City Council (PCC)
Creation, capture and/or
No other evidence or issues of
accessibility of information
concerns raised from PCC
response. No further action
taken.
Ministry of Social
Unauthorised disposal of
Reported as a compliance
Development
records
case in the Chief Archivist
Annual State of Government
Recordkeeping 2019/20.
ACC
Missing or damaged records
Monitored
New Zealand Police
Creation, capture and/or
Monitored
accessibility of information
New Zealand Police
Creation, capture and/or
Assessment completed with
accessibility of information;
no further action to be taken.
unauthorised disposal of
records
Toi-Ohomai Institute of
Creation, capture and/or
Advisory Notice sent to Toi-
Technology Limited
accessibility of information;
Ohomoi, which included
unauthorised disposal of
advice and recommended
records
actions for Toi-Ohomai to
consider.
Page 20 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Ruapehu District Council
Alteration of public records
The Council acknowledged
their errors; they have
undertaken and independent
investigation into the issues
raised by the complainant and
adopted new procedures in
response to events.
Rotorua Lakes Council
Missing or damaged records
Improvements and steps have
been taken by the Council to
ensure the Council has
systems in place to provide
confidence that information
relating to trees is being
appropriately managed.
Inland Revenue
Creation, capture and/or
An Advisory Notice was sent
accessibility of information
to Inland Revenue to ensure
they meet their obligations
when it comes to outsourcing;
disposal actions must be
approved by their
governance; PRA obligations
should be ful y considered
whether during formal
governance meeting or other.
New Zealand Defence Force
Creation, capture and/or
New Zealand Defence Force is
accessibility of information
implementing its Safety Event
Management Systems to
improve reporting
mechanisms; Disposal and
Acquisition is helping them
with a new Disposal Authority.
Oranga Tamariki
Creation, capture and/or
No evidence that PRA has
accessibility of information
been breached. No further
action taken.
Page 21 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Prime Minister, Director-
Creation, capture and/or
The epidemic notice has
General of Health and
accessibility of information
subsequently been renewed
Minister of Health
twice and Archives New
Zealand is satisfied that the
structured procedure to
ensure appropriate oversight
of this decision-making
process was observed;
Archives New Zealand
reminded the Ministry of
Health of their responsibilities
under the Public Records Act
2005, specifically, Section 17
and the requirement to create
and maintain full and accurate
records.
Kaipara District Council
Unauthorised disposal of
Not enough evidence

records
provided for Archives New
Zealand to make comment on
the accuracy of the records in
question; the Council advised
that it will be reviewing its
recordkeeping practices,
specifically focusing on
ensuring that external parties
that have arrangements with
the Council, keep ful  and
accurate records; Archives
New Zealand reminded the
Council of their
responsibilities under the PRA
specifically around Section 17,
and the requirement to
maintain full and accurate
records.
Whanganui District Council
Charging for access to records  The Council contacted the

complainant to say that the
information he sought will be
provided free of charge.
Additionally, the Council
stated that they wil  change
their processes in response to
charging access to records.

Page 22 of 31

Total [20]2018/2019
Agency/organisation
Category of possible non-
Actions taken
compliance identified
Radio New Zealand (RNZ)
Creation, capture and/or
There is insufficient evidence

accessibility of information
to prosecute RNZ for a breach
of the Act, as there is no
evidence that shows its
actions in not retaining
voicemail messages were not
normal prudent business
practice.
Tauranga City Council
Unauthorised destruction of
Recommended to the

records
complainant to seek own legal
advice and consider
oral/written complaint to the
Office of the Ombudsman to
investigate decision or actions
of public bodies including
local authorities.
Christchurch City Council
Creation, capture and/or
Recommended to review its
*This case is related to Sport
accessibility of information
policy, procedures and
New Zealand (refer below)
guidance on recording
meetings that apply to elected
members.
Sport New Zealand
Creation, capture and/or
Requested records were

accessibility of information
found and provided to the
complainant as requested;
records have been migrated
from the Shared Drive over to
the new SharePoint system.
Massey University
Creation, capture and/or
Massey University has been
accessibility of information
reminded text messages are
public records and need to
meet their obligations under
section 17 of the PRA.
Department of Corrections
Missing or damaged records
Department of Corrections
and SERCO
updated its policy to ensure

