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Legacy Records Programme

Legacy Records Programme. Update on the Legacy Records Programme Auckland Government Recordkeeping Forum 17/11/2009 Cheryl Pointon, Acting Manager Appraisal. Today’s presentation. Background Why focus on Legacy records? Hints for initiating a project Case Study.

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Legacy Records Programme

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  1. Legacy Records Programme Update on the Legacy Records Programme Auckland Government Recordkeeping Forum 17/11/2009 Cheryl Pointon, Acting Manager Appraisal

  2. Today’s presentation • Background • Why focus on Legacy records? • Hints for initiating a project • Case Study

  3. Background - The Big Picture • The Legacy Records Programme is part of Archives New Zealand’s commitment to support efficient and high quality information management across government • Creation of a 5 year legacy programme • Products developed to support and achieve it • Customer-focused programme to assist public offices and ensure the preservation of records of long-term value • Potentially scalable to all (ie, non-legacy) transfers

  4. Background - Definitions • s21/s43 of the Public Records Act, 2005 (PRA) defines Legacy records as those records that have “been in existence for 25 years” • Legacy records definition: “those records potentially covered under s21 and s43 of the PRA due to their age”

  5. The first year… • Legacy Records Programme commenced in July 2008 • 210 public offices were contacted • 13 public offices confirmed they did not hold legacy records* • Ongoing discussions with 58 public offices** • Guide to completing a survey of physical records published

  6. Why focus on Legacy Records? - because it’s good business practice • Reduce cost of storage • Reduce cost of retrieving records • Streamline recordkeeping system, thereby leading to efficiencies • Reduce likelihood of prosecution, bad press etc. Protect reputation • Risk management is applied in an informed way

  7. Why focus on Legacy records? - protecting records • Records may be at risk of damage or loss - records generally become more fragile with age • Records should be stored in appropriate storage conditions • Archives New Zealand will be aware of quantity of records to be transferred and date of transfer and able to plan its own resources • Archives are accessible to the New Zealand public (subject to appropriate access restrictions)

  8. Why focus on Legacy records? - because it contributes to good recordkeeping practice • Inform decisions about current recordkeeping practices • Recordkeeping policy • Filing systems • Retrieval arrangements • On-going business need for records • Understand value of business records – functional assessment can be applied to all records, not just legacy records • Develop an on-going disposal authority that covers all records

  9. Why focus on Legacy Records? - Compliance with Public Records Act, 2005 (PRA) • Access arrangements (access restrictions should be declared when records are 25 years or older) • Records retained by the public office will be covered by a deferral of transfer agreement pending their transfer to Archives New Zealand • All public offices will be compliant with Sections 21 and 43 • PRA audits commence in 2010

  10. Notes for Local Authorities • ***Local Authorities – you need to formally advise the Chief Archivist if you are using the ALGIM Disposal Schedule by completing and submitting the letter on page 58 of the ALGIM toolkit • You can request an amendment to your Disposal Schedule if it does not adequately cover the records you hold

  11. Initiating a project - some suggestions • Consider if legacy records can be addressed as part of a larger project, e.g. one that includes current records • Research business proposals that have been successful in your organisation • Pitch your business proposal using arguments most likely to work in your organisation (e.g. compliance, good recordkeeping or business practice)

  12. Initiating a project - some further hints • Quantify benefits where appropriate - e.g. savings per year • Liaise with other teams or sections who have a similar interest in dealing with legacy records - e.g. legal team, building services, team that ‘owns’ the records. • Some of your best evidence for the project may come from audits conducted in other areas of your agency • Start recording record retrieval rates if you aren’t doing so already

  13. Initiating a project - more hints • Place your most important points early in the proposal (e.g. don’t bury them on page 3) • Avoid including too much detail that may infer that the objectives of the project cannot be achieved • Consider including additional detail in an appendix or at back of document

  14. How can Archives New Zealand help you? • We can provide you with: • advice and feedback on your proposal • a copy of the Legacy Records Project plan which you can use as a stand alone template or incorporate into your existing project documentation • The Guide to completing a survey of physical records is located on the Continuum website • Contact Appraisal section for further advice at rkadvice@archives.govt.nz

  15. Case Study - setting the scene… • Small public office with approximately 40 staff located in the one premises • One floor cluttered with legacy and current records, old office furniture, and publications • Current records mixed in with legacy records • Health and Safety issues

  16. Case Study - how we were able to help • Appraisal staff met with Records Advisor and Senior Project Manager • Offer to provide high level advice to CEO if required • Provided on-going feedback by email and telephone and a further meeting with managers

  17. Case Study - achievements • Quantities and types of legacy records determined • Old furniture removed • Current records returned to teams • Space organised and safe to access • Records covered by General Disposal Authorities destroyed appropriately

  18. Case Study - achievements • Development of filing system/business classification scheme commenced • Recordkeeping policy commenced • Security classifications researched and appropriately applied • Built knowledge of their recordkeeping capability and able to make informed decisions about further recordkeeping commitments – e.g. purchase of EDRMS and development of Disposal Schedule

  19. Summary • There are business, compliance, and recordkeeping benefits to managing legacy records • Frame your business proposal using arguments that will have the most effect in your organisation • Legacy records can be dealt with as part of another project • The Appraisal section at Archives New Zealand is able to provide you with advice and support including products

  20. Questions?

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