Archives New Zealand Annual Report 2009/10 HTML

Matters Relating to the Electronic Presentation of the Audited Financial Statements, Statement of Service Performance and Schedules of Non-departmental Activities

This audit report relates to the financial statements, statement of service performance and schedules of non-departmental activities of Archives New Zealand for the year ended 30 June 2010 included on Archives New Zealand’s website. The Chief Archivist and Chief Executive of Archives New Zealand is responsible for the maintenance and integrity of Archives New Zealand’s website. We have not been engaged to report on the integrity of Archives New Zealand’s website. We accept no responsibility for any changes that may have occurred to the financial statements, statement of service performance and schedules of non-departmental activities since they were initially presented on the website.

The audit report refers only to the financial statements, statement of service performance and schedules of non-departmental activities named above. It does not provide an opinion on any other information which may have been hyperlinked to or from the financial statements, statement of service performance and schedules of non-departmental activities. If readers of this report are concerned with the inherent risks arising from electronic data communication they should refer to the published hard copy of the audited financial statements, statement of service performance and schedules of non-departmental activities and related audit report dated 30 September 2010 to confirm the information included in the audited financial statements, statement of service performance and schedules of non-departmental activities presented on this website.

Legislation in New Zealand governing the preparation and dissemination of financial information may differ from legislation in other jurisdictions.

 

KPMG
On behalf of the Auditor-General
 

 

Presented to the House of Representatives pursuant to section 44(1) of the Public Finance Act 1989
 

Key Statistics for 2009/10

We hold:

Over 96 kilometres of archives
21,500 motion picture reels
Over 5 million records described on Archway1

 

Our treasures:

1840 Treaty of Waitangi Te Tiriti o Waitangi
1835 Declaration of Independence of the Northern Chiefs
1893 Women’s Suffrage Petition
(Both the Treaty and the Petition are on the UNESCO Memory of the World Register)

We have:

131 full-time equivalent staff based in Auckland, Wellington, Christchurch and Dunedin

We oversee:

Recordkeeping in approximately 2,700 public offices

During 2009/10 there were:

3.1 kilometres of archives added to the holdings
196,673 pages digitised
16,294 visits to our four reading rooms
61,600 archives issued in our four reading rooms
313,422 approved items added to Archway
145,254 members of the public who used Archway
833,568 searches conducted on Archway
4,263,326 pages viewed on Archway

1 Archives New Zealand’s main online finding aid
 

From the Minister

Archives New Zealand has a crucial role as the keeper and protector of our public records, safeguarding this information for future generations.

I have been impressed by the hard work and adaptability shown by Archives New Zealand over the last 12 months and I believe it has a strong future as a trusted and valued institution.

On 25 March 2010, the Government announced its intention to amalgamate Archives New Zealand, the National Library of New Zealand and the Department of Internal Affairs. As the Minister responsible for all three agencies I believe they have a great deal in common.

Together they have a focus on using digital technology and making government information widely accessible to citizens through the internet. We can build on this to create a strong organisation focused on improving services to New Zealanders.
The integration of the three departments will help in developing a unifying framework across government for the effective management, custody and use of civic information, as well as the effective use of digital technology.

Integration will reduce overhead costs between the agencies and lead to further savings by sharing technology, ideas and capability.

As this report is being prepared, the legislation necessary to effect this change - the State Sector Management Bill - is progressing through Parliament.

I am confident that Archives New Zealand will handle this change well because for the last 10 years it has proven itself an agile agency that gets on with the job.

In particular, the department has continued to be a leader in the field of digital information. In August 2009, I launched the Digital Continuity Action Plan and endorsed Archives New Zealand’s leadership of this plan across the public sector.

The plan signalled the beginning of a new approach to the challenge of effectively managing the government’s information assets.
A highlight of the last year has been new Budget funding of $12.6 million for Archives New Zealand and the National Library to develop the Government Digital Archive. This major investment will provide a secure system to store, preserve and give ongoing access to important public records.

The new Digital Archive will be created by extending the National Library’s National Digital Heritage Archive system so that it can be used by Archives New Zealand and other agencies.

This new funding shows how seriously Government values the work of Archives New Zealand, and is a public endorsement of the digitisation work already underway.

Collaboration with other agencies has continued this year, with important collections from the Alexander Turnbull Library available at Archives New Zealand’s national office while work is carried out at the National Library building in Wellington.

Another highlight has been the redevelopment of the ground floor in the national office, which I opened in March of this year. This provides a user-friendly gateway to visitors and is a further example of improving frontline services for customers.

I am encouraged by the achievements of Archives New Zealand and I am confident these will be continued under the new, integrated structure.

Hon Nathan Guy
Minister Responsible for Archives New Zealand

 

From the Chief Archivist and Chief Executive

Last year was a productive one for the department as we worked towards integration with the National Library and the Department of Internal Affairs and on our four strategic priorities to meet government’s expectations of better performance from the public service.

This work on: better, smarter, customer-focused services; responsiveness to Mäori; digital transformation, and value for money has seen an increase in online services, greater access to records for iwi, hapü, whanau and Mäori researchers, and an efficient all-of-departmental approach to improving the long-term management of digital information.

Underpinning these priorities our focus has been to ensure:

During the year, Archives New Zealand was allocated $9.7 million in new funding from Government to develop the Government Digital Archive. This funding will provide a secure system to store, preserve and give access to important public records.

The archive will be partly based on the National Library’s National Digital Heritage Archive system. This type of cooperation using extensive infrastructure for more than one use produces the kind of efficiencies New Zealanders expect from the public sector.

The Government Digital Archive is a major initiative under the Digital Continuity Action Plan. Launched in 2009, the plan sets out a long-term whole of government approach to the ongoing security and reuse of important digital records.

To date the major emphasis has been to raise awareness and understanding of digital continuity in the New Zealand public sector. This was the focus of the Future Perfect Conference, held in Wellington in May.

Improved customer service has been delivered with changes to Archway, our main online finding aid. Through the new Archive Location Finder system customers anywhere in New Zealand will be able to request to view archives in one of our four reading rooms.

The Wellington office reading room revamp and the creation of the new Gateway space, where visitors and researchers can go for help and learn more about the archives, have helped to streamline customer service.