recordkeeping requirements
are met under the PRA.
Ministry of Justice
Stolen laptop - potential
Assessment completed – no
privacy breach
outcome recorded or reached.
Page 23 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Department of Internal Affairs  Creation, capture and/or
The Information Management
accessibility of information
work programme provided to
Archives New Zealand gives
confidence that issues
identified by the Deloitte’s
report had been addressed
and improvement measures
and programme had been put
in place to resolve issues, or
mitigate the risks associated
with it (90 days).
Accident Compensation
Creation, capture and/or
Assessment completed.
Corporation
accessibility of information

Southern Response
Unauthorised destruction of
Previous of no non-
records
compliance confirmed, no
action required
Department of Labour (now
Creation, capture and/or
The Police provided current
WorkSafe), Pike River
accessibility of information
Debriefs – Policy Statement

and Principles from the Police
Instructions. They now use
the Investigative Management
Tool (IMT), that provides a
centralised database for the
secure management and
control of information for all
types of investigations. This
did not exist at the time of the
initial Pike River Mine
investigations.
Southern District Health Board  Creation, capture and/or
Update provided on a

accessibility of information;
compliance case recorded in
privacy breach
2016.
West Coast/Canterbury
Creation, capture and/or
WCDHB reported they have
District Health Boards
accessibility of information;
clear policies and
(WCDHB)
unauthorised disposal of
expectations about access,

records
storage and use of patient
information. It acknowledges
that this was an employment
issue, that the employee did
not follow WCDHB policies,
and did not honour the
employee’s own assurance
that the information would
remain on site. The employee
no longer works here.
Page 24 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Police/Ministry of
Creation, capture and/or
Addressed as part of the Royal
Health/District Health
accessibility of information;
Commission of Inquiry into
Inspector/Ministry of Social
missing records
Abuse in Care.
Development/Child, Youth and
Family Services

Television New Zealand (TVNZ) Creation, capture and/or
The access and use of the
Archives
accessibility of information;
records are the responsibility

use of archival collection
of the Ministry of Culture and
Heritage as the controlling
organisation. No action to be
taken.
Southern District Health Board Potential privacy breach
Not a PRA breach, referred to

Privacy Commissioner.
New Zealand Transport
Creation, capture and/or
New Zealand Transport
Agency
accessibility of information
Agency developed an action
plan to address issues that
have been identified during
the PRA audit.
New Zealand Police
Creation, capture and/or
Archives New Zealand

accessibility of information;
followed up with Police and
unauthorised disposal of
they provided the files that
records
were requested by the
complainant
Dunedin City Council
Storage of records
Archives New Zealand
provided the archives.govt.nz
website link to Dunedin City
Council for information on
protection and preservation
of protected records.
ACC
Creation, capture and/or
ACC reported that no business
accessibility of information
records relating to the matter
have been disposed of; ACC
provided an overview of
policies, procedures and
practices.
Audit New Zealand
Missing or damaged records
Not enough evidence to

support that the records of
concern are local authority
records.
Wellington City Council
Deletion of records
Provided a media response

about local authority records
covered by the list of
protected records for local
authorities.
Page 25 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Invercargill City Council
Creation, capture and/or
Chief Executive initiated a

accessibility of information;
strategic review of records
unauthorised disposal of
and archives management
records
which identified areas for
improvement and
recommendations being
worked on.
Te Puni Kōkiri
Government Loans – missing
Issued a fine. New processes
records
were implemented for
managing Government Loans
by Te Puni Kōkiri.
Horowhenua District Council
Creation, capture and/or
Documents of concern were
accessibility of information
held in the Councils EDRMS
system. The Council had a
current Retention and
Disposal schedule and
provided reports and updates
at Council meetings.
New Zealand Security
Creation, capture and/or
Monitored and ongoing work
Intelligence Service and
accessibility of information
with agencies
Government Communications
Security Bureau
Reserve Bank of New Zealand
Government Loans – missing
Suspension of access to
records
original files from Archives
was put in place. This was
lifted after the Reserve Bank
completed its risk assessment.
New Zealand Defence Force
Creation, capture and/or
Addressed as part of the

accessibility of information
Operation Burnham Inquiry
report.
Court of Appeal
Government Loan – addition
Discussion with Ministry of
of records
Justice about government
loan process.
Office of the Clerk of the
Creation, capture and/or
The Officers of Parliament
House of
accessibility of information
Committee should be advised
Representatives/Parliamentary
to complete and table the
Service
report to the Controller and

