Archives New Zealand update GIG members meeting 9 October 2015

Marilyn Little Chief Archivist & General Manager Antony Moss Director Government Recordkeeping Mike Chapman Manager System Strategy & Standards Mick Crouch Advisor / Analyst

Context Public Records Act is 10 years old Audit Programme complete Appraisal framework and Records Management Standard Recordkeeping Review Expectations of regulatory stewardship All-of-Government and Departmental context

Unlocking the value of information IM leadership role within DIA – AoG and internal Member of Information Group – working group within Partnership framework Driving development of AoG strategic direction for information management and use – small inter-departmental team Work on future strategic direction, challenges, path forward System priorities identified Releasing the value of information Building enabling foundations Improving the effectiveness of the information landscape

Regulatory Stewardship State Sector Amendment Act 2013 codified the stewardship responsibilities of chief executives Cabinet’s expectations include: Monitoring and evaluation Risk-based compliance and enforcement strategies Understanding and managing whole-of-system Treasury provided further guidance

Optimising our Regulatory Role Challenges at several levels Clear statements of Outcomes sought for the system How we will operate as a regulator Ensuring our regulatory toolkit is fit for purpose

Our regulatory toolkit Improved evidence base Choosing adequate and appropriate enforcement options Audits Inspections Directions to report Providing information, guidance and support to regulated parties Simplifying compliance and promoting self-management Encouraging early and open disclosure of errors or mistakes Working collaboratively Actively monitoring and detecting non-compliance threats Publicising actions Learning as we go Actively supporting complaints and feedback Recognising excellence and responsibility

Interim Response for Born-Digital Records and Archives: set up in July 2014 Predecessors Stage 1: setting up the project (July to Oct 2014) Stage 2: 4 workstreams and 30 packages (Oct 2014 to Sept 2015) Stage 3: build on lessons learned (Oct 2015 to early 2016) Department of Internal Affairs

Stage 2 work streams Internal External Users eAccessions Work packages Workshop plan Workshop Summary of workshop Definition of long-term Risk Management statement High value statement Strategic outcomes statement Access policy Transfer / Collection strategy Born-digital restricted records statement Non Standard records procedure E5 reappraisal report Files for eAccessions E1 & E4 ingested into Rosetta Files and descriptive metadata for eAccessions E1 & E4 accessible in Archway eAccessions E1 & E4 process evaluation report eAccessions E1 & E4 procedure and process map Lessons learned report on eAccessions E1 & E4 Procedure for E2, E3, E6 and E7 agreed E2 and E3 complete eAccessions E6 & E7 complete Report on procedure used for E2, E3, E6 and E7 Lessons learned report on all eAccessions Rosetta ingest policy review Technical practice register Interim item model Future item model Plan to deal with digital archaeology holdings Survey of agencies Survey of current systems Report on surveys Business process map List of guidance for agencies Guidance for Restricted material General call for info re our criteria Department of Internal Affairs

Stage 2 e-accessions Post-transfer born digital records already under the care of the Chief Archivist Open access records Small quantities Shared drive Department of Internal Affairs

Lessons learned Automated processes Analysis tools System enhancements Digital preservation Change management Skills – capacity and capability The nature of digital records vs paper records Department of Internal Affairs

Nature of digital vs paper Lessons learned Change management Automated processes Analysis tools Skills Capacity & Capability System enhancements Digital preservation Nature of digital vs paper

Learning opportunities recognised Working with restricted access records Working with an agency Extracting records form a recordkeeping system

Born-digital records and archives We’ve been busy We’ve learned some lessons We’re looking forward to learning more lessons We have ingested born-digital records into our system and those records are available through Archway We look forward to working with you all in the future We’re starting slow but we’re making concrete useful steps in the right direction Department of Internal Affairs

An example Here is an example you can look up yourself! (Hon Judith Tizard’s records): http://www.archway.archives.govt.nz/ItemAdvancedSearch.d o Series: 21947: Political Papers 1996 – 2008 Accession: E2 R-number: R24992058 Record Title: National Library - Cab 100