In these new spaces we opened our doors to important collections from the Alexander Turnbull Library while the National Library undergoes refurbishment. Our shared reading room service is operating successfully and provides customers with an introduction to both institutions’ services and collections.

Other collaborative projects have resulted in the digitisation of New Zealand’s shipping lists from 1855 to 1972. Working with FamilySearch has seen more than 281,000 records digitised. These valuable heritage documents are available worldwide via the FamilySearch website.

Our regional offices have an integrated approach to customer service providing a full range of activities to people in their area. The department’s outreach work to support archivists in the community continues and the Responsiveness to Mäori programme reached a milestone with the successful completion of stage one of the Taranaki Te Reo project. This has made available to iwi important records written in te reo Taranaki from 1860 to 1900 and held in our Wellington repository.

Archives New Zealand has a strong commitment to helping Mäori access valuable records relating to their history. The Taranaki project is one of several partnerships between the department and iwi, including Ngai Tahu, Tainui and Tühoe. All have produced important digital material documenting their past.

During the year, the department’s Audit Programme built up its operational capability establishing the standards and methodology for the audits of public offices, which began this year.

We have intensified our work with public sector agencies to ensure records that are over 25 years old are correctly assessed so those of national importance are transferred into our care, and those that are no longer needed are disposed of.

All these developments build on our achievements since we were set up as a stand alone department on 1 October 2001.
The establishment and implementation of an effective government recordkeeping programme has been our main drive. Launched in 2002 this ongoing programme includes the introduction of international standards and a comprehensive advisory and training schedule to support public offices to meet public expectations of effective recordkeeping.

The passing of the Public Records Act 2005 was landmark for the department. The legislation gives us the authority to provide a framework for the administration of public records and ensure systems and processes are in place for the efficient management of both paper and digital records.

Other significant achievements include the opening in 2007 of the purpose-built repository in Auckland and the launch in 2009 of The Community Archive, an online centre for archivists and genealogists. Beside the shipping lists the department’s digitisation programme has made available through our website and other links, thousands of Defence Force Service records and the Blue Books, historical statistics about New Zealand. The timeline (page 33), Ten Years of Achievement, illustrates the successful work of the department.

We aim to remain responsive to change in the information environment and retain a flexible approach to further improve customer service and performance. Integration with the National Library and Internal Affairs will strengthen our capability to improve both. As a responsive government agency we need to continually build this capability so we can deliver on government’s expectations.

I would like to acknowledge and thank staff for their achievements over the past 10 years and for the contribution they will make in the future to all New Zealanders as we carry on our work as part of the new Department of Internal Affairs.

Greg Goulding
Chief Archivist and Chief Executive (Acting)

 

Part One

PURPOSE AND ROLE
ARCHIVES NEW ZEALAND’S STRUCTURE
OUTCOMES, INTERVENTIONS AND ACHIEVEMENTS
COLLABORATION
CAPABILITY
ARCHIVAL ADVISORY BODIES
TEN YEARS OF ACHIEVEMENT
 

Purpose and Role

Is archiving and recordkeeping really important?

The short answer to the question is, of course, yes. Information management is fundamental to good business practice. It provides increased efficiency, effectiveness and accountability through ensuring that records of public business are accessible both now and in the future. Transparent and accountable government relies on full and accurate records of business transactions being created, well managed and available when needed. Good information management does not happen by itself. This requires setting recordkeeping standards, monitoring compliance with these standards, providing advice to public offices, local authorities and community groups on best practice, collecting and preserving documents of national significance for future generations. It also requires thinking about what needs to change as more and more documents of significance are created in digital form. This is where we come in.

New Zealand has a reputation for trust in government. This trust is based in part on the creation and maintenance of full and accurate records by public offices and the transparency of government results from access to these records. The statutory agencies that rely on this level of recordkeeping include the Office of the Ombudsmen, the Health and Disability Commissioner, the Office of the Auditor-General and the Office of the Privacy Commissioner. A robust public recordkeeping system, overseen by a trusted and independent Chief Archivist, is at the heart of trusted government.

We have a governance role in shaping, and intervening in where necessary, the information management practices of public sector agencies. This includes developing standards for information creation and maintenance, and providing advice and training for those implementing these standards. The auditing of public offices from 1 July 2010 by Archives New Zealand will provide the public and the Crown with assurance that their information is being appropriately managed.

Records of long-term value are transferred to the public archive on the authority of the Chief Archivist, who has the statutory responsibility to determine what information should be kept and what should be disposed of. These then form the record of government.

We ensure that public archives are preserved and well managed, while making those in the public arena accessible. The majority of the public archive is held in our repositories in Auckland, Wellington, Christchurch and Dunedin. Holdings include the 1835 Declaration of Independence, the 1840 Tiriti o Waitangi, the 1893 Women’s Suffrage Petition, and government documents, maps, paintings, photographs and moving images.

Easy access to the public archive is promoted through customer assistance and support in each of our four reading rooms across the country, our outreach enquiries service, along with an increasing online digital presence. This increase in the availability of information in a digital format ensures that people have ready access to their rights and entitlements and the stories of the nation strengthening New Zealanders’ connection with their identity and history.

Archives New Zealand has a responsibility to provide leadership and support for archival activities across New Zealand including the safekeeping of private and community records. Maintaining a presence and working within the wider community, including with Mäori, iwi and hapü is important to the department’s role and responsibility. The regional offices provide local communities with access to records of local significance. Together we support government recordkeeping and community organisations, Mäori, iwi and häpu with the care and management of archives. The department’s community archives work enhances our presence in the community through the provision of basic archival support and advice to community groups, Mäori, iwi, hapü and whänau. Collaborative work arrangements with iwi enable access to significant information about their people, using creative and innovative solutions to help manage their own records and täonga.

The department provides advice to the Minister Responsible for Archives New Zealand who administers the National Archives Vote. The department also provides support to the Archives Council Te Rua Wananga. The Archives Council provides independent advice to the Minister Responsible for Archives New Zealand on recordkeeping and archival issues.

