Enabling trusted government information 
Kia pono ai te Rua Mahara o te Kāwanatanga 
 
 
 
12 April 2019 
Archives New Zealand, 10 Mulgrave Street, Wellington 
Phone +64 499 5595 
Websites www.archives.govt.nz 
Jake Preston  
www.records.archives.govt.nz 
Via fyi.org.nz 
 www.dia.govt.nz 
fyi-request-9891-
[email address] 
Dear Mr Preston 
Official Information Act request reference OIA1819-0585 
Thank you for your request for official information from Archives New Zealand. You have asked: 
Can you confirm that MBIE is complying fully with the Public Records Act 2005, and that all 
records, including all communication surrounding the MBIE Guidance have been retained? 
Can you confirm that this includes the use of private email addresses used when being paid 
under the direction of EQC, which would have been transferred to MBIE under the formal 
transfer of EAG work to MBIE in November 2010? 
You have also raised your concerns about the use of private email addresses for work 
commissioned by the Ministry of Business, Innovation and Employment (MBIE), carried out by 
the Engineering Advisory Group 
Your request is being refused under section 18(e) of the Official Information Act 1982, because 
the document al eged to contain the information requested does not exist.  
You have the right to seek an investigation and review by the Ombudsman of this decision. 
Information about how to make a complaint is available at www.ombudsman.parliament.nz or 
freephone 0800 802 602. 
While I cannot directly answer your request, the fol owing information may be relevant to this 
situation. Under section 33 of the Public Records Act (PRA), the Chief Archivist is required to 
audit the information management practices of those public offices and local authorities subject 
to the PRA at intervals of not less than 5 years. As the most recent audit cycle was completed in 
2015, and with the new Monitoring Framework under development, no information on MBIE’s 
current compliance with the PRA is available. 
MBIE were audited in 2014. The audit assessed organisational maturity against eight 
recordkeeping capability activities. Each activity was assessed against the requirements met and 
a rating for mature, developing or low capability given. The table below represents the 
assessment of capability within MBIE at the time of the audit in 2014. Overall, the Chief Archivist 
was satisfied that MBIE were complying with the PRA.  
Auckland Office, 95 Richard Pearse Drive, Mangere, Auckland 
Christchurch Office, 15 Harvard Avenue, Wigram, Christchurch 
Dunedin Office, 556 George Street, Dunedin 

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link to page 2
Table 1: Public Records Act Audit results for the Ministry of Business, Innovation and Employment, 2014 
Activities 
Capability Assessment 
Planning 
Mature 
Resourcing 
Mature 
Training 
Developing 
Reporting 
Mature 
Creation and capture 
Mature 
Retrievability and security 
Mature 
Maintenance and storage 
Mature 
Disposal and transfer 
Mature 
In addition to being audited, public offices must obtain Chief Archivist authorisation to dispose1 
of information and records, which is issued through a legal instrument cal ed a Disposal 
Authority. MBIE’s Disposal Authority, DA644, details the classes of records MBIE creates, based 
on its functions, and notes the disposal action that must be taken and the associated timeframe. 
MBIE also use General Disposal Authorities 6 and 7, which cover common corporate records and 
records that have short-term transitory value. A copy of DA644 is attached for your interest. 
This document is also publicly available through Archway, our online archival management 
system, by searching by Disposal Authority from the homepage. 
It is possible that the information you have been unable to obtain from MBIE has been lawful y 
disposed of. However, I do not have sufficient information about the use of  private email 
addresses in this case to be satisfied of this. I have therefore directed the Archives New Zealand 
Advice & Compliance team to examine this issue as a case of potential non-compliance with the 
PRA. Advice &  Compliance wil  keep you up to date on that work and might ask you for 
additional information. Thank you for bringing this to our attention. 
Yours sincerely 
Richard Foy 
Chief Archivist 
Archives New Zealand 
1 Disposal refers to the range of processes associated with implementing retention, transfer or destruction 
decisions. 
Page 2 of 2 

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Index to Ministry of Business Innovation and Employment Records Retention and Disposal Schedule
The MBIE retention and disposal schedule contains eighteen classes. They have been clustered into four broad groups and the class headings have been colour 
coded by the relevant group on the RDS worksheet. Click on the class title below to be taken to that part of the RDS spreadsheet.
Class number Class title
Description
1
ACCOUNTABILITY, GOVERNANCE AND 
This class covers records not covered by the Archives New Zealand General 
Disposal Authority for common corporate records, GDA6.
STRATEGIC MANAGEMENT
2
EXTERNAL RELATIONSHIP MANAGEMENT
This class covers records that document how the Ministry interacts with 
other organisations, agencies and customers. It covers records of the 
development and management of strategic relationships and partnerships 
with external organisations. Records relating to relationships with other 
agencies as the result of a particular programme or area of work are 
covered by the classes relating to the area of work.
3
SECTOR STRATEGY DEVELOPMENT AND 
This class covers records of the function of development and 
implementation of sector strategies. It includes topics and advice areas 
IMPLEMENTATION
relevant to Ministry functions. 
4
STRATEGIC POLICY DEVELOPMENT AND 
This class covers records of the activity of development and providing 
strategic policy advice to the New Zealand government and Ministers in 
ADVICE TO GOVERNMENT
the areas of the Ministry's core functions. 
5
REGULATORY REGIME DEVELOPMENT AND 
This class covers records concerning the development of legal instruments 
such as standards and regulations and the guidance provided to those who 
COMPLIANCE
must adhere to the instruments. It also includes compliance and 
enforcement activities.
6
 MONITORING OF CROWN ENTITIES, 
This class covers records documenting the process of the formal 
monitoring of crown entities, statutory entities, institutions and other 
STATUTORY ENTITIES, INSTITUTIONS AND 
external bodies and the reporting carried out as part of that monitoring.
OTHER EXTERNAL BODIES
7
SECTOR, SYSTEM and PORTFOLIO 
This class covers records relating to the monitoring of and reporting on 
sectors, systems and portfolios and their performance
MONITORING

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8
BUSINESS INTEGRITY SERVICES
This class covers records relating to the provision of business integrity 
services covering company registration, Director appointments, insolvency 
and trustee activities. Also includes proceeds of crime records.
9
CONSUMER SERVICES AND MONITORING
This class covers records created to support compliance with trading 
standards including trade measurement, auctioneers registration, fuel 
quality, product safety and recalls to support good practices.
10
EMPLOYMENT RELATIONS SERVICES
This class covers records documenting the management and operations of 
employment relations services provided by the Ministry.
11
IMMIGRATION SERVICES
This class covers records created as part of the delivery of New Zealand 
immigration services and operations.
12
INTELLECTUAL PROPERTY SERVICES
This class covers records created as part of the management and 
operations of the New Zealand intellectual property regime. It includes 
design certificates, patents and trade marks.
13
MANAGEMENT AND PERFORMANCE OF 
This class covers records relating to the management, performance and 
support of funds, investment and partnerships where the Ministry is the 
FUNDS, INVESTMENTS AND PARTNERSHIPS
manager
14
NATURAL RESOURCES MANAGEMENT 
This class covers records to do with the management of the crown 
minerals estate and assets.
15
RADIO SPECTRUM MANAGEMENT
This class covers records documenting the licencing and management of 
the New Zealand radio spectrum.
16
RESIDENTIAL AND UNIT TITLE SERVICES  
This class covers records generated as part of the bond management 
activity for residential services, plus applications relating to the 
weathertight homes processes.
17
RESOLUTION SERVICES
This class covers records relating to the provision of resolution services 
relating to employment mediation, tenancy mediation, unit titles 
mediation, residential tenancy mediation, residential building construction 
disputes, weathertight homes mediation, insurance disputes.

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Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
1
ACCOUNTABILITY, GOVERNANCE AND STRATEGIC MANAGEMENT
This class covers records not covered by the Archives New Zealand General Disposal Authority for common corporate records, GDA6.
1.1
Advice to Chief Executive 
Records of advice to the Chief Executive and/or Deputy Chief Executives are 
Date of last action
10 years 
A - Retain As  Deputy Chief 
and/or Deputy Chief 
the documented advice provided specifically to the executive management 
Public Archive Executive of 
Executive's
level, often by roles such as ‘Principal Advisor’ or ‘Chief Adviser’ covering 
relevant branch or 
topics ranging from policy advice, organisational strategy, relationship 
delegate
management, or issues response. For example:
- Chief Science Advisor
- Chief Economist
- Chief Advisor, Maori
1.2
Administrative support to 
Records of a routine administrative nature created to support the office of the   Date of last action
5 years
D - Destroy
Chief Executive or 
Chief Executive and/or 
Chief Executive and/or Office of the Deputy Chief Executive. Includes:
delegate
Deputy Chief Executives
- diary records
- itineraries
- copies of information supplied for reference purposes
- invitations
- congratulation and condolence messages
1.3
Chief Executive 
Records of correspondence to the Chief Executive where a response is 
Date of last action
10 years
D - Destroy
Chief Executive or 
correspondence
required that is not a request for information. For example, correspondence 
delegate
from members of the public expressing their view of the agency.

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Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
1.4
Internal leadership and 
Records of formal governance groups and committees established to provide 
Date of last action
10 years
A - Retain As  Deputy Chief 
governance groups and 
governance and to act as decision-making forums. Includes both reporting 
Public Archive Executive of 
committees formal records
structure-based decision-making bodies and governance groups and steering 
relevant branch or 
committees established internally to provide guidance, decision-making and  
delegate
advice at a strategic level. For example:
- Senior Leadership Team
- Executive Leadership Team
- Capability and Strategy Implementation Steering Committee
- Risk and Audit Committee
Records may include:
- agendas
- meeting minutes
- papers presented to the group/board
1.5
Enterprise-wide strategies
Records of the development and implementation of and reporting against 
Date of last action
10 years
A - Retain As  Deputy Chief 
organisational development and change strategies. For example:
Public Archive Executive of 
- the Ministry Maori Strategy (focussing on educating the Ministry staff to 
relevant branch or 
improve how they may work with Maori stakeholders)
delegate
- Workforce Strategy
1.6
Organisation design and 
Records of the activity of reviewing the organisation's structure and functions 
Date of last action
10 years
A - Retain As  Deputy Chief 
review
at a strategic level and implementing new organisation design and structure. 
Public Archive Executive of 
For example, decisions to move functions to other agencies, decision to 
relevant branch or 
completely restructure the agency. Records may include:
delegate
- discussion documents
- consultation and feedback documents 
- interim and final reports
- implementation planning 
1.7
Litigation records significant  All records: Judicial reviews, litigation regarding issues that sets a precedent 
20 years
D - Destroy
Deputy Chief 
When case completed
cases
or is of high public interest.
Executive of 
relevant branch or 
1.8
Litigation summaries 
Records summarising or listing litigation cases in which one or more of the 
When superseded
10 years
A - Retain As  Deputy Chief 
central agencies have been involved.
Public Archive Executive of 
relevant branch or 
delegate