Auditor General.
Parliamentary
Creation, capture and/or
Chief Archivist recommended
Service/Department of
accessibility of information
that agencies work together
Internal Affairs’ Ministerial
to review records held by
Services/Office of the Clerk of
commissioning agencies and
the House of Representative
the independent reviewer.
(all agencies are part of what is
known as the Francis Review)
Total [31]
Page 26 of 31

2017/2018
Agency/organisation
Category of possible non-
Actions taken
compliance identified
Central Agencies Shared
Damaged records
Advice and guidance to
Services (CASS)
manage volumes that had

mould due to water damage
from a suspected leak while
being stored in the sub-
basement at 1 The Terrace.
Archives conservator visited
the office to view the books
concerned and gave advice
and guidance on remedy and
prevention.
Ministry of Business
Government Loans –
Missing file was found. No
Innovation and Employment
destruction of records
further action taken.
(Immigration NZ)
Health and Disability
Creation, capture and/or
No indication of intentional
Commissioner
accessibility of information
misreporting. Health and
Disability Commission has
maintained the original
document in ful . No further
action taken
New Zealand Police
Creation, capture and/or
No indication that records are

accessibility of information
not being created and
maintained in accessible form;
the ground of refusal to
provide statistics does not
constitute non-compliance
with the PRA.
Ministry of Social
Use of pseudonyms
The case was under appeal to
Development
the High Court. Chief Archivist

requested a copy of the
Solicitor-General’s opinion
following its completion.

Total [5]

Page 27 of 31

2016/2017
Agency/organisation
Category of possible non-
Actions taken
compliance identified
Department of Corrections
Unauthorised disposal of
Department of Corrections did
records
not negligently dispose of
records; Archives is working
with the Department of
Corrections to improve its
recordkeeping capability
Auckland Police
Creation, capture and/or
Complaint did not reveal

accessibility of information
issues with recordkeeping
processes; disposal was
authorised.
Accident Compensation
Creation, capture and/or
No evidence of PRA breach.
Corporation (ACC)
accessibility of information
No further action.
Wellington City Council
Creation, capture and/or
No evidence of PRA breach,

accessibility of information
more appropriate for the
Auditor-General to consider
the funding issue. No further
action.
New Zealand Police
Unauthorised disposal of
Records in question were
records
disposed of lawfully and there
is no breach to the PRA. No
further action taken.
Auckland University of
Creation, capture and/or
AUT has maintained full set of
Technology
accessibility of information
Council minutes and that the
minutes have been provided
to the Archivist (Special
Col ections) at the AUT
Library.

Total [6]
2015/2016
Agency/organisation
Category of possible non-
Actions taken
compliance identified
Southern District Health Board Creation, capture and/or
Southern District Health Board
and the audit and compliance accessibility of information
made some improvements to
unit of the National Health
its information and records
Board
management. Recommended
that the organisation test its
policies and procedures about
records management
Page 28 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Ministry of
Creation, capture and/or
No breach in the PRA.
Justice/Department for Courts  accessibility of information
Archives New Zealand does
not direct a public office to
correct or amend a record. No
further action taken
Auckland University of
Creation, capture and/or
Report required by AUT
Technology (AUT)
accessibility of information
around compliance with
subsequent recommendations
on improved metadata.
Education Review Office
Creation, capture and/or
Complainant’s request
accessibility of information
managed through an Official
Information Act request.
Ministry of Business,
Creation, capture and/or
Included concerns raised in
Innovation and Employment
accessibility of information
the post audit phase and a
(Immigration NZ)
new Disposal Authority to be
implemented with the
Ministry.
Ministry of Health/Needs
Creation, capture and/or
Ministry of Health’s legal team
Assessment and Service Co-
accessibility of information
is working through the issue.
ordination Agencies)
New Zealand Police
Creation, capture and/or
Not a PRA breach. No further
accessibility of information
action taken.