Archives New Zealand’s Structure

Archives New Zealand has a national office in Wellington and regional offices in Auckland, Christchurch and Dunedin. The regional offices manage some archives on behalf of the Chief Archivist and have an important role in coordinating and promoting archival activities in their regions.

Seven business groups implement Archives New Zealand’s functions as illustrated in the following diagram. On 30 June 2010, there were 131 full-time equivalent members of staff employed by Archives New Zealand, with 19 percent of staff working part-time. Eighteen percent of staff are located within regional offices.

 

Figure 1: Archives New Zealand – staffing

 

 Archives New Zealand – staffing
 

 

Outcomes, Interventions and Achievements

Government Expectations

Archives New Zealand is committed to ensuring New Zealanders get value for money from its services.

We work collaboratively with other departments to improve services to customers and avoid service duplication. Archives New Zealand, Te Papa Tongarewa and the National Library of New Zealand are working together to provide seamless online access to New Zealand’s cultural heritage. The department is working with the Ministry for Culture and Heritage to assess using shared storage facilities for heritage material.

Having systems in place to create authentic, reliable and readily accessible records helps improve public sector productivity and the delivery of core frontline services. Archives New Zealand actively assists public agencies to meet their business needs by helping them to incorporate good recordkeeping practices into their business systems. In turn, this improves organisational efficiency and contributes to a transparent and accountable public sector. The audit of public offices, commencing in 2010, will provide a coherent assessment on how well the public sector is carrying out recordkeeping practices.

Archives New Zealand is also working in partnership with volunteers and the private sector to digitise records and make them available online. Letting other organisations digitise and publish information such as shipping lists, with Archives New Zealand retaining the right to publish, saves costs. Digitisation of archives gives the public greater access to New Zealand’s rich resource of information that tells the stories of the nation.

Archives New Zealand’s Strategic Priorities

Our four strategic priorities for 2009/10 were developed to prioritise work activities to meet the department’s outcomes and are interwoven through our activities and outputs:

 

Archives New Zealand’s Outcomes

Our strategic direction is guided by an outcomes framework that illustrates the relationship between what we do and how this contributes towards the outcomes the government seeks.

During 2009/10 our work contributed to the three societal outcomes embedded in the Public Records Act 2005. These are:

We worked towards achieving our four key intermediate outcomes:

The table below summarises the linkages between the intermediate and societal outcomes and the linkages between the intermediate outcomes and the Minister’s priorities. Further information on the specific outcomes is provided in the text below.

 

Table 1 Linkages and outcomes

 

Vote: National Archives INTERMEDIATE OUTCOMES SOCIETAL OUTCOMES MINISTERIAL PRIORITIES
Efficient and Effective Government Trusted and Accountable Government Nationhood and Social Cohesion Management of the Government’s Digital Information Increased Online Access to Digital Archives Cross Agency Initiatives
Full and accurate records are kept by public sector agencies   ♦   ♦   ♦   ♦     ♦
Public archives are preserved and well managed   ♦   ♦     ♦   ♦   ♦
Public archives are accessible and well used     ♦   ♦   ♦   ♦   ♦
The archiving community is coordinated and well led     ♦   ♦     ♦   ♦

 

This section of the Annual Report summarises Archives New Zealand’s major interventions and achievements during 2009/10, along with the measures that contributed to achieving these outcomes.

 

Full and accurate records are kept by public sector agencies

This outcome contributes to both efficient and effective government and trusted and accountable government. Good information management ensures government agencies keep full and accurate records in order to deliver efficient and effective services to their customers. Full and accurate records of business transactions provide the platform for access to public records now and in the future, helping to maintain transparency and accountability in government.

This outcome also reflects our role in:

The key achievements that contributed to this outcome during 2009/10 include:

Setting the process and schedule for recordkeeping audits of public offices

Our Audit Team has developed its operational capability. The team will be augmented, as required, from a panel of external audit service providers. Auditing standards and methodology have been peer reviewed. The fit for purpose key components of the programme are being monitored through independent quality assurance reports. Software for the efficient management and reporting of audits has been developed and tested. Recordkeeping audits are scheduled to commence in July 2010 and the audit schedule has been set for the 2010-14 period.

Further developing standards and continuing to provide advice and support to public offices

We are continuing to develop standards and guidelines to assist public sector agencies to manage their information. A new mandatory standard on the disposal of records has been developed which outlines expectations in this area. Four recordkeeping advice publications were issued: a guide to managing web records, digital transfer and dataset factsheets and a new version of our recordkeeping glossary.

 

Twenty-six recordkeeping training courses were delivered throughout the country with 320 people attending. Feedback on the courses continues to be very positive with 98 percent of attendees finding the courses ‘useful’ or ‘very useful’. In addition, nine recordkeeping forums were held throughout the country with 805 people attending. More than 90 percent of attendees agreed that the forums were relevant and useful.

Working with agencies without adequate record disposal authorities to address this gap

Over the course of this year, our Appraisal Section has worked with public agencies to increase disposal coverage of public records. Thirty-six appraisal reviews were completed over the year compared to 25 during 2008/09. Disposal coverage of public agency core business records improved from 42.02 percent in the March quarter to 46.05 percent in the June quarter. The department is actively promoting the use of Sector Specific Disposal Authorities, such as the one recently approved for 19 of the 20 tertiary institutes and polytechnics of New Zealand.

Continuing to work with public offices to develop processes to improve their information management

Over 2009/10, our Government Recordkeeping Group responded to 1,021 recordkeeping advice queries from public offices. A client feedback survey was conducted using the Common Measurements Tool. The results of this survey indicated that 83 percent of the respondents were satisfied with our services. We will use the survey results to inform targeted improvements to our advice services.

Supporting appropriate business systems’ design and procurement across the public sector

The project to adopt the International Council of Archives Principles and Functional Requirements for Records in Electronic Office Environments as a replacement for Archives New Zealand’s Electronic Recordkeeping Systems Standard is on track for completion in 2010/11. A new one-day training course on digitising records has been developed to support effective use of scanning technology across the public sector.