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Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
1. 9
Legislation development and  Records concerning the review and development of legislation and legislative 
When legislation 
10 years 
A - Retain As  Deputy Chief 
See also GDA 6/2.2.1 - 
review where the Ministry is  instruments in the area of the Ministry's substantive functions. All records 
comes into force
Public Archive Executive of 
2.2.3  for disposal of 
the administering 
relating to the development and passing of primary and secondary legislation 
relevant branch or  records of submissions on 
department
and any amendments or reviews, including the Immigration Instructions.
delegate
financial or employment 
legislation and of legal 
opinions
1. 10
Legislation development and  Submissions on other agencies' legislation and legislative instruments.
When legislation 
10 years 
D - Destroy
Deputy Chief 
review where the Ministry is 
passed
Executive of 
not the administering 
relevant branch or 
department
delegate

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Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
2
EXTERNAL RELATIONSHIP MANAGEMENT
This class covers records that document how the Ministry interacts with other organisations, agencies and customers. It covers records of the development and management of strategic relationships and 
partnerships with external organisations. Records relating to relationships with other agencies as the result of a particular programme or area of work are covered by the classes relating to the area of work.
2.1
Stakeholder relationship 
Records of the development and oversight of the  Ministry stakeholder 
Date of last action
10 years 
A - Retain As  Deputy Chief 
programme management
relationship programme.
Public Archive Executive of 
relevant branch or 
delegate
2.2
Strategic relationship 
Records of relationship management activities that document the relationship 
Date of last action
10 years 
A - Retain As  Deputy Chief 
DA 210 11.2
management with New 
between the Chief Executive/Deputy Chief Executives (or other senior staff 
Public Archive Executive of 
Zealand organisations
representing the Ministry) and strategic stakeholders or partners of the 
relevant branch or 
Ministry not covered already by another class relating to a function of the 
delegate
agency. Examples of such stakeholders include:
- central government agencies such as Treasury, Accident Compensation 
Corporation
- crown research institutes
- industry bodies such as Business New Zealand, Association of Non-
Government Organisations of Aotearoa, Federated Farmers, New Zealand 
Beef and Lamb
- trade unions such as the Employment and Manufacturers Association
- academics, universities and research providers
- local authorities
- iwi
Records may include:
- memoranda of understanding
- meeting records
- relationship strategy records
- correspondence
- internal notes about the relationship

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Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
2.3
Strategic relationship 
Records of relationship management activities that document the relationship 
Date of last action
10 years 
A - Retain As  Deputy Chief 
DA 210 10.1
management with 
between the Chief Executive/Deputy Chief Executives (or other senior staff 
Public Archive Executive of 
international organisations
representing the Ministry) and strategic international stakeholders or 
relevant branch or 
partners of the Ministry not covered already by another class relating to a 
delegate
function of the agency. This class also includes development and review of 
international and Trans-Tasman instruments and agreements relating to areas 
for which the Ministry has responsibility. For example:
- OECD 
- Australian Standing Committee on Tourism
- International Labour Organisation
- UNHCR
- APEC Tourism Ministers Meeting
- Australian Competition and Consumer Commission
Records of the Ministry's strategic relationships with other jurisdictions, 
international associations and fora, including:
- bi-lateral, multi-lateral agreements
- free trade agreements
- memoranda of understanding
- treaties
- correspondence and meeting records
- relationship strategy records
- position papers, ministerial briefings 
- formal outputs of meetings
- papers presented by Ministry staff to international organisations

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Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
2.4
Operational relationship 
Includes records created that reflect an operational-level relationship with an 
Date of last action
7 years
D - Destroy
Deputy Chief 
management records
external organisations; i.e. working closely with a stakeholder as part of every 
Executive of 
day work activities or projects that are not covered by any other class in the 
relevant branch or 
retention and disposal schedule. Examples of records may include:
delegate
- correspondence
- routine internal memos
- contact details
- drafts of documents
- meeting records
- country files containing background information on different countries
2.5
Service  centre recordings
Recordings of phone calls made to the Ministry service centres - whether to 
Date of recording
2 years
D - Destroy
DCE Market 
This class ensures there is 
do with immigration, labour workforce, building and housing issues or other 
Services and DCE  one standard time period 
Ministry functions. Includes recorded phone calls and phone call metadata.
Immigration New  for all service centre 
Zealand or 
recordings
delegate
DA347 covering 
Workplace Information 
and Promotion Contact 
Centre Phone Recordings 
(3 months) 
DA427covering 
Immigration Contact 
Centre Phone Recordings  
(18 months) 
2.6
Reporting and analysis 
Records, statistical returns and analysis providing summary information in 
Date of last action
25 years
D - Destroy
DCE Market 
records 
service centre activity. Includes:
Services and DCE 
- monthly reporting
Immigration New 
- adhoc business analysis and intelligence 
Zealand or 
- trend analysis
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
3
SECTOR STRATEGY DEVELOPMENT AND IMPLEMENTATION
This class covers records of the function of development and implementation of sector strategies. It includes topics and advice areas relevant to Ministry functions. 
3.1
Sector governance and advice  Records of governance and advisory bodies that that the Ministry provides 
Date of last action
10 years
A - Retain As  Deputy Chief 
Records of a routine and 
boards/bodies - significant 
secretariat services for, that are formed to provide advice and input to 
Public Archive Executive of 
low level nature that are 
records
support the development and implementation of sector strategies and action 
relevant branch or  created as part of 
plans. Examples of such bodies are:
delegate
providing secretariat 
- Small Business Development Group
services or input into 
- Maori Economic Development Advisory Board
sector governance and 
- Visitor Sector Emergency Advisory Group
advisory boards/bodies 
- Urban Chief Executives Meeting
are covered by GDA 7
 
Examples of significant records are:
- terms of reference
- letters of appointment
- formal meeting papers (such as agendas, minutes, papers presented)
- formal correspondence
- annual reports

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
3.2
Sector strategy development  Records that document the development of strategies and action plans at a 
Date of last action
10 years
A - Retain As  Deputy Chief 
DA 210 7.2
and reporting where the 
national level where the Ministry is the lead agency and the reporting against 
Public Archive Executive of 
DA 210 11.1
Ministry is the lead 
the initiatives that fall under the strategies that have been developed. This 
relevant branch or  DA 210 14.1
includes records created as part of the development process and the final 
delegate
strategy documents. Example sector strategies/programmes are:
- Skilled and Safe Workplaces
- Tertiary Education Strategy
- Regional Economic Strategies
- Māori Economic Development Strategy and Action Plan, He Kai Kei Aku Ringa
- East Coast Study
- Northland Regional Study
- New Zealand Settlement Strategy
- Refugee Resettlement Strategy
- Better Public Service - Result 9
- Government Events Strategy
Example records may include:
- substantive drafts of papers/reports and finals
- research and analysis supporting strategy development
- consultation documents and feedback provided by external parties
- discussion papers 
3.3
Sector action plan 
Records documenting the management and oversight of the implementation 
Date of last action
10 years
A - Retain As  Deputy Chief 
Records of a routine and 
implementation where the 
of sector strategies and action plans where the Ministry is the lead agency. 
Public Archive Executive of 
low level nature that are 
Ministry is the lead - 
Records may include:
relevant branch or  created as part of sector 
programme management 
- programme plans
delegate
action plan 
records 
- project plans
implementation are 
- communication strategies
covered by GDA 7
- project and programme reporting documents

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
3.4
Partner working groups and 
Records of partner working groups and/or industry advisory groups 
Date of last action
10 years
D - Destroy
Deputy Chief 
industry advisory groups 
established to support and provide advice to the Ministry as part of the 
Executive of 
implementation of sector action plans and strategies. Example groups include:
relevant branch or 
- Auckland Joint Officials Group (AJOG)
delegate
- Urban Oversight Group (UOG)
Records may include:
- agendas, minutes and other meeting records
- discussion documentation
- communications with the working party

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
4
STRATEGIC POLICY DEVELOPMENT AND ADVICE TO GOVERNMENT
This class covers records of the activity of development and providing strategic policy advice to the New Zealand government and Ministers in the areas of the Ministry's core functions. 
4.1
Strategic policy development  Records concerning the development of strategic policy across all the 
Date of last action
10 years
A - Retain As  Deputy Chief 
DA 210 4.1
Ministry's functions and outputs, including:
Public Archive Executive of 
DA 266, DBH 
- policy proposals
relevant branch or  Implementation Guide 
- substantive drafts of reports
delegate
6/1.1
- research and analysis supporting policy development
- minutes and notes of meetings
- consultation process documents
- feedback provided by external parties
- discussion papers for external comment and input
- speeches
- position papers
- briefings to Chief Executive and Ministers
- regulatory impact statements
- finalised policy papers
- includes joint or combined policy initiatives where the Ministry is the lead 
agency 
4.2
Operational policy and 
Records of the design of frameworks and services to deliver strategic policy 
Date of last action
10 years
D - Destroy
Deputy Chief 
service design
and regulatory implementation through operational channels. For example, 
Executive of 
fees reviews, the establishment of processes across the Ministry (and 
relevant branch or 
sometimes with other agencies) to administer a change to regulations such as 
delegate
new type of mediation, or compliance and enforcement regimes. Records 
may include:
- service design planning
- process development
- discussion and consultation papers
- publicity material
4.3
Programme and project 
Records of the planning and oversight of policy implementation projects. 
Date of last action
10 years
D - Destroy
Deputy Chief 
development arising from 
Records may include:
Executive of 
policy and legislation for 
- project planning and management records
relevant branch or 
which the Ministry has 
- project reporting
delegate
primary responsibility
- requests for proposals and evaluation of those proposals
- contacts for implementation services

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
4.4
Canterbury Recovery 
Records of the Canterbury Recovery Programme and Ministry-led strategic 
Date of last action
10 years
A - Retain As  Deputy Chief 
Separated out as it is in 
Programme Development 
policy areas for this programme. Includes:
Public Archive Executive of 
response to a one off 
and Implementation
- strategy development
relevant branch or  significant event - even 
- work programme planning and management
delegate
though it is largely 
- work stream management
standard "policy 
- public guidance material produced
development" activities
- technical guidance material produced
- briefings for Chief Executive and Ministers 
- reports
- models
- requests for proposals
- facilitation of workshops
4.5
Public competition records
Records of competitions led by the Ministry where the outcome provides 
Date of last action
10 years
A - Retain As  Deputy Chief 
resource and research to support the development of policy and/or 
Public Archive Executive of 
standards. For example " Simple House Competition" or the "Breathe 
relevant branch or 
Competition" for the redesign of Latimer Square in Christchurch. Records may 
delegate
include:
- Competition planning
- Evaluation criteria
- Publicity
- Entries
- Review of competition outcomes
4.6
Policy development or review  Records that document the development or review of government policy 
Date of last action
20 years
D - Destroy
Deputy Chief 
where the Ministry is not the  where the project is being led by another agency. Secondary policy advice. 
Executive of 
lead agency
Includes:
relevant branch or 
- information received
delegate
- contributions and feedback provided
- meeting records

