Govt. Recordkeeping Forum, Wellington (05/12/2007) 1 The Create & Maintain Standard- An Overview Stephen Clarke Archives Analyst, Government Recordkeeping Programme

Govt. Recordkeeping Forum, Wellington (05/12/2007) 2 What is the purpose of the standard? The creation and maintenance of records that support: Good business practice (efficiency, risk management, knowledge management) Management accountability Democratic accountability and legislative requirements New Zealand’s collective memory and historical heritage

Govt. Recordkeeping Forum, Wellington (05/12/2007) 3 What does the Standard do? Sets high level minimum requirements to handle the diversity of government activities and future circumstances Basis for the establishment of a recordkeeping framework for NZ (local) government records; informed by the PRA requirements and international best practice The Create and Maintain Standard will replace the existing Recordkeeping Framework issued in 2000.

Govt. Recordkeeping Forum, Wellington (05/12/2007) 4 Why have we developed the standard? The ultimate purpose of the standard is to ensure that government records are created and maintained and managed appropriately for as long as they are required and any functions that are carried out by third parties Issued as a mandatory standard that will support PRA requirements and audit Seeks to enhance accountability and public confidence in government recordkeeping

Govt. Recordkeeping Forum, Wellington (05/12/2007) 5 S17 Public Records Act This section of the Act sets out the requirements for two recordkeeping processes: Firstly, the making of complete and accurate records. Secondly, the maintenance and management of records over time.

Govt. Recordkeeping Forum, Wellington (05/12/2007) 6 Create and Maintain A public office must create and maintain: Full and accurate records In accordance with normal, prudent business practice Including records of matters contracted out Continue to maintain so as to be accessible for subsequent reference until their authorised disposal or transfer

Govt. Recordkeeping Forum, Wellington (05/12/2007) 7 Contractor’s Records It is the responsibility of the public office/local authority to create and maintain records of their contracted out functions to facilitate this you may require your contractors to: Creating and temporarily maintaining records on behalf of the public office or local authority Providing the public office or local authority with sufficient information about the conduct of business to enable the creation and maintenance of full and accurate records

Govt. Recordkeeping Forum, Wellington (05/12/2007) 8 PRA definition of a Record record means information, whether in its original form or otherwise, including (without limitation) a document, a signature, a seal, text, images, sound, speech, or data compiled, recorded, or stored, as the case may be,— (a) in written form on any material; or (b) on film, negative, tape, or other medium so as to be capable of being reproduced; or (c) by means of any recording device or process, computer, or other electronic device or process

Govt. Recordkeeping Forum, Wellington (05/12/2007) 9 Create & Maintain Records Includes all formats and attachments SMS and Instant Messaging Telephone calls Meetings, business conversations and conferences Databases, etc.

Govt. Recordkeeping Forum, Wellington (05/12/2007) 10 It does not mean keep everything!

Govt. Recordkeeping Forum, Wellington (05/12/2007) 11 Create and maintain records that: Document the carrying out of the organisation’s business objectives, core business functions, services and deliverables Provide evidence of compliance with any current jurisdictional standards Document the value of the resources of the organisation and how risks to the business are managed Support the long-term viability of the organisation.

Govt. Recordkeeping Forum, Wellington (05/12/2007) 12 Relationship with ISO ISO forms the high level guidance for the Create and Maintain standard ISO provides the conceptual basis for the recordkeeping principles outlined in the standard and in the Continuum suite of recordkeeping publications. Archives New Zealand recommends that all New Zealand recordkeeping practice should be consistent with the principles of this internationally recognised records management standard.

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Govt. Recordkeeping Forum, Wellington (05/12/2007) 14 Status of Standard The Create & Maintain Standard is proposed as mandatory it will set out the minimum requirements for the creation and maintenance of full and accurate records under the PRA The standard will be issued under the e-Government Interoperability Framework (e-GIF) If approved it will inform the PRA audit process from 2010 (in place from 2008 but not audited until 2010)

Govt. Recordkeeping Forum, Wellington (05/12/2007) 15 Improved comprehensiveness of information Informed decision making Avoidance of embarrassment reduced risk of accidental destruction of records The ability to deliver services in an efficient and consistent manner Increased ability to demonstrate accountability, through the existence of records which document actions and decisions Increased public confidence in the integrity of an organisation’s records Identification of vital records for disaster planning Records of historical and cultural value survive Benefits of compliance

Govt. Recordkeeping Forum, Wellington (05/12/2007) 16 Failure to meet regulatory and compliance requirements Inability to successfully defend legal challenges Insufficient evidence to resolve disputes in a timely and authoritative manner Inability to exploit organisational information and knowledge Business inefficiencies and disconnected workflows Duplication of effort Organisational embarrassment, loss of credibility, lowered public confidence and damage to reputation Unlawful disposal of records Risks of non-compliance

Govt. Recordkeeping Forum, Wellington (05/12/2007) 17 Aims of minimum requirements The reliability and authenticity, trustworthiness and legal admissibility, of records The accessibility of records for as long as they are required Strategies to assist in creating records fit for long-term retention The ongoing management of key business assets