Raising awareness of digital continuity at a strategic level, form a community of practice and harmonise descriptive terminology used to describe digital heritage objects

Raising awareness and understanding of digital continuity has been the major emphasis in year one of the Digital Continuity Action Plan (DCAP) implementation. Since the launch of DCAP in August 2009, some 20 presentations about digital continuity have been delivered to over 1,200 people in New Zealand and in Australia.

The major awareness raising event was the Future Perfect Conference, held in Wellington 3-5 May this year and attended by 195 people. The conference was the first of its kind to specifically tackle digital continuity technology trends at both a strategic and operational level in the New Zealand public sector. The conference, opened by the Minister Responsible for Archives New Zealand, Hon Nathan Guy, featured international keynote speakers and intensive training workshops. It was an opportunity to promote the value of digital continuity in the public sector and develop people’s knowledge. The majority of participants (99%) recommended that there be future events on this topic.

At a recordkeeping forum in Wellington on 1 June 2010, the Minister Responsible for Archives New Zealand announced the allocation of Budget funding of $12.6 million over four years to Archives New Zealand and the National Library to establish the Government Digital Archive.

The Digital Continuity Glossary was approved for publication. This has been developed by an interdepartmental working group and will enable understanding of terms across disciplines.

Targeting at-risk areas of public sector digital information by providing advice and support

An interdepartmental working group has identified categories of risks to digital information, and mitigation for these risks. A risk model has been drafted and is expected to be completed and used as the basis for research across the public sector in the first quarter of 2010/11.
 

Seeking government approval for the draft Digital Continuity Action Plan

The Digital Continuity Action Plan, an all-of-government approach to digital continuity, was approved by the Minister Responsible for Archives New Zealand in June and launched on 7 August 2009. The Plan has six goals and 15 action areas for implementation over three years. The goals are:

Performance Measures

Archives New Zealand measured its progress at achieving this outcome against the following indicators:

All three reporting areas are measured through Archives New Zealand’s Government Recordkeeping Survey and the internal monitoring of the disposal authority coverage. Further information will be provided by the audits of public offices commencing from 1 July 2010. These measures will provide a comprehensive indication of the extent to which agencies are keeping full and accurate records.

 

Percentage of public offices and local authorities reporting they have a formal recordkeeping programme

Progress against this indicator is measured in the government recordkeeping survey by asking agencies to identify the type of recordkeeping programme in their organisation – formal, informal, or working towards implementing a formal programme. A formal programme is one where there are specific recordkeeping policies and procedures with staff members responsible for records management.

 

Figure 2 Public office and local authority recordkeeping practices

Figure 2 Public office and local authority recordkeeping practices

The 2010 Survey of Government Recordkeeping found that 59 percent of public offices that responded described their recordkeeping programmes as being a formal one, a significant increase from 48 percent in 2009. There is also an increase in the proportion of public offices that are working towards implementing a formal programme (34% up from 13% in 2009). There was an increase in the proportion of public offices with a formal recordkeeping programme. The increase for Independent and Autonomous Crown Entities, Offices of Parliament and the Reserve Bank as a group was statistically significant (65% up from 45% in 2009). Government departments are significantly more likely to have a formal recordkeeping programme in place (83%) and less likely to have an informal one (2%).

Tertiary education providers are split almost evenly between having a formal programme (52%) and working towards implementing one (48%). Crown Research Institutions are significantly less likely than average to have a formal programme (13%) and are more likely to be working towards implementing one.

Fifty-nine percent of local authorities have a formal recordkeeping programme in their organisation, a further eight percent have an informal one and another 33 percent are working towards implementing a formal one. In 2009, the figures respectively were, 64 percent, three percent and 33 percent.
 

Figure 3 Public offices and local authorities with policies and processes in place to assess compliance with the Public Records Act 2005

 

Figure 3 Public offices and local authorities with policies and processes in place to assess compliance with the Public Records Act 2005

 

Percentage of public offices reporting progress in implementing mandatory standards issued under the Public Records Act 2005

All respondents to the 2010 Government Recordkeeping Survey were asked if their organisations had performed a risk assessment against the three mandatory recordkeeping standards. The results are set out below.

 

Table 2: Percentage of organisations that have performed risk assessments against mandatory standards

 

Standard Local Authorities (2009) Local Authorities (2010) Public Offices (2009) Public Offices (2010)
Storage Standard S2 47% 51% 33% 38%
Create and Maintain Recordkeeping Standard S7 35% 29% 23% 30%
Electronic Recordkeeping Metadata Standard S8 24% 27% 19% 22%

 

Percentage of public offices with a disposal authority which covers their core business records

An effective records management programme should include provision for records appraisal and disposal. Systematic records disposal is good business practice, ensuring that money and staff time is not wasted on administration and storage of records with no business or archival value. It is critically important for government agencies to have a formal disposal programme in place to ensure that records are disposed of systematically and not in an ad hoc way.

Some 41 percent of public offices have a regular records’ disposal programme in place, a decrease from 47 percent in 2009. Almost half (49%) of public offices have a disposal authority from the Chief Archivist that covers records of their core function. This has increased from 43 percent in 2009. Nearly half (47%) of public offices have disposed of records in the past year, this has remained relatively stable over the past five years. The most commonly applied disposal authority is an Archives New Zealand general disposal authority (71%) followed by an ongoing disposal authority (52%).

A different system is in place for the disposal of local authority records. The Local Government Schedule, approved by the Chief Archivist, identifies a variety of records created by local authorities that must be protected. The disposal of these records is managed at a local level.

In the 2010 survey, 56 percent of local authorities reported having a regular disposal programme in place for records, with a further 32 percent developing one. Sixty percent of local authorities have disposed of records in the last 12 months. The most common disposal schedule was that outlined in the Association of Local Government Information Management Toolkit.
 

Table 3: Cost-effectiveness (Outcome 1)

 

Measure 2008/09 Achievement 2009/10 Achievement
Cost of recordkeeping forums per person attending $19.54 $19.21
Cost of government recordkeeping training per person attending, per day $195.25 $201.94

 

Public archives are preserved and well managed

Archives New Zealand describes, preserves and stores public sector information of long-term value. Ensuring the public archive is well managed enables the department to deliver its services for accessing the archives. This outcome contributes to efficient government by freeing agencies from managing records no longer required for their operational business purposes. Regular disposal is part of good recordkeeping, and promotes efficiency by ensuring only those records required are retained and unnecessary expenditure on storage is avoided. Trust, accountability and social cohesion are enhanced as New Zealanders have the confidence to access the public archive and to easily do so.