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
4.7
Aggregated/anonymised data  Data gathered (or sourced) and aggregated/anonymised to support strategic 
End of the calendar 
50 years
D - Destroy
Deputy Chief 
This sub-class is marked as 
and code
policy development and implementation. Typically stored in large 
year that the data 
Executive of 
D because although it has 
databases/datasets. Also includes the code written to allow interrogation and 
represents
relevant branch or  long term business value 
use of the data, and metadata associated with the data. 
delegate
to the Ministry it does not 
have archival value
Records may include:
- anonymised questionnaire/survey results
- time series data
- data models
- code to assist with using the data
4.8
Published research papers
Records that document the development of original research/occasional 
Date of last action
10 years
D - Destroy** Deputy Chief 
**One copy of every 
papers (often as a result of the research conducted to support policy 
Executive of 
publication is to be 
development) where the Ministry is the lead.
relevant branch or  provided to the  Ministry 
delegate
corporate library for 
retention.
**Two copies of all 
published papers 
(whether hard copy or 
electronic) must be 
deposited with the 
National Library under the 
Legal Deposit Scheme
4.9
Unpublished research papers Unpublished reports produced and published from data collated and analysed 
Date of last action
10 years
A - Retain As  Deputy Chief 
DBH Implementation 
as part of strategic policy advice activities that are developed to support 
Public Archive Executive of 
Guide 1.5/1
research, sector and policy activities.
relevant branch or 
delegate
4.10
Completed interview, 
Questionnaires and/or survey forms and/or interview transcripts completed 
Date of last action
3 years
D - Destroy
Deputy Chief 
questionnaires, survey data 
to support research activities. Includes raw data. May be about identifiable 
Executive of 
that may be identifiable
individuals.
relevant branch or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
5
REGULATORY REGIME DEVELOPMENT AND COMPLIANCE
This class covers records concerning the development of legal instruments such as standards and regulations and the guidance provided to those who must adhere to the instruments. It also includes compliance 
and enforcement activities.
5.1
Regulatory instrument 
Records documenting the development of regulations, standards and their 
Date of last action
50 years
A - Retain As  Deputy Chief 
DA 264, DBH 
development
subsequent review and revision. Includes records of proposals for change 
Public Archive Executive of 
Implementation Guide 
received and amendments drafted to the regulatory regime.  For example, 
relevant branch or  1/2.1
building regulations, the building code, product safety standards, 
delegate
employment standards, immigration advisers competency standards. Includes 
guidance, advice and project records, determination outcomes.
5.2
Technical guidance
Technical guidance, education and promotion.  Records relating to the 
Date of last action
10 years
D-Destroy** Deputy Chief 
DA 264, DBH 
development and delivery of technical education and promotion to the 
Executive of 
Implementation Guide 
sector.  Includes planning and strategy documentation, programme content, 
relevant branch or  1/4.1
promotion of courses and course evaluation. For example:
delegate
- technical guides developed in relation to building products and approaches 
**One copy of every 
after the Canterbury Earthquakes
publication is to be 
- technical guidance on engine fuels specifications
provided to the  Ministry 
corporate library for 
retention.
**Two copies of all 
published papers 
(whether hard copy or 
electronic) must be 
deposited with the 
National Library under the 
Legal Deposit Scheme
5.3
Building consent and 
Liaison with Territorial and Regional Authorities - records detailing 
Date of last action
10 years
D - Destroy
Deputy Chief 
DA 264, DBH 
inspection
interactions with territorial and regional authorities in relation to the building 
Executive of 
Implementation Guide 
consent processes.  Includes general correspondence, technical reviews, 
relevant branch or  8/2.1
complaints and minutes of meetings.
delegate
5.4
Licenced building 
Licencing and personal records detailing registration processes and actions for  Date of last action
Must be 
D - Destroy
Deputy Chief 
practitioners personal files
individual building practitioners.
retained for the 
Executive of 
lifetime of the 
relevant branch or 
practitioner
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
5.5
Licenced building 
Case files dealing with complaints and appeals against licenced building 
Date of last action
Must be 
D - Destroy
Board Chair or 
practitioners complaint and 
practitioners.
retained for the 
delegate
appeal records
lifetime of the 
practitioner
5.6
Licenced Building 
Records of the Board. Includes:
Date of last action
10 years
A - Retain As  Board Chair or 
Practitioners Board records
- Agendas
Public Archive delegate
- Papers presented
- Minutes
- Formal correspondence
- Policy records
5.7
Licenced building 
Records created to support the operation of the Licenced Building 
Date of last action
10 years
D - Destroy
Board Chair or 
See also GDA 6 for 
practitioners operations 
Practitioners Board. Includes:
delegate
corporate records
records
- Education and publicity material
- Operational planning and reporting
- Subject records
5.8
Electrical Workers 
Records of the Board. Includes:
Date of last action
10 years
A - Retain As  Board Chair or 
Registration Board records
- Agendas
Public Archive delegate
- Papers presented
- Minutes
- Formal correspondence
- Policy records
5.9
Register of electrical workers  Covers the formal records of registration of electrical workers. Includes 
Date of last 
80 years
D - Destroy
Board Chair or 
and registration records
records held in the registers of electrical workers and the registration 
registration
delegate
applications and associated correspondence. 
5.10
Electrical workers practising 
Records of the applications and issuing of practising licences which are 
Date of issue of last 
10 years
D - Destroy
Board Chair or 
licence records
required every two years for electrical workers who wish to carry out 
practicing certificate
delegate
prescribed electrical work in their own right.
5.11
Electrical workers operations  Records created to support the operations of the Electrical Workers 
Date of last action
10 years
D - Destroy
Board Chair or 
See also GDA 6 for 
records
Registration Board. Includes:
delegate
corporate records
- Education and publicity material
- Operational planning and reporting
- Examination papers and results
- Subject records
5.12
Electrical workers complaint  Covers both records of complaints made to the Board about electrical workers  Date complaint or 
10 years
D - Destroy
Board Chair or 
and investigation records
(created by the Board), and the records of investigations carried out into the  investigation is settled
delegate
complaints by MBIE staff

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
5.13
Support and advice provided  Records created to provide support and advice to independent occupational 
Date of last action
10 years
D - Destroy
Deputy Chief 
to independent occupational  licencing boards such as:
Executive of 
licencing boards
- Chartered Professional Engineers Council (CPEC)
relevant branch or 
- Electrical Workers Registration Board (EWRB)
delegate
- NZ Registered Architects Board (NZRAB)
- Plumbers Gasfitters and Drainlayers Board (PGDB)
- State Housing Appeals Authority (SHAA)
- Building Practitioners Board
- Engineering Associates Registration Board
Records may include:
- Records of Board appointments 
- Operational policy advice
- Guidance information
- Education and publicity material
- Operational planning and reporting
5.14
Monitoring, review and 
Records of formal monitoring, reviews, audits and evaluation to assess 
Date of last action
20 years
A - Retain As 
Deputy Chief 
evaluation of regulatory 
performance, delivery of outputs, viability and on-going management. 
Public Archive Executive of 
regimes
Records may include:
relevant branch or 
- terms of reference
delegate
- review reports
- submissions
- audit reports and schedules
5.15
Trade remedy case files
Case files relating to the investigation of foreign manufacturers for the 
When case is 
20 years
D - Destroy
Deputy Chief 
dumping of goods on the New Zealand market that may cause “material 
completed
Executive of 
injury” to the domestic manufacturer. Includes records of any anti-dumping, 
relevant branch or 
countervailing, or safeguard duties imposed and reviews of those duties.
delegate
5.16
Trade remedy summary 
Summary records and final reports of all trade remedy cases. To be retained 
When case is 
20 years
A - Retain As  Deputy Chief 
To be restricted once 
records
to show evidence of compliance with international obligations under World 
completed
Public Archive Executive of 
transferred to Archives 
Trade Organisation agreements.
relevant branch or  New Zealand
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
6
 MONITORING OF CROWN ENTITIES, STATUTORY ENTITIES, INSTITUTIONS AND OTHER EXTERNAL BODIES
This class covers records documenting the process of the formal monitoring of crown entities, statutory entities, institutions and other external bodies and the reporting carried out as part of that monitoring.
6.1
Framework development and  Records of the development and oversight of the monitoring framework used 
Date of last action
10 years
A - Retain As 
Deputy Chief 
management
across the Ministry as the methodology and approach for monitoring the 
Public Archive Executive of 
performance of external bodies. Records may include:
relevant branch or 
- development of methodology and approach
delegate
- overview of framework
- reporting and review of framework
6.2
Monitoring reports
Records of the development of quarterly and annual performance monitoring  End of financial year 
20 years
D - Destroy
Deputy Chief 
DA 210 9.1
reports for all bodies monitored by the Ministry. Examples of bodies 
the report relates to
Executive of 
monitored by the Ministry include:
relevant branch or 
- New Zealand Trade and Enterprise
delegate
- Takeovers Panel
- Housing New Zealand Corporation
- Landcare Research
- Commerce Commission
- Marsden Fund Council
- Electricity Authority Ruling Panel
- Remuneration Authority
Records may include:
- records of the development of the quarterly and annual reports
- final reports provided to the Minister
- correspondence with the monitored entity about the findings
- advice to Ministers on the performance of the entities
6.3
Monitoring supporting 
Monitoring supporting information covers all supporting and background 
End of financial year 
20 years
D - Destroy
Deputy Chief 
information
information gathered and used to prepare all monitoring-related reports on 
the report relates to
Executive of 
an entity basis. Includes  documentation supplied by the entity being 
relevant branch or 
monitored.
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
6.4
Board appointment records 
Board appointment records are those detailed records of appointments to 
Date the person 
10 years
A - Retain As 
Deputy Chief 
Boards made by the Ministry; i.e. where the Ministry is responsible (on behalf  ceases to be an active 
Public Archive Executive of 
of the Minister) for appointing/approving Board members and managing the 
Board 
relevant branch or 
appointment process. Includes records of:
member/candidate
delegate
- candidate information
- applications (successful and unsuccessful)
- background checks
- evaluative material
6.5
Investigation/major 
Records of any investigation or special monitoring undertaken at the request 
Date of last action
20 years
D - Destroy
Deputy Chief 
occurrence records
of the Minister into the performance of the monitored entity. Usually as a 
Executive of 
result of some form of "major occurrence". For example:
relevant branch or 
- Approval for spending over $10 million dollars such as the AgResearch 
delegate
planned rebuild in Lincoln
Records may include:
- background papers
- research documents
- drafts and finals of investigation reports
6.6
Operational policy, 
Records of operational policy, procedures, methodology and manuals for 
Date superseded 
7 years
D - Destroy
Deputy Chief 
methodology and manuals
crown entity and institutions monitoring  activities.
Executive of 
relevant branch or 
delegate
6.7
Reporting and analysis 
Records, statistical returns and analysis providing summary information in 
Date of last action
25 years
D - Destroy
Deputy Chief 
records 
relation to crown entity and institution monitoring activities. Includes:
Executive of 
- monthly reporting
relevant branch or 
- adhoc business analysis and intelligence 
delegate
- trend analysis