Total [7]

2014/2015
Agency/organisation
Category of possible non-
Actions taken
compliance identified
Manukau District Court
Creation, capture and/or
Action not warranted.
accessibility of information
Kaipara District Council
Breach of the PRA outlined in  May have been a breach but
the Auditor-General’s report
unable to prosecute due to
the timeframe the event
happened. Worked with the
council to ensure it doesn’t
happen again
Auckland District Health Board  Deletion of records
Deletion happened in
accordance with normal
prudent business process.
Employment Relations
Unauthorised disposal of
This case is connected to the
Authority
records
case below regarding
Immigration NZ.
Page 29 of 31

Agency/organisation
Category of possible non-
Actions taken
compliance identified
Ministry of Business,
Creation, capture and/or
Direction to report sent;
Innovation and Employment
accessibility of information
pursued as a separate project
(Immigration NZ)
on call centres by the Disposal
and Acquisition team.
Christchurch City Council
Missing or damaged records
Fol owed up with the Council.
No further action required.
Auckland University of
Creation, capture and/or
Recommended that the
Technology
accessibility of information
university maintains an audit
trail in the future.
Prime Minister
Unauthorised disposal of
"Managing text messages
records
under the Public Records Act”
report September 2015 and
fol ow up on
recommendations.
Ministry of Justice
Deletion of records
Provided information that
some public records can be
legal y disposed using the
General Disposal Authorities.
Auckland Council/Auckland
Unauthorised disposal of
Further information requested
Transport
records
of the complainant. Fol ow up
action taken by Archives.
Compliance assessment
completed and Chief Archivist
letter sent.
Tauranga City Council
Creation, capture and/or
No action taken.
accessibility of information
Ministry of Social
Creation, capture and/or
Ministry reminded of relevant
Development
accessibility of information
standards and guidance, no
other action warranted

Total [12]

Page 30 of 31

Appendix B – table of documents released
  Document released
Redaction grounds applied
ACC - Final Audit Report (A821383)
Released in ful
Antarctica New Zealand (A834314)
Released in ful
Canterbury Earthquake Recovery Authority -
Released in ful
Final Audit Report (A828898)
Christchurch Polytechnic Institute of
Released in ful
Technology - Final Audit Report (A839169)
Crown Irrigation Investments Limited - Audit
Released in ful
Findings Report (A823257)
Department of Corrections - Final Audit
Released in ful
Report (A841883)
DIA Final Report (A843570)
Released in ful
Final Audit Report - Coroners Court (A832337)  Released in ful
Final Audit Report - Court of Appeal
6(c)
(A832338)
Final Audit Report - Disputes Tribunal
Released in ful
(A832342)
Final Audit Report - District Court (A832340)
6(c)
Final Audit Report - Employment Court
Released in ful
(A832343)
Final Audit Report - Environment Court
Released in ful
(A832344)
Final Audit Report - Family Court (A832345)
Released in ful
Final Audit Report - High Court (A832348)
Released in ful
Final Audit Report - Judicial Authorities
Released in ful
(A840679)
Final Audit Report - Maori Land Court
Released in ful
(A832347)
Final Audit Report - Ministry of Justice
Released in ful
(A832421)
Final Audit Report - Non- Judicial Authorities
Released in ful
(A832773)
Final Audit Report - Supreme Court (A832341)  Released in ful
Final Audit Report - Tenancy Tribunal
Released in ful
(A832781)
Final Audit Report - Waitangi Tribunal
Released in ful
(A832339)
Final Audit Report - Youth Court (A832346)
Released in ful
MBIE - Final Audit Report (A843520)
Released in ful
Solid Energy - Final Audit Report (A841832)
Released in ful
Tai Poutini - Final Audit Report (A826937)
Released in ful
TVNZ - Final Audit Report (A841865)
Released in ful
University of Canterbury - Final Audit Report
9(2)(ba)(i), 9(2)(ba)(ii)
(A836292)
University of Otago - Final Audit Report
9(2)(ba)(i), 9(2)(ba)(ii)
(A839491)

Page 31 of 31