This outcome also includes supporting communities to manage their own archives.

Key achievements for this outcome during 2009/10 include:

Implementing the Digital Continuity Action Plan to ensure public sector digital information is available for as long as it is needed

The major focus in year one of the implementation of the Digital Continuity Action Plan was on raising understanding across the public sector about the issues and what can be done about them. Budget 2010 included new funding for Archives New Zealand and the National Library to develop Government Digital Archive infrastructure which will in part build on the Library’s National Digital Heritage Archive. Work with the National Library on the implementation of a Memorandum of Understanding on the preservation of public sector web information has progressed and work on a gap analysis of the suitability of the National Library’s Digital Heritage Archive as the repository for the Government Digital Archive was completed.

Establishing our new repository management and ordering system, to better assist staff manage the location of the archives within our repositories. This will be integrated with our website so systems for ordering archives are more streamlined and accessible to our customers

Work on the development of the new Archive Location Finder (ALF) application which enables staff to have much better location information and tracking of our archival material is progressing to plan. Once ALF is implemented our customers will be able to request to view material directly from Archway and see it in one of our reading rooms. ALF was piloted in July 2010 in the Christchurch repository and is being progressively rolled out to the other three with full implementation by the end of September 2010. Ongoing functionality to better support our customers’ online search of the archives will continue to be developed.

The Government Digital Archive

Significant pre-planning work to prepare for the Government Digital Archive Programme has been undertaken over the year. This has included discussions with vendors and National Library managers on the high level design of specialist archives requirements and how integration with the National Digital Heritage Archive and governance arrangements will work.

Building Capacity and Strategy Project

Nearing completion, this project includes work on updating the long-term capacity model, which estimates future storage needs over 30 years. This takes into account new information from public offices, the design of alternative archival repository buildings, and development of an operational planning model for short to medium-term archival appraisal and transfer planning.

Performance Measures

We measure our progress at achieving the outcome Archives are Preserved and Well Managed against the following indicators:

These measures address the management of the public archive from transfer and storage perspectives. The transfer measure is important because all government records assessed to be of long-term value of 25 years should be transferred to the control of the Chief Archivist so quality archival storage conditions can be applied.

The number of public offices holding records of archival value over 25 years without a formal agreement is reducing

In 2010, around 68 percent of the respondents to the survey or 113 public offices hold records that were created earlier than 1985 and are over 25 years old. Close to 32 percent of public offices with records over 25 years report that the records have been appraised for retention as public archives and will eventually be transferred to Archives New Zealand or an approved repository. Sixteen percent say that the records have been appraised and may be destroyed when no longer required. In 2009, 66 percent of respondents reported that their organisations held records over 25 years of age.

The majority (98%) of local authorities hold records that were created before 1985. The most commonly used measure for managing access to records over 25 years is ensuring open access to these records by members of the public, while under the control of the organisation. For 2009/10 this was recorded at 75 percent. In 2009, all local authorities held records over 25 years of age.

Archives New Zealand will meet archival storage standards so our holdings are kept safe and secure, protected against deterioration and changes in technology

For the first time in 2010 all of our offices completed a formal self-audit of their repositories against the Archives New Zealand Storage Standard. The audits have provided valuable baseline information and identified areas of non-compliance or partial compliance that can be improved. As a result of this self-audit all our offices are initiating work in 2010/11 to improve our compliance with the requirements of the Storage Standard. Where the requirements are not able to be met we have implemented a number of measures to mitigate any risks to the archival holdings.

 

Table 4: Cost-effectiveness (Outcome 2)

 

Measure 2008/09 Achievement 2009/10 Achievement
Unit cost per item added to Archway $2.72 $3.711
Cost of operating the repositories, per shelf of archives $16.99 $16.90

 

Public archives are accessible and well used

This outcome contributes to trusted and accountable government and nationhood and social cohesion as the ability to access and use records of public business encourages critical analysis and the independent examination of government actions. New Zealanders can also access these records for accountability purposes, for example, researching information connected with claims submitted to the Waitangi Tribunal. By helping people to understand how the past is an important part of the present, nationhood and social cohesion is strengthened.

Key achievements contributing to this outcome during 2009/10 include:

Continuing to improve the department’s services and processes to provide cost-effective access to archives

Archives New Zealand launched its internet television channel via Ziln in September 2009 enabling a world-wide audience to view audio visual archives anywhere, any time.
Greater access to the National Film Unit collection has resulted with 273 films, spanning the years 1939 to 2010, online. Regular monitoring of the channel shows a steady interest in the collection. For example, over a period of four days 3,709 people watched a single film City of Health (1944). (http://www.ziln.co.nz)

The concept of a digital copying centre in the Wellington office was proposed in August 2009. By year end funding had been allocated and space approved to construct a centralised single copying centre. This enabled us to relocate staff and equipment into an all purpose designed work area for digitisation. Operational and customer service improvements should result from this initiative.

The number of written enquiries answered in 2009/10 increased 32 percent from the previous year. There were 12,114 written enquiries answered during 2008/09, which rose to 15,978 in 2009/10. An increase was also shown in the number of new readers registered, which rose 10 percent from 3,501 in 2008/09 to 3,858 in 2009/10. The number of archives produced in reading rooms rose six percent from 57,964 in 2008/09 to 61,600 in 2009/10. However, the number of readers visiting Archives New Zealand’s reading rooms decreased four percent from 17,019 in 2008/09 to 16,294 in 2009/10. This was due to the closure of the Wellington reading room to develop the new reading room and Gateway facilities.

Increasing collaborative partnerships with a particular focus on the National Library as Archives New Zealand establishes joint service delivery with the manuscripts section of the Library’s Alexander Turnbull Library

In February, the Alexander Turnbull Library relocated its reference services to Archives New Zealand’s Wellington office while the National Library building undergoes a major refit. There has been consistently good feedback from clients on having the reference services of our two organisations at the same location.

