1. The Government Recordkeeping Survey 2008 Natalie Dewson, Senior Advisor, Government Recordkeeping Programme, Archives New Zealand

2. 2 Overview The survey in context Results: Areas of improvement Results: Challenges Results: Local authorities What are the responses?

3. The survey in context

4. 4 Compliance Framework Audit Standards Inspection Direction to report Annual report to Parliament Archives New Zealand must undertake independent audits of recordkeeping in public offices from 2010. Public Records Act – Section 33. Audits will measure compliance against some of the requirements of the mandatory standards. Standards must have been in existence for 2 years before they can be audited against. Public Records Act – Section 27. Archives New Zealand has the right to inspect the archives and records of public offices and local authorities. Public Records Act – Section 29. Chief Archivist must report to Parliament on the state of recordkeeping in public offices. Annual recordkeeping survey is a key input to this report. Public Records Act – Section 32. Public offices can be directed to report on any aspect of recordkeeping or on the records they control. Annual recordkeeping survey must be completed. Public Records Act – Section 31.

5. 5 Purpose of the survey Tracking indicators of improvements in government recordkeeping Identifying areas of risk Measuring the effectiveness of Archives New Zealand’s programmes

6. 6 Reporting on the survey results Survey reports available on Continuum website: http://continuum.archives.govt.nz/government- recordkeeping-surveys.html http://continuum.archives.govt.nz/government- recordkeeping-surveys.html Annual report on recordkeeping Each organisation that participates in the survey receives a copy of their summary results and comparison information with other organisations.

7. 7 2008 Government Recordkeeping Survey Update 2008 summary results will be sent to each public office and local authority – they will be sent to the person who responded to the survey Chief Executives will also receive a summary of results

8. 8 2009 Government Recordkeeping Survey Timeframes The project to undertake the 2009 Government Recordkeeping Survey is now underway Letters to CEOs will be sent out shortly asking them to nominate a staff member to complete the survey The survey will run, online, for 3 weeks We are surveying public offices and local authorities We look forward to receiving your responses! Contact Lisa Judge, Advisor, Government Recordkeeping Programme with any questions: lisa.judge@archives.govt.nz

9. 9 Public Offices who participated in the 2008 survey (by type)

10. 10 Local authorities who participated in the 2008 survey (by type)

11. Results: Areas showing improvement

12. 12 Increase in the use of General Disposal Authorities 2006 - 33% of public offices used GDA’s 2007 - 59% of public offices used GDA’s 2008 - 70% of public offices used GDA’s

13. 13 Increase in policies to assess PRA compliance 2006 - 43% of agencies reported having policies in place 2007 - 70% of agencies reported having policies in place 2008 - 88% of agencies reported having policies in place

14. 14 Other results for public offices 2007-2008 Survey questions20072008 Specialised staff responsible for RM51%52% Senior manager responsible for RM54%61% Staff receive training in recordkeeping47%51% Established policies on recordkeeping57%56% An organisation wide BCS (file plan)44%43% Unauthorised disposal1%9% Measures taken to manage records over 25 years old 77%86%

15. Results: Challenges

16. 16 Increase in digital information 2007 - 54% of agencies reported having 25-year plus electronic records 2008 – 61% of agencies reported having 25-year plus electronic records

17. 17 Types of digital information – a breakdown Among 196 public offices answering: 36% say they hold electronic documents without appropriate titles or metadata 20% hold records that require computer hardware or software that is no longer available 15% hold records stored on obsolete storage media 13% hold records stored used undocumented file formats 8% hold records protected by unknown passwords

18. 18 Legacy records Of 196 public offices answering: 127 hold records over 25 years old 91 hold paper records over 25 years old 29 hold electronic records over 25 years old 19 hold other forms of records over 25 years old 25 don’t know what form their records over 25 years old are in

19. Results: local authorities

20. 20 Comparison with public offices Survey QuestionsLocal authorities Public Offices Able to describe the systems they have in place to enable the creation and maintenance of full and accurate records 100%99% Programmes and policies in place to ensure they are maintaining records in an accessible form over time 99%97% A formal recordkeeping programme 59%44% Working towards implementing a formal recordkeeping programme 31%41% Have, or are currently developing, policies to assess their compliance with the Public Records Act 2005 77%88% Have records over 25 years old 96%61%

21. 21 Variation among local authorities Survey QuestionsCityDistrictRegional Holdings of records over 25 years old100%96%92% A formal recordkeeping programme56%55%83% Working towards developing a formal recordkeeping programme 44%30%17% Policies and procedures to assess compliance with the PRA 31%28%33% Using copying or digitisation to improve access 79%58%63% Established policies on recordkeeping81%49%33%

22. 22 What are the responses? Archives NZ mandatory standards and guidance developed Recordkeeping audits start in 2010 (central government only) Archives NZ monitoring the state of government recordkeeping through an annual survey & report to parliament Digital Continuity Action Plan Legacy Records Programme Continuum training programme Web information continuity research & guide (available end of June) School of E-govt at Victoria University has researched the management of e-mails in public offices

23. Further Information http://continuum.archives.govt.nz/government- recordkeeping-surveys.html Natalie Dewson Email: natalie.dewson@archives.govt.nz Telephone: (04) 894 6022