govt. recordkeeping forum, wellington (05/12/2007) 1 the create & maintain standard- an overview...

Govt. Recordkeeping Forum, Wellington (05/12/2007)

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The Create & Maintain Standard-

An OverviewStephen Clarke

Archives Analyst, Government Recordkeeping Programme


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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


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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.


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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


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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.


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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


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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


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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


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Create & Maintain RecordsIncludes all formats

• Email and attachments

• SMS and Instant Messaging

• Telephone calls• Meetings,

business conversations and conferences

• Databases, etc.


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It does not mean keep everything!


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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.


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Relationship with ISO 15489

• ISO 15489 forms the high level guidance for the Create and Maintain standard

• ISO 15489 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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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)


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• 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


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• 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


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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


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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


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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


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Full and accurate records of business activity must be made6. 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


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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


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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


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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


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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.


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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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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


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Consultation

• An exposure draft and feedback form is available to facilitate written submissions: Deadline 25 January 08

• We are also running workshops:• 23rd November Christchurch• 10th December Auckland• 11th December Wellington (x2 sessions)• Wellington January sessions (tbc)


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Available on our Continuum website look under current projects


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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.


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Conclusion

• To meet the requirements of s17 of the Public Records Act organisations should manage their information, including e-mails, 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.


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Any Questions ?www.archives.govt.nz/continuum


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Further InformationContact us: [email protected]

To access the exposure draft on our website go to:

www.archives.govt.nz/continuum/currentprojects/createmaintainsta

ndard.php

govt. recordkeeping forum, wellington (05/12/2007) 1 the create & maintain standard- an overview...

Documents

recordkeeping forum

government recordkeeping

management of records

accurate records slide

recordkeeping processes

maintenance of records

records of matters

s17 public records