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
7
SECTOR, SYSTEM and PORTFOLIO MONITORING
This class covers records relating to the monitoring of and reporting on sectors, systems and portfolios and their performance.
7.1
Reviews and evaluations
Review and evaluation records produced as a result of monitoring and 
Date of last action
10 years
A - Retain As  Deputy Chief 
analysis. 
Public Archive Executive of 
relevant branch or 
delegate
7.2
Unpublished research reports Unpublished reports produced from data collated and analysed about sectors, 
Date of last action
10 years
A - Retain As  Deputy Chief 
systems and portfolios that are developed to support research, sector and 
Public Archive Executive of 
policy activities. Records that document the development of original 
relevant branch or 
research/occasional papers where the Ministry is the lead that are not 
delegate
published.
7.3
Published research reports
Reports produced and published from data collated and analysed. For 
Date of last action
10 years
D - Destroy** Deputy Chief 
**One copy of every 
example:
Executive of 
publication is to be 
- International Visitor Survey
relevant branch or  provided to the  Ministry 
- Regional Government Expenditure Report
delegate
corporate library for 
- Economic Development Indicators Report
retention.
- The New Zealand Cycle Trail Evaluation Report
- ICT Sector Economic Performance
**Two copies of all 
- Food and Beverage Overview Report 
published papers 
- The Knowledge Intensive Services Sectors Report 
(whether hard copy or 
- Regional Economic Activity Report
electronic) must be 
deposited with the 
National Library under the 
Legal Deposit Scheme
7.4
Aggregated/anonymised data  Raw data gathered (or sourced) and aggregated/anonymised to support 
End of the calendar 
50 years
D - Destroy
Deputy Chief 
This sub-class is marked as 
and code
sector, system and portfolio monitoring activities. Typically stored in large 
year that the data 
Executive of 
D because although it has 
databases. Includes both the data and metadata. Example data series:
represents
relevant branch or  long term business value 
- Confidentialised data from Household Labour Force Survey
delegate
to the Ministry it does not 
- JobsOnline data from Seek and TradeMe
have archival value
Records may include:
- questionnaire/survey results
- time series data
- code to assist with use of the data

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
7.5
Analysis methodology 
Records about the methodologies used to analyse data and documentation 
End of the calendar 
50 years
D - Destroy
Deputy Chief 
This sub-class is marked as 
records
about the data sets that support on-going use of the data. For example:
year that the data 
Executive of 
D because although it has 
- records of how data was used, collated and analysed
represents
relevant branch or  long term business value 
- records of data collection processes and tools such as memoranda of 
delegate
to the Ministry it does not 
understanding or agreements with data supply organisations such as Statistics 
have archival value. These 
New Zealand, TradeMe, etc.
records need to be 
retained for the same 
length of time as the data 
in order to make sense of 
the data and to allow re-
use.
7.6
Reporting and analysis 
Records, statistical returns and analysis providing summary information in 
Date of last action
25 years
D - Destroy
Deputy Chief 
records 
relation to sector, system and portfolio monitoring. Analysis activities include 
Executive of 
working papers, draft reports, tables, technical analysis models, questionnaire 
relevant branch or 
development etc. to support analysis and forecast modelling. The records are 
delegate
typically held in large data stores of modelling tools and as well as data 
include documentation on the data models, and how they work. Records 
produced may include:
- charts and graphs
- data comparison records
- data models
- documentation about the data models

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
8
BUSINESS INTEGRITY SERVICES
This class covers records relating to the provision of business integrity services covering company registration, Director appointments, insolvency and trustee activities. Also includes proceeds of crime records.
8.1
Bankruptcy case files - 
Case files relating to complex bankruptcy cases. Case files may contain records  Date the case  is 
10 years
A - Retain As  Deputy Chief 
DA378/1.1
complex
such as:
closed or the Debtor 
Public Archive Executive Market 
- correspondence 
discharged - 
Services or 
- trust account records
whichever is the later
delegate
- claims register
- asset register
- creditors reports
8.2
Bankruptcy, No Asset 
Non complex bankruptcy case files that are relatively minor in nature and of 
Date the case  is 
6 years
D - Destroy
Deputy Chief 
DA378/1.2
Procedure  (NAP)and 
no on-going value. Case files may contain records such as:
closed or the Debtor 
Executive Market 
Summary Instalment Order  
- correspondence 
discharged - 
Services or 
(SIO) case files - non complex - trust account records
whichever is the later
delegate
- claims register
- asset register
- creditors reports
8.3
Liquidation case files - 
Case files relating to complex liquidations. Case files may contain records such  Date case closed
10 years
A - Retain As  Deputy Chief 
DA378/1.3
complex
as:
Public Archive Executive Market 
- correspondence 
Services or 
- trust account records
delegate
- claims register
- asset register
- liquidators reports
8.4
Liquidation case files - non 
Non complex liquidation case files that are relatively minor in nature and of 
Date case closed
6 years
D - Destroy
Deputy Chief 
DA378/1.4
complex
no on-going value. Case files may contain records such as:
Executive Market 
- correspondence 
Services or 
- trust account records
delegate
- claims register
- asset register
- liquidators reports
8.5
Business records of 
Business records of bankrupt or liquidated companies provided by the 
After liquidation 
1 year
D - Destroy
Deputy Chief 
bankrupt/liquidated 
company to the Ministry in order to complete liquidation processes as per 
processes complete
Executive Market 
companies
Companies Act 1993 Section 256 1(b).
Services or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
8.6
Insolvency summary 
Summary details of all bankruptcy, NAP and SIO and liquidation events. 
Date of last action
10 years
A - Retain As  Deputy Chief 
records/register
Generated from the Insolvency database and published online as required by 
Public Archive Executive Market 
the Insolvency Act 2006.
Services or 
delegate
8.7
Proceeds of crime case files
Case files initiated once a restraining order or confiscation order is received 
Date case closed
7 years
D - Destroy
Deputy Chief 
DA378/2
from the High Court. 
Executive Market  Increase in retention 
Services or 
period from 6 to 7 years
delegate
8.8
Enforcement case files - 
Records created during investigations into action for breaches of legislation 
Date case closed
7 years
D - Destroy
Deputy Chief 
DA378/3.1
investigations (prosecution)
where a decision is made to proceed with prosecution.
Executive Market  Increase in retention 
Services or 
period from 6 to 7 years
delegate
8.9
Enforcement case files - 
Records created during investigations into action for breaches of legislation 
Date case closed
7 years
D - Destroy
Deputy Chief 
investigations (non-
where a decision is made not to proceed with prosecution.
Executive Market 
prosecution)
Services or 
delegate
8.10
Enforcement case files - 
Case files regarding people prohibited/banned from involvement as a 
Date case closed
10 years
A - Retain As  Deputy Chief 
DA378/3.2
Director prohibition
director, manager or promoter in companies for a period not exceeding five 
Public Archive Executive Market 
years under section 385 of the Companies Act 1993.
Services or 
delegate
8.11
Enforcement case files - 
Case files regarding people investigated under section 385 of the Companies  Date case closed
7 years
D - Destroy
Deputy Chief 
DA378/3.3
Director non-prohibition
Act 1993 but not prohibited or banned.
Executive Market  Increase in retention 
Services or 
period from 6 to 7 years
delegate
8.12
Enforcement case files - 
Summary statistics of prosecutions and prohibited directors - published for 
Date of last action
7 years
D - Destroy
Deputy Chief 
DA378/3.4
summary records
public access.
Executive Market  Increase in retention 
Services or 
period from 6 to 7 years
delegate
8.13
Directors appointment 
Records supplied by individuals to support Director appointment processes to  Date of last action
7 years
D - Destroy
Deputy Chief 
records
become Directors of New Zealand companies. Documents provided to support 
Executive Market 
verification of eligibility.
Services or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
8.14
Business registers (summary  The business registers refer to the ‘summary data’ about companies and 
Date of last entry in 
10 years
A - Retain As  Deputy Chief 
Deferral of deposit will be 
data)
individuals created to support New Zealand business operations and 
the register
Public Archive Executive Market  sought meaning the 
compliance with legislation. The records are usually provided in summary 
Services or 
register stays with the 
form as an online business database/register. Example registers/summary 
delegate
Companies Office and is 
data include:
not to be transferred to 
- Companies Register
Archives New Zealand
- Personal Property Securities Register
- Incorporated societies
- Charitable trusts
- Friendly societies & credit unions
- Limited partnerships
- Retirement villages
- Financial service providers
Note: This sub-class does not include the actual company file or detailed 
documents relating to companies and/or organisations/individuals. See sub-
class 8.15 and 8.16 for those records.

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
8.15
Selected company records 
Company records/detailed documentation created to support the registration  When company is 
10 years
A - Retain As  Deputy Chief 
DA377
and oversight of New Zealand companies. All now created electronically. 
struck off the register
Public Archive Executive Market 
Were previously known as ‘the company file’ (which is separate to the 
Services or 
summary data/company register). Retain company records relating to 
delegate
companies that fit within one of the following criteria
will ensure that:
- records that relate to prominent, large or ‘iconic’ New Zealand companies – 
along with overseas companies registered on the New Zealand Companies 
Register – are retained as archives. These ‘iconic’ companies are those that 
have significantly impacted on the development of New Zealand’s economic 
and social identity, such as Brierley Investments Limited, Fletcher Challenge 
Finance Holdings Limited, and Fisher & Paykel Appliances Limited;
- all specialised sections of the Companies Register are captured as archives, 
including Incorporated Societies, which provide evidence of a diverse range of 
community activity;
- Iwi-based companies are retained. It is expected that, as a result of the 
Treaty claim process, all Iwi-based companies have more than two directors 
with more than $50,000 share capital.
8.16
All other Company records
All other Company records/detailed documentation of companies that do not  When company is 
10 years
D - Destroy
Deputy Chief 
DA377
meet the criteria listed above. All now created electronically. Were previously  struck off the register
Executive Market 
known as ‘the company file’ (which is separate to the summary data/company 
Services or 
register).
delegate
8.17
Company information 
Company information/summary data that is no longer required due to 
Date of last action
7 years (unless 
D - Destroy
Deputy Chief 
required to be removed by 
changes in Company legislation, or information that is required to be removed 
specific 
Executive Market 
legislation
from registers/summary data due to legislative requirements. For example:
legislation  
Services or 
- Details of Company Secretaries 
specifies 
delegate
- Details of Auditors
differently)