Archives New Zealand continues to work closely with other organisations to increase and enhance delivery to our customers. These include the New Zealand Electronic Text Centre, the Ministry for Culture and Heritage, FamilySearch, and the Ministry of Education. We have worked with the New Zealand Electronic Text Centre and the Auckland War Museum to link the digitised copies of New Zealand Defence Force (NZDF) personnel files on Archway to the museum’s own database of servicemen. The NZDF also arranged for a range of Citation records to be digitised at Archives New Zealand for publication through their website.

Collaboration with FamilySearch has resulted in digitisation of New Zealand’s shipping lists from 1855 to 1972. This brings these valuable heritage documents of people’s migration to and from New Zealand to our own citizens and those throughout the world via the FamilySearch website. More than 281,000 of these records have been digitised.

The Probate Digitisation Project commenced in the last quarter of the year when FamilySearch volunteers began photographing documents from Blenheim Courts. The project has since moved from the initial set-up and training phase into a more operational space. Four volunteers have completed their conservation and digitisation training. The volunteers are capturing a total of 1,200 images per week.

Over the year work continued with e-cast (a video streaming and hosting service provider), the Ministry of Education and Te Papa Tongarewa to develop a concept entitled Making History; a broadly based programme to promote our cultural heritage and to assist school students to improve their electronic story telling abilities.

 

Increasing accessibility through adding further descriptive information and images to Archway

Over the 2009/10 year 8,309 NZDF personnel files were published on Archway. Bringing the total to 10,024 or 7.79 percent, the goal is to make all the NZDF files available on Archway by mid-2014, the anniversary of World War One.

At year end a total of 13,244 digital copies of archives are available through Archway including photographs, paintings, maps, volumes and paper files. As a result the records are more readily accessible by many people throughout the world and no longer need to be printed and mailed out to those who request them.

Increasing the depth of Archives New Zealand’s knowledge of customer needs and matching our services to those needs

During the year Archives New Zealand made significant progress in finding out more about customer expectations and level of satisfaction with access to records and other frontline services. A substantial customer satisfaction survey was carried out to determine what our customers want and how well we were meeting their expectations, a smaller ‘mystery shopper’ exercise was commissioned to provide a basic audit of performance across all service delivery channels. The results of both these exercises are being analysed prior to discussion with staff and the development of training to incorporate the ‘findings’.

Visitor feedback forms have been introduced into all four reading rooms, with customers able to comment on our services to researchers on an ongoing basis.

Performance Measures

Archives New Zealand measures its progress in achieving this outcome against the following indicators:

The number of people who know of Archives New Zealand and its activities is increasing over time

Respondents to the June 2009 New Zealand Public Sector Trust and Confidence Poll were asked, without prompting, which public sector organisations they were aware of. While none of the respondents indicated they were aware of Archives New Zealand, when prompted and asked what knowledge of Archives New Zealand they had 39 percent of respondents indicated that they had a reasonable knowledge. This is an increase of seven percent from 2006. Eighty-six percent of people who said they had a reasonable knowledge of Archives New Zealand indicated that they had full trust and confidence in us, an increase of 11 percent since 2006.

The number of Archives New Zealand’s users is increasing

Archives customers can obtain information from us in three ways: by visiting one of our four reading rooms, by requesting that information be mailed to them (outreach enquiries) and by downloading information from our website through Archway. The way people interact with us is changing, as can be seen from figures 4, 5, and 6 below. It is expected that the greatest increase over the next few years will be those who access services through the web, and much of our new work is aimed at enabling this. The increase in the use of the web to obtain information is clearly displayed in Figure 4 below which shows that there has been a 27 percent increase in the number of pages viewed on Archway over the past two years.

Figure 4: Pages viewed on Archway

 

  Pages viewed on Archway

 

Figure 5 below shows that notwithstanding a reduction in the number of visits to our reading rooms, the number of items issued in our reading rooms has increased six percent in 2009/10 from the previous year. During the same period the number of visits to the reading rooms decreased by four percent. This was due to the closure of the Wellington reading room to develop the new reading room and Gateway facilities.

 

Figure 5: Number of visits to Archives New Zealand reading rooms and the number of items issued

 

 Number of visits to Archives New Zealand reading rooms and the number of items issued

 

Figure 6 below shows that the number of outreach reference enquiries has increased from 2000/01. This service involves assisting researchers unable to visit Archives New Zealand’s reading rooms by suggesting records that may be helpful to their research, checking indexes that are not available online or delivering copies of specific reports to their home.

 

Figure 6: Number of outreach reference enquiries

 

  Number of outreach reference enquiries

 

The needs of outreach and onsite users, including the public and public offices accessing services provided by Archives New Zealand are being effectively met

The successful refurbishment of the public access areas on the ground floor of our Wellington office has seen the Gateway provide an effective way of welcoming and informing new customers and facilitating research in the reading room. A shared customer service with the Alexander Turnbull Library in the redesigned reading room has also proven effective.

Planning for the centralised digital copying centre began at the end of 2009. This will centralise the reproduction of all forms of graphics (reprography) in one shared workspace and will result in more efficient service delivery to both outreach and onsite customers.

Outreach delivery of access services will be enhanced by two projects formally underway by the end of the year. The alternative Search Pilot developed earlier in the year will become part of the mainstream Archway search functionality. Tools and processes to facilitate the accessing of a wealth of secondary finding aids online will be developed also. The Archive Location Finder project to replace our repository management system and enhance our archive request and retrieval has progressed to the point of being ready for pilot in July 2010.

 

Table 5: Cost-effectiveness (Outcome 3)

 

Measure 2008/09 Achievement 2009/10 Achievement
Cost per person to access a record provided in our reading rooms $11.43 $10.87
Cost per request for providing records through our remote access services $28.90 $21.77
Cost per request to action government loan requests $12.70 $11.96

 

The archiving community is coordinated and well led

This outcome contributes towards trusted and accountable government. It provides people in the community with the ability to source records of prior actions, and nationhood and social cohesion is strengthened through preserving the memory and identity of New Zealanders. Through archival support and advice Archives New Zealand helps to enhance the care of protected local government records and records held in community archives, community organisations, and by Mäori, iwi, häpu and whänau. As a result, records of significance throughout New Zealand are retained and better managed.

