Legacy Records Programme Programme Launch Government Recordkeeping Forum 3/9/2008 Tom Norcliffe, Acting Manager Appraisal.

Legacy Records Programme

Programme Launch

Government Recordkeeping Forum 3/9/2008

Tom Norcliffe, Acting Manager Appraisal

Legacy defined

• s21/s43 definition: a record that “has been in existence for 25 years”

• Legacy records definition: “those records potentially covered under s21 and s43 of the PRA due to their age”

Project Background

• Public Records Act, s21 and s43• Good business practice• Risk management• Chief Archivist’s 2007 Report to Parliament• A planned, strategic approach to the management of legacy

records

and…

Numbers

• 61% of public offices hold records 25 years or older

More numbers

• Big spike in offices with legacy electronic records

More numbers still

• 73% have significant quantities of between 10m – 10 km +

Project Methodology

• Cross organisational team• Appraisal• A&D/repository management• GRK• Access• Context

• Shared work environment• 6 month project• Development of a programme & communications plan

The Big Picture

• Part of Archives New Zealand’s commitment to support efficient and high quality information management across government

• Creation of a 5 year legacy programme• Products developed to support and achieve it• Customer-focused programme to assist public offices and

ensure the preservation of records of long-term value• Potentially scalable to all (ie, non-legacy) transfers

Strategic Aims of the Legacy Programme

• Project identified 15 strategic aims, which can be distilled into three categories:• Archives New Zealand will proactively provide support

enabling public offices to manage their legacy records, and thus enhance their information management

• disposal coverage for all public offices will be achieved by 2013

• systems and tools to assist compliance and full disposal coverage will be built

Products

• Key products• Public Office ‘Road Map’

– Transfer criteria

• Archives New Zealand monitoring tool

Road Map

• Outline of steps public offices will complete to secure full legacy records disposal

• Component –based “agreement”• Legal instruments

– s22 deferral of transfer agreement

– s43 access agreement

– both agreements to be publicly registered under PRA, ensuring public office compliance for the duration of the road map

• Agreement would establish time frames and responsibilities between ANZ and public offices for the completion of identified tasks

Road Map (cont)

• Project Plan for agencies, detailing requirements, processes, advice and guidance as they work towards full legacy disposal

• Various stages of the Road Map require public offices to ‘check in’ with Archives New Zealand; this informs the Monitoring Tool

Stages of the Road Map

11 stages, including:1. First Contact

2. Records survey

3. Transfer category identified

4. DA Coverage check

5. Meeting to negotiate formal agreement/legal instruments signed for deferral of transfer and access

6. Disposal Authority – consists of a series of contingencies, depending on coverage; may including re-activation of old authority, development of new one etc…

Stages of the Road Map (cont)

7. Transfer window determined

8. Coordination with Archives NZ re transfer window

9. Records sentencing

10.Boxing and listing

11.Transfer and destruction

Monitoring Tool

• Internal tool providing Archives New Zealand with a ‘holistic’ view of public offices’ progression along their respective road maps

• Provides up to date information for all Archives New Zealand sections affected by the Legacy Project

• Assists sections to plan, manage and anticipate workload• Helps to ensure public offices are provided with the most

timely, accurate and relevant information• Ensures ANZ can provide the best customer service

The monitoring tool

Transfer criteria

• Three categories of transfer:• Regular, high use

– ‘user driven’ by previous expectations; includes records such as probates

• High Risk/Significant– Public offices closing; cabinet papers etc

• Legacy Records – Perceived value (different from appraisal)– Disposal readiness– Records’ age– Conditions– Public office resources– Benefits

Supporting tools/products

• Supporting the key products and the programme are a series of background tools, papers, and proposed process changes, incl:• guides/fact sheets (issued through Continuum) covering topics

such as– initial records identification

• workflow changes, incl– deferral of transfer delegation passed to Appraisal; built into

appraisal reports

– Archway DA functionality

• Programme included in Archives New Zealand’s Recordkeeping Courses

Nuts and bolts

• Lots of public offices to talk to – around 210 (not all hold legacy records however)

• Appraisal staff will be starting this month to contact their clients:• public offices bunched into portfolios for Appraisal staff to manage• Circa 40 per staff member• Head Offices based outside of Wellington managed by Archives New

Zealand Regional Archivists• Aim is for contact to have been made with all public offices by end of

the financial year

Questions?