Govt. Recordkeeping Forum, Wellington (05/12/2007) 18 Four key recordkeeping principles 1.Recordkeeping must be planned 2.Full and accurate records of business activity must be made 3.Records must provide reliable evidence of business practice 4.Records must be managed systematically

Govt. Recordkeeping Forum, Wellington (05/12/2007) 19 Recordkeeping must be planned 1.Responsibility for recordkeeping compliance must be assigned and endorsed by the administrative head 2.Organisations must have a defined, documented and implemented policy for recordkeeping which is regularly reviewed 3.Organisations must have defined, documented and implemented procedures for recordkeeping which are regularly reviewed 4.Recordkeeping responsibilities must be defined and assigned 5.A programme of internal monitoring and compliance must be developed and implemented

Govt. Recordkeeping Forum, Wellington (05/12/2007) 20 Full and accurate records of business activity must be made 6. The functions and activities of an organisation for which records must be made are identified and documented (including any functions contracted-out) 7. Records of business decisions and records documenting the transaction of business must be created 8. All business records must be captured routinely into an organisation-wide recordkeeping system 9. Staff must receive appropriate, and on-going, training for organisational recordkeeping responsibilities

Govt. Recordkeeping Forum, Wellington (05/12/2007) 21 Records must provide reliable evidence of business practice 10. Records must be authentic; organisations must accurately document their creation, receipt, and transmission 11. Records must have reliability and integrity; records must be maintained complete and unaltered 12. Records must be useable, retrievable and accessible for as long as they are required 13. Records must be complete; recording the content and contextual information necessary to document an activity 14. Records must be comprehensive and provide adequate evidence of business activities

Govt. Recordkeeping Forum, Wellington (05/12/2007) 22 Records must be managed systematically 15. Recordkeeping systems must be able to integrate, maintain and manage records from business systems 16. Recordkeeping systems must identify and capture records in appropriate formats 17. Recordkeeping systems must maintain records reliably over time 18. Records systems must organise records according to a business classification scheme

Govt. Recordkeeping Forum, Wellington (05/12/2007) 23 Records must be managed systematically (Continued) 19. Recordkeeping systems must create and maintain persistent contextual and structural information 20. Recordkeeping systems must maintain records in accessible and retrievable formats for the entire period of their retention 21. Recordkeeping systems must apply retention and disposal actions systematically

Govt. Recordkeeping Forum, Wellington (05/12/2007) 24 Process for Standards Specific consultation process before the Chief Archivist can issue a mandatory standard Every office that the proposed standard will apply must be consulted. Must be made available to other interested parties – Privacy Commissioner etc.

Govt. Recordkeeping Forum, Wellington (05/12/2007) 25 Standards Programme Standards New Zealand and e-GIF have informed our development processes First mandatory standards: –Physical storage –Creation and maintenance of full and accurate records –Recordkeeping metadata Discretionary standards Standards strategy to be reviewed next year

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Govt. Recordkeeping Forum, Wellington (05/12/2007) 27 Advisory group representing key interest groups: Deirdre Wogan, Private Consultant Desiree Brown, Ministry of Social Development Gerard Rooijakkers, Auckland City Council Hinerangi Himiona, Te Pae Whakawairua Janine Delaney, NZ Micrographics Services Jocelyn Hargreaves, NZ Post Karen Bolger, Ministry of Foreign Affairs & Trade Keitha Booth, State Services Commission Roma Niemirska, Human Rights Commission Michael Hodder, Rangitikei District Council Terehia Biddle, Kaihautu, Archives NZ

Govt. Recordkeeping Forum, Wellington (05/12/2007) 28 Consultation An exposure draft and feedback form is available to facilitate written submissions: Deadline 25 January 08 We are also running workshops: 23 rd November Christchurch 10 th December Auckland 11 th December Wellington (x2 sessions) Wellington January sessions (tbc)

Govt. Recordkeeping Forum, Wellington (05/12/2007) 29 Available on our Continuum website look under current projects

Govt. Recordkeeping Forum, Wellington (05/12/2007) 30 Review of Feedback The submissions will be collated and a report produced The advisory group will meet to consider the feedback received and decide on changes to the standard. The final mandatory standard will be approved by the Chief Archivist under section 27 of the Public Records Act.

Govt. Recordkeeping Forum, Wellington (05/12/2007) 31 Conclusion To meet the requirements of s17 of the Public Records Act organisations should manage their information, including s, within a recordkeeping framework A recordkeeping system will provide a framework for capturing, maintaining and providing access to evidence of transactions over time and implementation of retention and disposal regimes. Electronic records need to be managed in electronic recordkeeping systems to be authentic and reliable.

Govt. Recordkeeping Forum, Wellington (05/12/2007) 32 Any Questions ?

Govt. Recordkeeping Forum, Wellington (05/12/2007) 33 Further Information Contact us: To access the exposure draft on our website go to: ntprojects/createmaintainstandard.php