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
9
CONSUMER SERVICES AND MONITORING
This class covers records created to support compliance with trading standards including trade measurement, auctioneers registration, fuel quality, product safety and recalls to support good practices.
9.1
Trading standards decisions 
Records of advice provided to companies and individuals and internal 
Date of last action
7 years
D - Destroy
Deputy Chief 
and opinions
procedure about compliance with trading standards legislation. Includes 
Executive Market 
advice about:
Services or 
- legal metrology
delegate
- accreditation (of companies and individuals)
- administration of registers
- fuel quality
9.2
Trade measurement 
Records documenting the operation of trade measurement. Includes:
Date of last action
7 years
D - Destroy
Deputy Chief 
operations records
- procedures
Executive Market 
- records of breaches, infringements, prosecutions, complaints and 
Services or 
inspections
delegate
- laboratory
- accreditation scheme records
9.3
Approvals
Approval documents issued for equipment approved for use in trade under 
Date of revocation of 
7 years
D - Destroy
Deputy Chief 
the Weights and Measures Act and subordinate legislation.
approval
Executive Market 
Services or 
delegate
9.4
Administration of registers
Records documenting the registration of occupations administered by Trading 
Date of expiry of 
7 years
D - Destroy
Deputy Chief 
Standards, including auctioneers and motor vehicle traders.
registration
Executive Market 
Services or 
delegate
9.5
Fuel quality sampling records Records of fuel sampling and reporting.
Date of last action
7 years
D - Destroy
Deputy Chief 
Executive Market 
Services or 
delegate
9.6
Fuel levy collection
Records of levies collected in relation to motor fuels.
Date of last action
7 years
D - Destroy
Deputy Chief 
Executive Market 
Services or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
9.7
Product safety recalls
Records relating to:
Date of last action
7 years
D - Destroy
Deputy Chief 
- the issues of compulsory recall orders by the Minister under s.32 of the Fair 
Executive Market 
Trading Act 1986
Services or 
- the notification of voluntary recalls under s.31A of the Fair Trading Act 1986
delegate
- monitoring of recall implementation (mandatory or voluntary) for which the 
Ministry is responsible under the Fair Trading Act 1986 
9.8
Fuel levy collection
Product safety policy statements
Expiry or revocation of 
7 years
D - Destroy
Deputy Chief 
statement
Executive Market 
Services or 
delegate
9.9
Product safety case records
Case records relating to complaints, public enquiries, investigations into the 
Date of last action
8 years
D - Destroy
Deputy Chief 
safety of products. Includes records relating to the issue of suspension of 
Executive Market 
supply notices by Product Safety Officers under s.33D of the Fair Trading Act 
Services or 
1986.
delegate
9.10
Unsafe goods notices
Records of unsafe goods notices issued by the Ministry as an Order in Council Expiry or revocation of 
7 years
D - Destroy
Deputy Chief 
notice
Executive Market 
Services or 
delegate
9.11
Register of licenced 
Register of licenced Immigration Advisers created to support New Zealand 
When database is 
2 years
A - Retain As  Deputy Chief 
Immigration Advisers
immigration processes and compliance with legislation such as the 
superseded 
Public Archive Executive Market 
Immigration Advisers Licencing Act 2007. The records are provided in 
/decommissioned 
Services or 
summary form as an online business database. 
delegate
9.12
Immigration Advisers 
Summary information held about licenced Advisers, complaints, investigations  When database is 
2  years
A - Retain As  Deputy Chief 
summary records
and prosecutions. Held in the form of a database.
superseded 
Public Archive Executive Market 
/decommissioned 
Services or 
delegate
9.13
Immigration Advisers licence  Records of applications and licences granted to Immigration Advisers. Must be 
Date of last 
20 years
D - Destroy
Deputy Chief 
records
renewed every 12 months. Includes:
registration
Executive Market 
- applications
Services or 
- renewal documentation
delegate
- supporting documentation
- correspondence

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
9.14
Complaints against 
Records of complaints received and responded to about poor immigration 
Date of complaint 
20 years
D - Destroy
Deputy Chief 
Hearing records/cases of 
Immigration Advisers
advice against a licenced Adviser. Includes case records determined by the 
resolution/case 
Executive Market  the Immigration Advisors 
Immigration Advisors Disciplinary Tribunal.
closure
Services or 
Disciplinary Tribunal are 
delegate
retained for 8 years after 
the appeal period of the 
hearing then destroyed 
under Ministry of Justice 
DA 415 
9.15
Immigration advice 
Records of investigations (that may or may not lead to prosecution), into 
Date of investigation 
25 years
D - Destroy
Deputy Chief 
Complements the time 
investigations and 
unlicensed immigration advice activities. Includes case files.
resolution/case 
Executive Market  period for major fraud 
prosecutions
closure
Services or 
immigration application 
delegate
cases
9.16
Consumer advice and 
Records of advice and education provided to consumers/general business, 
Date of last action
7 years
D - Destroy
Deputy Chief 
education
workers and the public. May include:
Executive Market 
- formally published educational material such as posters, pamphlets, 
Services or 
websites etc.
delegate
- personalised advice in response to enquiries 
- workshop material
9.17
Product safety recalls and 
Summary details  of product safety recalls and alerts. Records include: unsafe  Date of last action
10 years
A - Retain As  Deputy Chief 
alerts - summary 
goods notices, revoked or expired unsafe goods notices, product safety recalls 
Public Archive Executive Market 
records/register
and alerts.
Services or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
10
EMPLOYMENT RELATIONS SERVICES
This class covers records documenting the management and operations of employment relations services provided by the Ministry.
10.1
Collective agreements
One copy of every collective agreement agreed to between employers and 
Date agreement is 
10 years
A - Retain As 
Deputy Chief 
employees as submitted to the Ministry by the parties to the agreement.
superseded
Public Archive Executive LACE or 
delegate
10.2
Strike and lock out 
Notifications of planned strikes and/or lockouts.
Date of strike/lock out
10 years
D - Destroy
Deputy Chief 
notifications
Executive LACE or 
delegate
10.3
Labour inspection case 
Case files that document the inspection and resolution process. Includes:
From date of case 
10 years
D - Destroy
Deputy Chief 
DA 120
files/investigation records
- correspondence/complaints
closure
Executive LACE or 
- witness statements
delegate
- photos/voice recordings
- evidence documentation
- enforcement information
10.4
Labour inspector summary 
Summary record/register of the case files held in line of business database 
From date of last entry
10 years
A - Retain As 
Deputy Chief 
DA 120
case records
(INSITE or its replacement). Also includes the Serious Case Register.
Public Archive Executive LACE or 
delegate
10.5
Labour inspector audits and 
Records of targeted proactive projects to address labour issues within 
Date of last action
10 years
D - Destroy
Deputy Chief 
assessments
particular industries/sectors; i.e. non-employer/case-specific operations. For 
Executive LACE or 
example:
delegate
- Assessment of labour conditions in liquor outlets in Auckland
- Assessment of labour conditions and issues in Christchurch rebuild industries
Records may include:
- project planning records
- relationship management records (with other contributing agencies)
- briefings
- working papers
- reports
10.6
Minimum wage exemption 
Records documenting the exemption process when an employee and 
Date of permit expiry
10 years
D - Destroy
Deputy Chief 
records
employer have a permit in place to pay less than the minimum wage.
Executive LACE or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
10.7
Investigation panel records
Records of internal investigation advisory groups established to provide 
Date of last action
10 years
D - Destroy
Deputy Chief 
labour inspectors with advice on large and/or complex labour inspection 
Executive LACE or 
cases.
delegate
10.8
Reporting and analysis 
Records, statistical returns and analysis providing summary information in 
Date of last action
25 years
D - Destroy
Deputy Chief 
records 
relation to employment relations activities. Includes:
Executive LACE or 
- monthly reporting
delegate
- adhoc business analysis and intelligence 
- trend analysis
- working papers
10.9
Operational policy, 
Records of operational policy, procedures, methodology and manuals to 
Date superseded
10 years
D - Destroy
Deputy Chief 
methodology and manuals
support employment relations activities.
Executive LACE or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11
IMMIGRATION SERVICES and Operations
This class covers records created as part of the delivery of New Zealand immigration services and operations.
11.1
Operational policy and 
Records of the interpretation of government policy into instructions, 
Date when 
25 years
D - Destroy
Deputy Chief 
process guidance
processes and guidance for immigration activities. Includes the Immigration 
superseded
Executive 
Toolkit, Detention Manual, etc.
Immigration New 
Zealand or 
delegate
11.2
Records of Privacy Act 
Records of internal investigation into any privacy breach.
Date of last action
10 years
D - Destroy
Deputy Chief 
complaints
Executive 
Immigration New 
Zealand or 
delegate
11.3
Reporting and analysis 
Records of statistical returns and analysis providing summary information in 
Date of last action
25 years
D - Destroy
Deputy Chief 
OP 00/0078 
records 
relation to immigration services and support activities. Includes:
Executive 
- monthly and quarterly reporting 
Immigration New 
- adhoc business analysis and intelligence 
Zealand or 
- trend analysis
delegate
- datasets contained in data warehouses (e.g. The MBIE Datawarehouse)
- working papers
Attraction and settlement records
11.4
Attraction and settlement 
Records of the publication, production and distribution  of products (including  When product has 
5 years
D - Destroy**
Deputy Chief 
**One copy of every 
product finals
final versions) prepared to support the attraction of migrants to New Zealand  been superseded
Executive 
publication is to be 
and the settlement of migrants and refugees in New Zealand. Includes those 
Immigration New  provided to the  Ministry 
products targeted at attracting migrants, at providing migrants and refugees 
Zealand or 
corporate library for 
with information about living and working in New Zealand, and those targeted 
delegate
retention.
at employers providing information about employing and supporting migrants 
as employees. Includes hard-copy and online products. 
**Two copies of all 
published papers 
(whether hard copy or 
electronic) must be 
deposited with the 
National Library under the 
Legal Deposit Scheme

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11.5
Content development for 
Covers records of development of content of settlement products, including 
Date of last action
10 years
D - Destroy
Deputy Chief 
settlement products
stakeholder consultation and stakeholder feedback records.
Executive 
Immigration New 
Zealand or 
delegate
11.6
Settlement service contract 
Records relating to the awarding and management of contracts for the 
Date of expiry of the 
7 years
A - Retain As 
Deputy Chief 
management
provision of settlement services. For example with:
contract
Public Archive Executive 
- Red Cross
Immigration New 
- Citizens Advice Bureau
Zealand or 
- Local authorities
delegate
Includes:
- Request for proposal documentation and evaluation
- Agreed contracts
- contract relationships management
- contract reporting and performance monitoring
11.7
Demographic settlement data Summary data of demographic information relating to migrant  clients of 
End of life of the 
7 years
D - Destroy
Deputy Chief 
The Settlement Services 
settlement services. 
database
Executive 
database is no longer 
Immigration New  being updated. Data from 
Zealand or 
new services is now 
delegate
uploaded from excel 
spreadsheets to The MBIE 
Datawarehouse.
11.8
Client satisfaction surveys
Results of Client satisfaction with settlement services surveys undertaken 
Date of last action
10 years
D - Destroy
Deputy Chief 
annually by external provider.
Executive 
Immigration New 
Zealand or 
delegate
11.9
Attraction event records
Records relating to the attendance at promotional events to attract migrants  Date of last action
7 years
D - Destroy
Deputy Chief 
to New Zealand such as expos in other countries. 
Executive 
Immigration New 
Zealand or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11.10
Intake Lists
Lists of refugees and asylum seekers that come into New Zealand though the  Date of last action
10 years
D - Destroy
Deputy Chief 
Refugee Centre.
Executive 
Immigration New 
Zealand or 
delegate
11.11
Incident records
Records of any incidents at the Mangere Refugee Resettlement Centre.
Date of last action
10 years
D - Destroy
Deputy Chief 
Executive 
Immigration New 
Zealand or 
delegate
11.12
Asylum seeker register
Register providing details of asylum seekers.
Date of decision
10 years
A - Retain As 
Deputy Chief 
To be restricted once 
Public Archive Executive 
transferred to Archives 
Immigration New  New Zealand
Zealand or 
delegate
11.13
Resettlement records
Records supporting the management operations of the Refugee Quota Branch  Date of last action
10 years
D - Destroy
Deputy Chief 
Currently stored in the 
to support consideration of refugee cases and, reporting, interviews, intake 
Executive 
Resettlement 
lists, travel arrangements, health screening, case reports.
Immigration New  Management database
Zealand or 
delegate
11.14
Selection mission plans and 
Records documenting the planning and execution of missions to overseas 
Date of decision
10 years
A - Retain As 
Deputy Chief 
To be restricted once 
reports
countries to select and support the New Zealand refugee quota. Includes 
Public Archive Executive 
transferred to Archives 
reports developed following each mission.
Immigration New  New Zealand
Zealand or 
delegate
11.15
Country research and 
Records of research carried out into migrant country of origin, country risk 
Date of last action
10 years
D - Destroy
Deputy Chief 
information records
assessment and profiling and information.
Executive 
Immigration New 
Zealand or 
delegate
Biometric information

