1. Archives New Zealand update
GIG members meeting
9 October 2015

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

3. 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

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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

10. 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

11. 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

12. 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

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

14. 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

15. An example
Here is an example you can look up yourself! (Hon Judith Tizard’s records): o
Series: 21947: Political Papers 1996 – 2008
Accession: E2
R-number: R
Record Title: National Library - Cab 100