Key achievements contributing to this outcome during 2009/10 include:

 

Continuing to work with Mäori to digitise records of significance

Project work to digitise and record information about archives of significance to Tühoe and Taranaki iwi was undertaken in 2009/10. This involved the identification, cataloguing and digitising of records of relevance and the addition of metadata intuitive to Mäori and specifically relevant to the scope of the research.

The Taranaki project focused on archives written in te reo o nga iwi o Taranaki between the period 1860 and 1900. It is believed that iwi initiated correspondence to the Crown during this period was written by people in te reo where Te Reo O Taranaki was their first language. Of interest to Taranaki iwi is the manner in which the authors of this correspondence used specific words and sentence structures which today provide an insight into local reo and the cultural context of the period.

This project was initiated by Te Reo O Taranaki Trust, a charitable trust established in 1986 which seeks to boost the vitality of Taranaki Mäori through the promotion of traditional language. Trust staff commented on this project being “one of the rare occasions a Mäori community has been invited to work inside a Crown repository”.

In December 2009, kaumätua and representatives of nga iwi o Taranaki travelled to Archives New Zealand’s Wellington office for the formal handover of the final resource by the department’s Acting Chief Executive, Greg Goulding.

The Tühoe project focused on archives containing records, maps and information about the land, people and their history and culture pertaining to Te Urewera, and covers the period between 1866 -1940. This proposal was developed as a result of an initial approach made by Te Kotahi a Tühoe, seeking access to information to support the Tühoe Treaty Settlement process and their plans for future Tühoe development.

Fundamental to the success of the Tühoe project was the iwi researcher, based in the department with the local knowledge and the cultural competency to identify important records of relevance to Tühoe.

Both projects were completed on time.

Increased accessibility to archives for Mäori

Work has continued on improving the archival listings for the Mäori Land Court Minute Books. This work has included a meeting with Mäori Land Court staff to establish the location of a number of original minute books not currently held by Archives New Zealand. Some preliminary steps have been made towards having the digitised minute books made available in the reading rooms of Archives New Zealand, but no final decisions have been made.

The department’s ongoing support to the two iwi projects (Tühoe and Taranaki) and their success is likely to see an increase in the number of enquiries to participate and work on similar projects. Our contribution has diminished as the projects have reached completion. The experience, however, can be drawn on to serve as the basis for assistance that our Access Service team will be able to offer those new projects scheduled for the coming year.

Work on a project to list 19th century correspondence of the former Department of Mäori Affairs has also been completed.
Archives New Zealand staff have been involved in ongoing discussions and negotiations as part of the Cultural Redress of the Ngäti Porou Settlement. These discussions have been led by the Office of Treaty Settlements and included Te Papa Tongarewa and the National Library.

Providing training workshops about The Community Archive (formerly NRAM) to community groups

Archives New Zealand held workshops for community-based archivists to introduce them to and provide training on using The Community Archive website. A total of 100 people attended the workshops in Wellington, Kaitaia, Whanganui, Christchurch, Dunedin and Nelson.

Supporting the development and implementation of a recordkeeping toolkit for good governance in the Pacific Islands, with the Pacific Regional Branch of the International Council on Archives (PARBICA) and NZAID

The initial phase of this toolkit was completed and disseminated in the first quarter of 2009/10. Archives New Zealand continues to work with our Pacific colleagues to better improve recordkeeping capacity in the region, but our role has been scaled back from a lead one to a support role.
 

Performance Measures

Archives New Zealand measures its progress in achieving the outcome the archiving community is coordinated and well led against the following indicators:

The number of items added to The Community Archive website

Over the 2009/10 year 115 new items were added to The Community Archive website bringing the total number of entries up to 12,570.

Implementation of the joint work plan

Archives New Zealand, the National Library of New Zealand and Te Papa Tongarewa have developed a shared strategic direction where they will work together to pursue the following goal:

New Zealanders can seamlessly access the nation’s art, culture and heritage collections online.

The three institutions have conducted a stock-take of collaborative activities and projects that support the objective of seamless online access to the nation’s cultural materials.

A number of activities have been completed in 2009/10 including a project investigating shared storage (also involving Ministry for Culture and Heritage and Treasury), an audio-visual archiving training course in November 2009 and the signing of a letter of commitment between the three institutions and Ngäti Porou. A range of current activities between the three institutions (and occasionally other organisations) is progressing, including the development of a public sector web archiving agreement, advice and support for digitisation through Digital New Zealand and the Online Heritage Access Group.

Investigating the extent to which rights management regimes may be integrated more fully has been a priority. A discussion document has been developed that considers the similarities and differences of the rights management processes of the three institutions and the extent to which these processes could be integrated.

Cost-effectiveness (Outcome 4)

The cost effectiveness of these interventions is measured by the cost of training per person attending per day community archiving courses. For the year ended 30 June 2010 this cost was $12.00.

 

Collaboration

National Digital Forum

Archives New Zealand is actively involved with the National Digital Forum (NDF), which comprises some 130 museums, archives, art galleries, libraries and government departments working together to improve electronic access to New Zealand’s digital culture and heritage.

The 2009 National Digital Forum was held at Te Papa, Wellington on 23-24 November. The theme of the forum was Being online now – Culture, creativity and community. Archives New Zealand is a major sponsor of the conference, with staff involved in the planning of this annual event as well as presenting on key projects and hosting a display stand.

Digitisation of New Zealand Shipping Lists

In November 2009, two volunteers Bill and Glenys Chadderton, representing FamilySearch completed the job of digitising some 270,000 shipping lists pages in Archives New Zealand’s Wellington office. From the 1800s to the mid 1970s most people living in New Zealand were either born here or arrived by ship so the records are of particular significance and value. Some eight million names appear on the shipping lists and the records are being made available on the FamilySearch website.

Taranaki Reo Revitalisation Project

In January 2010, Archives New Zealand began the second stage of working with Te Reo o Taranaki Charitable Trust to continue to access important records written in te reo o Taranaki from 1860 to 1900 relating to nga iwi o Taranaki. During the first stage of this project over 250,000 files were researched, 50,000 files were accessed and 1,000 digital images taken.