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11.16
Biometric information
Records of any biometric information gathered at the New Zealand border 
Date of capture of the 
50 years
D-Destroy
Deputy Chief 
Currently stored in 
and during the immigration lifecycle to support immigration security activities  information
Executive 
datasets outside of the 
such as:
Immigration New  primary immigration 
- photographs of all or part of the person's head and shoulders
Zealand or 
database (AMS), but 
- fingerprints
delegate
expected to be part of the 
- iris scans
core IGMS database (AMS 
replacement)

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
Arrival and departure records
11.17
Arrival Cards
Records of arrival completed by airline passengers on entry into New Zealand  Date of arrival
8 months
D - Destroy
Deputy Chief 
OP 00/0078 
with the exception of those belonging to people unlawfully in New Zealand.
Executive 
Immigration New 
Zealand or 
delegate
11.18
Arrival Cards belonging to 
Records of arrival completed by airline passengers on entry into New Zealand 
To be held until  D - Destroy
Deputy Chief 
OP 00/0078 
people unlawfully in New 
who are people unlawfully in New Zealand.
the individual 
Executive 
Zealand
has left New 
Immigration New 
Zealand or 
Zealand or 
obtained the 
delegate
legal right to be 
in New Zealand
11.19
Departure Cards
Records of departure completed by airline passengers on leaving into New 
Date of departure
8 months
D - Destroy
Deputy Chief 
OP 00/0078 
Zealand.
Executive 
Immigration New 
Zealand or 
delegate
Visa applications health information 
11.20
Visa applications health 
Medical or health information associated with visa applications. Includes 
After date of 
3 years
D - Destroy
Deputy Chief 
information 
medical records associated with New Zealand visa applicants applying for 
completion/submissio
Executive 
Visitor, Student, Work visas.
n of medial records by 
Immigration New 
a physician
Zealand or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
Individual case files (i.e. not application files)
11.21
Individual case Ministerials
Includes all individual immigration cases decided by either the Minister, 
Date of last action
10 years
A - Retain As 
Deputy Chief 
To be restricted once 
Associate Minister of Immigration or a delegated decision maker. Includes 
Public Archive Executive 
transferred to Archives 
both Immigration Service working files, and files supplied to the decision-
Immigration New  New Zealand
maker.
Zealand or 
delegate
11.22
Individual case Section 61 
Includes both Immigration Service working files, and files supplied to the 
Date of last action
10 years
A - Retain As 
Deputy Chief 
To be restricted once 
decisions (made by Visa 
decision-maker. Covers records of individual cases where the decision made 
Public Archive Executive 
transferred to Archives 
Services s61 team) NOT made  results in residence being granted.
Immigration New  New Zealand
by the Minister, Associate 
Zealand or 
Minister of Immigration or a 
delegate
Delegated Decision Maker - 
where decision is for 
residency
11.23
Individual case Section 61 
Includes both Immigration Service working files, and files supplied to the 
Date of last action
10 years
D - Destroy
Deputy Chief 
decisions (made by Visa 
decision-maker. Covers records of individual cases where the decision made 
Executive 
Services s61 team) NOT made  results in temporary visa being granted, and records where there has been a 
Immigration New 
by the Minister, Associate 
refusal to grant or refusal to consider the request.
Zealand or 
Minister of Immigration or a 
delegate
Delegated Decision Maker - 
where decision is for 
temporary visa or is a refusal 
to grant or consider
11.24
Deportation (of resident) 
Resident Deportation records. Includes both Immigration Service working 
Date of last action
50 years
A - Retain As 
Deputy Chief 
To be restricted once 
records
files, and files supplied to the decision-maker.
Public Archive Executive 
transferred to Archives 
Immigration New  New Zealand
Zealand or 
delegate
11.25
Deportation (of Temp Visa 
Temporary Visa holder records. Includes both Immigration Service working 
Date of last action
50 years
A - Retain As 
Deputy Chief 
To be restricted once 
holder) records
files, and files supplied to the decision-maker.
Public Archive Executive 
transferred to Archives 
Immigration New  New Zealand
Zealand or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11.26
Fraud investigation records -  Case files of minor fraud investigations. Minor cases where full investigation is  Date of last action
10 years
D - Destroy
Deputy Chief 
Minor cases
not warranted.
Executive 
Immigration New 
Zealand or 
delegate
11.27
Fraud investigation records -  Case files of major fraud investigations. Full investigation that may lead to 
Date of last action
25 years
D - Destroy
Deputy Chief 
Major cases
prosecution.
Executive 
Immigration New 
Zealand or 
delegate
Complaint records 
11.28
Statutory complaints
Records of complaints made by individuals to statutory bodies such as the 
Date of last action
10 years
D - Destroy
Deputy Chief 
Privacy Commissioner or the Ombudsman about specific immigration 
Executive 
cases/applications.
Immigration New 
Zealand or 
delegate
11.29
Client complaint resolution 
Records of complaints management through the client complaints resolution  Date of last action
10 years
D - Destroy
Deputy Chief 
process files
process (CCRP).
Executive 
Immigration New 
Zealand or 
delegate
Approved applications for permanent entry and permanent residence prior to introduction of IGMS
11.30
Approved National Office 
Includes refugee status and refugee quota applications.
Date of decision
10 years
A - Retain As 
Deputy Chief 
applications up to and 
Public Archive Executive 
To be restricted once 
including October 1991. 
Immigration New  transferred to Archives 
Zealand or 
New Zealand
delegate
11.31.1 Branch Office files where a 
 If no separate National Office file exists then the Branch Office file should be  Date of decision
10 years
A - Retain As 
Deputy Chief 
National Office file does not  transferred to Archives New Zealand 10 years after date of decision. Includes 
Public Archive Executive 
To be restricted once 
exist up to and including 
refugee status and refugee quota applications.
Immigration New  transferred to Archives 
October 1991.
Zealand or 
New Zealand
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11.31.2 Branch Office files up to and  If a separate National Office file exists then the Branch Office file should be 
Date of decision
10 years
D - Destroy
Deputy Chief 
From OP 00/078
including September 1988 
destroyed 10 years after date of decision. Includes refugee status and refugee 
Executive 
Reduction in time period
where a separate National 
quota applications.
Immigration New 
Office file exists.
Zealand or 
delegate
11.32
Approved Overseas Post 
Include refugee status and refugee quota applications.
Date of decision
10 years
A - Retain As 
Deputy Chief 
From OP 00/078
applications  from October 
Public Archive Executive 
Reduction in time period
1988 - October 1991. 
Immigration New  To be restricted once 
 
Zealand or 
transferred to Archives 
delegate
New Zealand
11.33
All entry and permanent 
All entry and permanent residence files for refugees from November 1991 
Date of decision
10 years
A - Retain As 
Deputy Chief 
From OP 00/078
residence files for refugees 
onwards.
Public Archive Executive 
Reduction in time period
from November 1991 
Immigration New  To be restricted once 
onwards.
Zealand or 
transferred to Archives 
delegate
New Zealand
11.34
All application forms from 
All application forms from approved entry and permanent residence files 
Date of decision
10 years
A - Retain As 
Deputy Chief 
From OP 00/078
approved entry and 
from November 1991 onwards except for refugee and appeal files.
Public Archive Executive 
Reduction in time period
permanent residence files 
Includes PAC = Pacific Access Category /SQ = Samoan Quota residence 
Immigration New  To be restricted once 
from November 1991 
categories.
Zealand or 
transferred to Archives 
onwards except for refugee 
NOTE: Only the application form is to be transferred. All other parts of the file 
delegate
New Zealand
and appeal files.
are to be destroyed at time of transfer.
11.35
All other information on 
All other information on approved entry and permanent residence files from  Date of decision
10 years or until  D-Destroy
Deputy Chief 
From OP 00/078
approved entry and 
November 1991 onwards except for refugee and appeal files.  Includes PAC = 
application 
Executive 
Reduction in time period
permanent residence files 
Pacific Access Category/SQ=Samoan Quota Residence categories.
forms are 
Immigration New 
from November 1991 
transferred
Zealand or 
onwards except for refugee 
delegate
and appeal files.
Records of persons who have made appeals prior to introduction of IGMS

