1. Restructuring Mergers and CHANGE! Recordkeeping Advice Alice Patterson, Senior Advisor Government Recordkeeping Programme

2. 4th June 2008 Restructuring, Mergers and CHANGE! 2 Overview What is Administrative Change? What does the PRA Say? Transferring a Function Things to Think About Archives New Zealand Advice and Guidance

3. 4th June 2008 Restructuring, Mergers and CHANGE! 3 What is Administrative Change? Administrative Change May Include: The transfer of a function between public offices The creation of a new function The abolition of an existing function Triggers May Include: A new piece of legislation A reshuffle of ministerial portfolios A change of government after an election A merger between of two or more agencies

4. 4th June 2008 Restructuring, Mergers and CHANGE! 4 What does the PRA Say? (1) If a controlling public office ceases to exist as a public office, or ceases to exercise a function to which its public records relate, its public records may be transferred to – (a)The public office that has taken over the responsibilities of the controlling public office for those public records; (b)The public office designated by the Chief Archivist as the public office responsible for those public records. (2) A public office that takes over responsibilities must give notice to the Chief Archivist of the transfer of the public records not later than 3 months after the transfer has taken place (Public Records Act Section 23)

5. 4th June 2008 Restructuring, Mergers and CHANGE! 5 Transferring a Function: What Does it Involve? The transfer of a function between Public Offices: Will involve the transfer of responsibility for records Will involve the relocation of records to a different location Key Principle: records relating to a function should be transferred with the function to allow the receiving agency to manage the function effectively and with as little disruption as possible.

6. 4th June 2008 Restructuring, Mergers and CHANGE! 6 Identify the Records of the Function being Transferred The transferring agency needs to identify all records associated with the function being transferred The transferring agency contacts the receiving agency The transferring agency and the receiving agency need to agree on management arrangements

7. 4th June 2008 Restructuring, Mergers and CHANGE! 7 Agree on Management Arrangements Responsibilities should be agreed and formally documented Discussions between agencies should begin early The agreement should include: –a description of the records to be transferred –a description of the records that will be retained by the transferring agency –assigned roles and responsibilities

8. 4th June 2008 Restructuring, Mergers and CHANGE! 8 Review Records not Needed by Either Agency The transferring agency should review records in its control not needed by either agency This should be done against the agency’s current retention and disposal schedule This may involve: –the transfer of records to secondary storage –making arrangements for the authorised destruction of records –the transfer of records to Archives New Zealand if the records are of archival value

9. 4th June 2008 Restructuring, Mergers and CHANGE! 9 Manage Access You will need to determine and agree on access arrangements for records: –transferred to the receiving agency –stored in secondary storage –transferred to Archives New Zealand Under the Public Records Act records over 25 years old must be classified as either open access or restricted access. The receiving agency will need to review existing access directions and determine if these are still appropriate

10. 4th June 2008 Restructuring, Mergers and CHANGE! 10 Mange the Transfer of Records: Paper List the records to be transferred (transferring agency) Provide a copy of the list to the receiving agency (transferring agency) Retain a copy of the list (transferring agency) Files should be packed securely in boxes and labeled clearly Make arrangements for relocation

11. 4th June 2008 Restructuring, Mergers and CHANGE! 11 Manage the Transfer of Records: Electronic Will involve the transfer of data and associated metadata May involve the transfer of software and/or hardware Records management staff should liaise with the IT department Agencies need to agree media and format of records to be transferred

12. 4th June 2008 Restructuring, Mergers and CHANGE! 12 Notify Archives New Zealand The receiving agency should notify Archives New Zealand that the transfer of functions and the associated records is taking place (letter to Chief Archivist) This should be done no later than three months after the transfer has taken place

13. 4th June 2008 Restructuring, Mergers and CHANGE! 13 Purpose of Notification Good Recordkeeping: to ensure conscious decision- making on control of records during restructuring and change Disposal Status: to enable verification of disposal status of records and asses the impact on coverage of existing disposal authorities Access Status: to enable the verification of access status of records assess the impact on coverage by access authorities Documentation: to enable Archives New Zealand to document the movement of functions and records

14. 4th June 2008 Restructuring, Mergers and CHANGE! 14 Update Records Management Tools Amend control records (transferring agency) to show that the records have been transferred. Includes: –details of records transferred –date of transfer –details of the agency to which they were transferred Transferring agency to provide a copy of the control records to the receiving agency. This could include the export of metadata (for electronic) or the copying of paper. The transferring agency may provide a record of the development of their business classification scheme to aid the receiving agency integrate the records into their systems. The receiving agency should look at the transferring agency’s disposal schedule to determine any amendments to their schedule.

15. 4th June 2008 Restructuring, Mergers and CHANGE! 15 Advice and Guidance from Archives New Zealand Planning to develop specific guidance on administrative change to support section 23 of the Public Records Act Will be either a fact sheet or a guide June to December 2008: –project planning –form reference group –develop advice –publication If you are interested in being involved in the reference group please contact the Project Manager: alice.patterson@archives.govt.nz