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?