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11.36
All records, including 
All records, including applications, section 61 decisions, and client files of 
Date of decision
10 years
A - Retain As 
Deputy Chief 
From OP 00/078
applications, section 61 
persons who have made appeals from National Office, Branch Office and 
Public Archive Executive 
Reduction in time period
decisions, and client files of 
Overseas Post files from October 1988 - October 1991.Includes all records 
Immigration New  To be restricted once 
persons who have made 
related to a person who appealed to the Immigration and Protection Tribunal 
Zealand or 
transferred to Archives 
appeals from National Office,  and its predecessors; the Residence Appeal Authority, the Residence Review 
delegate
New Zealand
Branch Office and Overseas  Board, Removal Review Authority, Deportation Review Tribunal, Refugee 
Post files from October 1988 - Status Appeals Authority. Includes all records of those who complained to the 
October 1991.
Ombudsman or lodged a judicial review.
11.37
All records, including 
All records, including applications, section 61 decisions, and client files of 
Date of decision
10 years
A - Retain As 
Deputy Chief 
From OP 00/078
applications, section 61 
persons who have made appeals from November 1991.Includes all records 
Public Archive Executive 
Reduction in time period
decisions, and client files of 
related to a person who appealed to the Immigration and Protection Tribunal 
Immigration New  To be restricted once 
persons who have made 
and its predecessors; the Residence Appeal Authority, the Residence Review 
Zealand or 
transferred to Archives 
appeals from November 
Board, Removal Review Authority, Deportation Review Tribunal, Refugee 
delegate
New Zealand
1991.
Status Appeals Authority. Includes all records of those who complained to the 
Ombudsman or lodged a judicial review.
Declined applications for permanent entry and permanent residence prior to introduction of IGMS
11.38
Declined National Office, 
All files for declined applications where a compliance action was issued from   Date of decision
10 years
A - Retain As 
Deputy Chief 
From OP 00/078
Branch Office, Overseas Post  October 1988 - October 1991. NOTE: Identified by blue file tag marked 
Public Archive Executive 
Reduction in time period
applications where a 
"secure".
Immigration New  To be restricted once 
compliance action was issued 
Zealand or 
transferred to Archives 
from October 1988 - October 
delegate
New Zealand
1991. 
11.39.1 Branch Office files up to and   If no separate National Office file exists then the Branch Office file should be  Date of decision
10 years
A - Retain As 
Deputy Chief 
From OP 00/078
including September 1988 
transferred to Archives New Zealand 10 years after date of decision. Includes 
Public Archive Executive 
Reduction in time period 
where no separate National 
refugee status and refugee quota applications.
Immigration New  To be restricted once 
Office file exists.
Zealand or 
transferred to Archives 
delegate
New Zealand 
11.39.2  Branch Office files up to and  If a separate National Office file exists then the Branch Office file should be 
Date of decision
10 years
D - Destroy
Deputy Chief 
From OP 00/078
including September 1988 
destroyed 10 years after date of decision. Includes refugee status and refugee 
Executive 
Reduction in time period
where a separate National 
quota applications.
Immigration New 
Office file exists.
Zealand or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11.40
All other declined 
All other declined applications from National Office, Branch Offices, 
Date of decision
10 years
D-Destroy
Deputy Chief 
From OP 00/078
applications from National 
Overseas Posts processed before November 1991. 
Executive 
Reduction in time period
Office, Branch Offices, 
Immigration New 
Overseas Posts processed 
Zealand or 
before November 1991. 
delegate
11.41
All files for declined 
All files for declined applications for permanent residence where a 
Date of decision
10 years
A - Retain As 
Deputy Chief 
From OP 00/078
applications where a 
compliance action was issued from November 1991.
Public Archive Executive 
Reduction in time period
compliance action was issued 
Immigration New  To be restricted once 
from November 1991.
Zealand or 
transferred to Archives 
delegate
New Zealand
11.42
All other declined 
All other declined applications processed after November 1991. 
Date of decision
10 years
D - Destroy
Deputy Chief 
From OP 00/078
applications processed after  Includes refugee status and refugee quota applications.
Executive 
No change
November 1991. 
Immigration New 
Includes refugee status and 
Zealand or 
refugee quota applications.
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
Temporary entry application files prior to introduction of IGMS
11.43
All files for declined 
All files for declined applications for temporary entry where a compliance  
Date of decision
10 years
A - Retain As 
Deputy Chief 
From OP 00/078
applications where a 
action was issued from November 1991.
Public Archive Executive 
Reduction in time period
compliance action was issued 
Immigration New  To be restricted once 
from November 1991.
Zealand or 
transferred to Archives 
delegate
New Zealand
11.44
All files for temporary entry 
All files for temporary entry applications which have not been subject to a 
Date of decision
6 months
D - Destroy
Deputy Chief 
From OP 00/078
applications which have not  compliance action, an appeal, a judicial review, an Ombudsman’s 
Executive 
Statement excluding 
been subject to a compliance  investigation or a complaint, that do not fall into the “work to residence” 
Immigration New  "work to residence" 
action, an appeal, a judicial 
categories, and that have not been revoked or were not exceptions to 
Zealand or 
categories added.
review, an Ombudsman's 
instructions.
delegate
investigation or a complaint,  
that do not fall into the "work 
to residence" categories, and 
that have not been revoked 
or were not exceptions to 
instructions.

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11.45
All files for temporary entry 
All files for temporary entry applications which have not been subject to a 
Date of decision
10 years
D - Destroy
Deputy Chief 
From OP 00/078
applications which have not  compliance order, an appeal, a judicial review, an Ombudsman’s investigation 
Executive 
Statement excluding 
been subject to a compliance  or a complaint, that do not fall into the “work to residence” categories, that 
Immigration New  "work to residence" 
action, an appeal, a judicial 
were revoked or were exceptions to instructions.
Zealand or 
categories added.
review, an Ombudsman's 
delegate
investigation or a complaint,  
that do not fall into the "work 
to residence" categories, that 
were revoked or were 
exceptions to instructions.
11.46
All files for temporary entry 
All files for temporary entry applications under "work to residence" categories  Date of decision
4 years
D - Destroy
Deputy Chief 
New sub-class added to 
applications under "work to 
of visa.
Executive 
ensure work to residence 
residence" categories of visa.
Immigration New  visa category is retained 
Zealand or 
longer
delegate
Returning resident visas prior to introduction of IGMS
11.47
All files for returning resident  All files for returning resident visa applications issued before November 1991  Date of decision
10 years
D - Destroy
Deputy Chief 
From OP 00/078
visa applications issued 
which have not been subject to a compliance action, an appeal, a judicial 
Executive 
No change
before November 1991 
review, an Ombudsman's investigation or a complaint.
Immigration New 
which have not been subject 
Zealand or 
to a compliance action, an 
delegate
appeal, a judicial review, an 
Ombudsman's investigation 
or a complaint.

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11.48
All files on indefinite 
All files on indefinite returning resident visas which were issued between 
Date of decision
100 years
D - Destroy
Deputy Chief 
From OP 00/078
returning resident visas which  October 1995 and October 1997 inclusive, which have not been subject to a 
Executive 
Time period increased
were issued between 
compliance action, an appeal, a judicial review, an Ombudsman's 
Immigration New 
October 1995 and October 
investigation, or a complaint.
Zealand or 
1997 inclusive, which have 
delegate
not been subject to a 
compliance action, an appeal, 
a judicial review, an 
Ombudsman's investigation, 
or a complaint.
11.49
All other files on returning 
Includes applications for permanent resident visas, second or subsequent 
Date of decision
2 years
D - Destroy
Deputy Chief 
From OP 00/078
resident visas which have not  resident visas, or applications for a variation of travel conditions.
Executive 
No change
been subject to a compliance 
Immigration New 
action, an appeal, a judicial 
Zealand or 
review, an Ombudsman's 
delegate
investigation, or a complaint.
Electronic summary data from AMS
NOTE: prior to the introduction of IGMS, the full application record stored in AMS is not considered to be the complete and accurate record. Therefore the hard-copy file is still the official record for all immigration 
application files prior to the introduction of IGMS. However, the summary electronic information retained about each application in AMS should be retained to support future analysis. Once IGMS has been 
implemented all records retention sub-classes relating to immigration visa applications must be reviewed.
11.50
Electronic summary data on 
Any migration of data to new electronic systems must ensure that no data is 
Date of decision
25 years
A - Retain As  Deputy Chief 
To be restricted once 
each applicant for both 
lost or damaged. This data may not be deleted from AMS, unless:
Public Archive Executive 
transferred to Archives 
temporary and permanent 
- it has been successfully and fully migrated to a new electronic system with 
Immigration New  New Zealand
entry visas and permits 
appropriate recordkeeping attributes: or
Zealand or 
(currently part of AMS).
- it has been transferred to Archives New Zealand. Suitability for transfer to 
delegate
Archives New Zealand would be determined by negotiation on a case by case 
basis.

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
11.51
Electronic summary data on 
Any migration of data to new electronic systems must ensure that no data is 
Date of decision
25 years
A - Retain As  Deputy Chief 
To be restricted once 
permanent residence 
lost or damaged. This data may not be deleted from AMS, unless:
Public Archive Executive 
transferred to Archives 
applications (currently part 
- it has been successfully and fully migrated to a new electronic system with 
Immigration New  New Zealand
of AMS).
appropriate recordkeeping attributes: or
Zealand or 
- it has been transferred to Archives New Zealand. Suitability for transfer to 
delegate
Archives New Zealand would be determined by negotiation on a case by case 
basis.
11.52
Electronic summary data on 
NOTE: This covers applications data only, not data on the applicant.
Date of decision
5 years
D - Destroy
Deputy Chief 
From OP 00/078
temporary entry 
Executive 
No change
applications.
Immigration New 
Zealand or 
delegate
11.53
Visa label administration
Visa label administration. Includes reconciliation reports (daily and monthly),  Date of decision
7 years
D - Destroy
Deputy Chief 
records of cancelled labels. 
Executive 
Immigration New 
Zealand or 
delegate
11.54
Visa labels
Visa labels (the actual labels) that are cancelled i.e. not used because of a 
Date of decision
6 months
D - Destroy
Deputy Chief 
technical issue (printing, sticking, editing). 
Executive 
Immigration New 
Zealand or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
12
INTELLECTUAL PROPERTY SERVICES
This class covers records created as part of the management and operations of the New Zealand intellectual property regime. It includes design certificates, patents, trademarks and plant variety rights.
12.1
Intellectual property registers  Registers providing summary contextual information about intellectual 
Date of last action
10 years
A - Retain As  Deputy Chief 
- patents, trade marks, 
property applications and registrations including information such as when 
Public Archive Executive Market 
design, patents, plant variety  the application was made, the owner, its status, renewals, and when the 
Services or 
rights attorneys
intellectual property rights cease. The records are usually provided in 
delegate
summary form from an online of business database. Registers include:                                                                                                                                     
- trade marks register
- register of patent attorneys
- register of patents                                                                                                                                                                                                                          
- register of designs                                                                                                          - 
register of plant varieties
12.2
Intellectual property hearings  Case files created when there is a hearing about some aspect of the breach of  Date case closed
10 years
A - Retain As  Deputy Chief 
cases
intellectual property rights. For example a contested case between two 
Public Archive Executive Market 
parties.  Includes case files of hearings for trade-marks, patents, designs and 
Services or 
plant variety rights
delegate
12.3
Intellectual property 
Case files created when there is a formal investigation or prosecution  for 
Date case closed
10 years
A - Retain As  Deputy Chief 
investigations and 
trade mark, patent, design application or plant variety rights  criminal 
Public Archive Executive Market 
prosecutions -trade mark, 
offences. For example counterfeit goods.
Services or 
patent, design application or 
delegate
plant variety rights
12.4
Intellectual property  case 
The case file for a trade mark, patent, design application or plant variety rights  After cessation of 
10 years
A - Retain As  Deputy Chief 
DA405/3.1
files 
consisting of all  relevant documentation. Records on the case may include:
intellectual property 
Public Archive Executive Market 
- applications
rights
Services or 
- correspondence
delegate
- registration certificates
- maintenance and renewal records
- images of logos
- compliance reports and internal notes
- technical questionnaires
- test results
- examination reports and internal notes
- statements and representations

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
12.5
Patent attorney examination  Examination papers completed by individuals as part of the process to 
Date exam completed
10 years
D - Destroy
Deputy Chief 
papers - completed
become a registered patent attorney.
Executive Market 
Services or 
delegate
12.6
Patent attorney registration 
Records documenting the development and final version of the exam papers  Date of last action
10 years
D - Destroy
Deputy Chief 
exam information
to be sat by candidates.
Executive Market 
Services or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
13
MANAGEMENT AND PERFORMANCE OF FUNDS, INVESTMENTS AND PARTNERSHIPS
This class covers records relating to the management, performance and support of funds, investment and partnerships where the Ministry is the manager.
13.1
Fund, Investment or 
Records documenting the major activities relating to the establishment of the 
Date of last action
25 years
A - Retain As  Deputy Chief 
OP01/0083 for all of class 
Partnership establishment 
fund, investment or partnership. Includes records about:
Public Archive Executive of 
8
and strategic management
- the establishment of the fund
relevant branch or  OP 01/0092 for all of class 
- planned strategic management of the fund
delegate
8
- memoranda of understanding arrangements with other parties involved in 
DA 210 12.1
the establishment and control of the fund
- criteria for decision-making about funding
- requests for proposals
- criteria and process for appointment to the fund, investment or partnership 
decision-making body
- determination of types of investment or funding processes to be used to 
allocate funding
Examples of funds include:
- National Science Challenges
- Pre-Seed Accelerator Fund 
- Tourism Growth Partnership
- China Market Information Programme
- New Zealand Screen Production Grant
- Food Innovation Network
- Health Innovation Hub
- International Relationships Fund
- Maintaining the Quality of Great Rides Fund (MGR)

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
13.2
Formal funding governance 
Records of the panel and boards of papers presented and funding decisions 
Date of last action
25 years
A - Retain As  Deputy Chief 
OP01/0083 13a
and decision records
made in relation to the allocation of funding for research, science and 
Public Archive Executive of 
technology and related activities. For example:
relevant branch or 
- The Science Board
delegate
- National Science Challenges Independent Assessment Panels
- Major Events Investment Panel
Records may include:
- agendas
- meeting minutes
- papers presented to the decision-making body
- papers prepared for Minister with recommendations on funding
13.3
Summary funds management Records summarising the allocation and management of funds, successful and 
Date of last action
25 years
A - Retain As  Deputy Chief 
unsuccessful applications. Includes summary databases and spread sheets 
Public Archive Executive of 
recording all applications and their outcome. Example data base is the 
relevant branch or 
electronic investment management system (IMS) which records summary 
delegate
information about all funds that MBIE is responsible for.
13.4
Operational management 
Records documenting the operational management of the fund, investment 
Date when fund is 
25 years
D - Destroy
Deputy Chief 
and reporting 
or partnership. Includes activities relating to:
wound up
Executive of 
- records (minutes, papers and funding decisions) of decision making panels
relevant branch or 
- reporting about the fund (over and above reporting on specific contracts)
delegate
- records documenting application processes
13.5
Panel management
- op
Rec eration
ords 
a
rel l
a  po
ti l
ng i cy 
to  and
the   m
a eth
ppoi odol
ntm ogy
ent   for 
and  the
ma  m
na ana
ge ge
m m
ent  ent of s
of panepe
l a cifi
nd c 
/ofu
r  nd
bo s
ard  Date when tenure on 
25 years
D - Destroy
Deputy Chief 
members convened to determine successful funding bids. Includes:
panel is complete
Executive of 
- appointment records
relevant branch or 
- confidentiality agreements
delegate
- letters of service (contracts)
13.6
Fund application and 
Records of applications for allocation/award of funds. Includes fund 
When funding round is 
25 years
D - Destroy
Deputy Chief 
allocation records 
application forms and supporting documentation, correspondence with 
complete 
Executive of 
applicants (both successful and unsuccessful).
relevant branch or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
13.7
Contract management
Records documenting the management of successful funding bids from 
When contract terms 
25 years
D - Destroy
Deputy Chief 
establishment through to completion of funding contract, investment or 
have been fulfilled or 
Executive of 
partnership contract. Records may include:
contract expires
relevant branch or 
- signed deeds of funding/contracts
delegate
- master agreement and work programme agreements
- records of Partnership Boards
- contract management
- relationship management with the external party
- contract reporting
- emails relating to investment management within MBIE predecessor 
agencies such as the Foundation for Research Science and Technology (FRST), 
the Ministry of Research Science and Technology (MoRST), the Ministry of 
Science and Innovation (MSI)
13.8
Monitoring, review and 
Records of formal monitoring, reviews, audits and evaluation of funds to 
Date when fund is 
25 years
A - Retain As  Deputy Chief 
evaluation of funds
assess their performance, delivery of outputs, viability and on-going 
wound up
Public Archive Executive of 
management. Records may include:
relevant branch or 
- terms of reference
delegate
- review reports
- submissions
- audit reports
13.9
Reporting and analysis 
Records documenting the background analysis of funds to support funding 
Date of last action
25 years
D - Destroy
DCE Science, Skills 
records 
management decisions and reporting. Records may include:
and Innovation or 
- statistical returns 
delegate
- monthly reporting
- adhoc business analysis and intelligence 
- trend analysis
- working papers
14
NATURAL RESOURCES MANAGEMENT 
This class covers records to do with the management of the crown minerals estate and assets.

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
14.1
Allocation and management  Records relating to applications for permits and licences, including material 
After the end of the 
10 years 
A - Retain As  Deputy Chief 
DA 210, 13.1
of prospecting exploration 
provided by individuals or organisations, reports and annual reporting 
permit or licence 
Public Archive Executive 
To be restricted once 
and mining permits
records, monitoring of compliance, evidence of decision-making, 
period
Infrastructure and  transferred to Archives 
authorisation by Ministers where appropriate and information released to the 
Resources or 
New Zealand
public. Note that records relating to the collection of royalties, levies and fees 
delegate
for petroleum and minerals extraction and permits form part of this process. 
Permits and licences may be active for a considerable period of time.
14.2
Operational policy, 
Records of operational policy, procedures, methodology and manuals for 
Date superseded 
10 years
D - Destroy
Deputy Chief 
methodology and manuals
permit allocation and management activities.
Executive of 
relevant branch or 
delegate
14.3
Residual management
Records relating to residual work, legal issues or transitional issues on State 
Date of last action
10 years 
A - Retain As  Deputy Chief 
DA 210, 13.2
Coal Reserve land and the petroleum pipeline transmission system prior to 
Public Archive Executive 
1991, including authorisation of system changes.
Infrastructure and 
Resources or 
delegate
14.4
Promotion of investment in 
Records covering  activities and documentation that relate to the promotion 
Date of last action
10 years 
D - Destroy
Deputy Chief 
DA 210 13.3
the Crown Minerals estate
of the Crown Mineral Estate.
Executive 
Infrastructure and 
Resources or 
delegate
14.5
Geo-science resource 
Records covering management of core libraries, geological datasets and 
Date of last action, or 
20 years 
A - Retain As  Deputy Chief 
DA 210 13.4
information/library
databases, geo-science information, seismic data, technical reporting 
when no longer 
Public Archive Executive 
information and data preservation projects. Includes information submitted 
required
Infrastructure and 
to the Crown under the Crown Mineral Act.
Resources or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
15
RADIO SPECTRUM MANAGEMENT
This class covers records documenting the licencing and management of the New Zealand radio spectrum.
15.1
Licencing records
Records of the licencing and registration of the radio spectrum. Includes:
Date of last action
25 years
D - Destroy
Deputy Chief 
DA225
- applications
Executive 
- licences
Infrastructure and 
- payment records
Resources or 
- approval documentation
delegate
- records of any events to  do with an awarded licence
15.2
Radio spectrum licencing 
Summary information about all licences awarded.
Date of last action
25 years
A - Retain As  Deputy Chief 
summary
Public Archive Executive 
Infrastructure and 
Resources or 
delegate
15.3
Compliance case records - 
Records of licence conditions breach case records that relate to minor cases
Date of last action
10 years
D - Destroy
Deputy Chief 
minor
Executive 
Infrastructure and 
Resources or 
delegate
15.4
Compliance case records - 
Records of licence conditions breach case records that relate to major cases. A 
Date of last action
25 years
D - Destroy
Deputy Chief 
major
major case is one that is settled through prosecution and court processes.
Executive 
Infrastructure and 
Resources or 
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
16
RESIDENTIAL AND UNIT TITLE SERVICES  
This class covers records generated as part of the bond management activity for residential services, plus applications relating to the weathertight homes processes and tenancy dispute applications.
16.1
Bond lodgement
Completed forms and records created to support bond lodgement processes.  Date when tenancy 
7 years
D - Destroy
Deputy Chief 
DA 265, DBH 
Includes:
ends
Executive Market  Implementation Guide 
- completed bond lodgement forms
Services or 
9.1/2
delegate
16.2
Bond management
Completed forms and records created to support bond management 
Date of 
7 years
D - Destroy
Deputy Chief 
DA 265, DBH 
processes. Includes:
refund/transaction
Executive Market  Implementation Guide 
- bond refund forms
Services or 
9.1/2
- bond transfer forms
delegate
- change of landlord forms
- change of tenant forms
16.3
Weathertight homes 
Records of applications made through the Weathertight Homes Resolution 
From date of 
50 years
A - Retain As  Deputy Chief 
DA 265, DA 266, DBH 
applications
Service for financial assistance. Includes applications, supporting 
settlement
Public Archive Executive Market  Implementation Guide 
documentation, correspondence, assessment records and decisions.
Services or 
9.4/2
delegate
16.4
Tenancy dispute applications Records of applications made through the Tenancy Tribunal. Includes 
From date of last 
7 years
D-Destroy
Deputy Chief 
DA 265, DBH 
applications, supporting documentation, correspondence and decisions.
action
Executive Market  Implementation Guide 
Services or 
9.1/1
delegate

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
17
RESOLUTION SERVICES
This class covers records relating to the provision of resolution services relating to employment mediation, tenancy mediation, unit titles mediation, residential tenancy mediation, residential building construction 
disputes, weathertight homes mediation, insurance disputes.
17.1
Mediation case notes
Notes taken during mediation sessions between parties participating in 
Destroy at conclusion 
Destroy at 
D - Destroy
Deputy Chief 
mediation processes. Covers tenancy mediation, employment relations 
of meeting
conclusion of 
Executive Market 
mediation, weathertight homes mediation etc.
meeting
Services or 
delegate
17.2
Mediation summary 
Information entered into line of business systems (such as INSITE, or the Claim 
Date of last action
10 years
A - Retain As  Deputy Chief 
To be restricted once 
information
Management System used for weathertight homes claims) recording details 
Public Archive Executive Market  transferred to Archives 
of mediation activities.
Services or 
New Zealand
delegate
17.3
Records of settlements and 
Records of mediation settlements such as settlements made between 
From date of 
10 years
D - Destroy
Deputy Chief 
DA 441/1.1
mediation orders
employers and employees as a result of mediation or orders of a mediator 
settlement
Executive Market  DA 265, DBH 
resulting from mediation between tenant and landlord. 
Services or 
Implementation Guide 
delegate
9.1/1
17.4
Mediation practice 
Records documenting the training of mediators.
Date of last action
10 years
D - Destroy
Deputy Chief 
development 
Executive Market 
Services or 
delegate
17.5
Operational policy, 
Records of operational policy, procedures, methodology and manuals to 
Date superseded
10 years
D - Destroy
Deputy Chief 
methodology and manuals
support resolutions services activities.
Executive Market 
Services or 
delegate
17.6
Reporting and analysis 
Records, statistical returns and analysis providing summary information in 
Date of last action
25 years
D - Destroy
Deputy Chief 
records 
relation to resolution services activities. Includes:
Executive Market 
- monthly reporting
Services or 
- adhoc business analysis and intelligence 
delegate
- trend analysis
- working papers

---

Class Title   
Description and Examples of Records
Trigger
Minimum 
Disposal 
Authority (for 
Notes/Cross References
(when record 
retention (after 
action
approval to 
becomes non-current)
record is non-
dispose)
current)
17.7
Multi-national enterprise 
Records of complaints made to MBIE (as the National Contact Point) under 
Date superseded
10 years
A - Retain As  Deputy Chief 
complaints records
the OECD Guidelines on Multinational Enterprises. Records include:
Public Archive Executive of 
- Complaints
relevant branch or 
- Case files/investigations 
delegate
- Settlement records 
- Process records

---