Samoan Digitisation Project

Archives New Zealand is assisting with the establishment of a large-scale digitisation project, funded by the Federal Republic of Germany, to copy the records for the German colonial period (1900-1914) held by the National Archives of Samoa. The department is providing services to support this project. These include the provision of technical equipment and the training of Samoan Archives staff in the arrangement and description of records, basic conservation techniques and the digitisation process.

We are now receiving and processing the data ready for transfer to Germany. As part of the transfer process we are responsible for the quality control of the images and metadata supplied by the Samoan Digitisation team, providing short-term storage for the images and transferring the reference quality images requested by the German Archives.

 

Land Information New Zealand

The collaboration with Land Information New Zealand (LINZ) to provide access to an important and highly used series of records has continued, with our three regional offices preparing to accept large quantities of archival land records from LINZ offices closing throughout the country. A Register Room has been built within existing public areas in the Christchurch office to allow more direct access to significant registers from the northern half of the South Island. This is in addition to the new Register Room opened in the Wellington office which provides customers with direct access to key information on the deeds system in the Wellington region. We are also facilitating a LINZ project to digitise indexes to land registers nationally, in which we will store and make available the resulting digital copies to greatly improve access for readers.

PARBICA

Archives New Zealand is a member of the Pacific Regional Branch of the International Council on Archives (PARBICA) and is represented on the Council’s governing Bureau. Through this association the department actively supports archival and recordkeeping activities within the Pacific region.

 

Capability

The work to deliver Archives New Zealand’s outputs is supported by an underlying physical and organisational capability. This year the department focused on implementing a new governance model for Information and Communication Technology and ongoing systems improvements for customer service and business efficiency. Archives New Zealand has also developed its people capability through recruitment and training to meet the current and planned needs of the organisation.

The following summarises key achievements in 2009/10:

Upgrade of Wellington Office

Work on the upgrade of the ground floor of the Wellington building was completed on time and within budget. The upgrade included the new Gateway information space and refurbished reading room, a register room for historic LINZ documents, as well as improvements to reception, café and security facilities. Improvements to security included the installation of new security monitors and a new reception/security area for receiving visitors.

Information and Communications Technology

A project to replace the out-dated repository management and archives ordering system continued during 2009/10. The new Archive Location Finder (ALF) piloted from July 2010 will be rolled out progressively to all offices by the end of September 2010. Other work to improve location information of archives within the holdings continues. Achievements over 2009/10 include:

Building on the new design and underlying content management system was introduced mid 2009, for the Archives New Zealand website (http://www.archives.govt.nz/). Public subscribers are now receiving news alerts and our external newsletter Ngä Tapuwae via RSS feed. The front page has a video sourced from our Ziln-hosted archival film collection, and the What’s New/News Flash section (http://www.archives.govt.nz/about/news) has been made more readable.
 

The online Library Catalogue System has been upgraded to improve the services available and this has reduced the issues we were experiencing with using an older software version.
 

Human Resources

Archives New Zealand provides a work environment and conditions suitable for attracting and retaining staff with the necessary skills and knowledge. The department is committed to ensuring staff have the learning opportunities needed to lead change in the fields of information management, archives management and central government policy and business management. Archives New Zealand provides opportunities for staff development through its training programme and a flexible family-friendly work environment. The department encourages high performance at all levels within the organisation.

During 2009/10, Archives New Zealand continued to develop organisational capability through the development of its staff. Key initiatives during this period include:

Equal Employment Opportunities (EEO)

Archives New Zealand has a comprehensive human resources policy to ensure EEO principles are integrated into all staff management areas. Examples of policies and processes in place include recruitment, training and development, employment relationships, and change management. These place a high emphasis on fairness and transparency and the department continually develops management capability when applying them.

Legislative Compliance

To facilitate legal compliance and to allow employees to have confidence that they are acting within the law a comprehensive legislative compliance programme is maintained. There are 36 items of legislation to which Archives New Zealand must adhere.
Each six months designated staff report on the status of their compliance with legislation applicable to them. A report on the status of compliance with legislation and on changes to the Register of Key Legislation is prepared for the Strategic Management Group.
 

Archival Advisory Bodies

Archives Council, Te Rua Wänanga

The Archives Council, Te Rua Wänanga, is an unincorporated body established under the Public Records Act 2005. Its role is to provide independent advice to the Minister Responsible for Archives New Zealand on recordkeeping and archives matters generally, including those for which tikanga Mäori is relevant, authorisations to dispose of public records, the approval of repositories, and appeals to the Minister.

Members of the Archives Council as at 30 June 2010 are: Ani Pahuru-Huriwai, Barry Holdaway, George Reedy, Dame Mary Anne Salmond FNAS, FRSNZ, FAHNZ, DBE, CBE, Mel Smith CNZM (Deputy Chair), Richard Nottage CNZM (Chair) and Stuart Strachan QSO.

The Council held meetings on 26 August 2009, 20 April 2010, and 20 July 2010 in 2009/10. Agenda items included the 2010/13 Statement of Intent, Approved Repository Application Process, Recordkeeping Audit of Archives New Zealand, Auckland Local Government reorganisation, and Loan of Archives between Archives New Zealand offices. The main focus of discussion in 2010, has been the Government’s decision to merge the Department of Internal Affairs, National Library of New Zealand and Archives New Zealand, the State Sector Management Bill and the maintenance of the statutory independence of the Chief Archivist.

Te Pae Whakawairua

This group established by the Chief Archivist in 2002, currently consists of eight members. Membership reflects the range of our stakeholders and provides a sense of different regional perspectives on Mäori interests in records and archives. Te Pae Whakawairua provides advice and feedback to the Chief Archivist and Chief Executive to ensure the momentum of Archives New Zealand’s Responsiveness to Mäori programme continues.

During 2009/10 Te Pae Whakawairua met four times. Business included providing input into the development of a Treaty exhibition space commensurate with the mana of te Tiriti o Waitangi documents held in the Constitution Room at Archives New Zealand’s Wellington office. The group gave feedback on the department’s strategy to ensure that online distribution of material with Mäori content is done in a way which is culturally sensitive and also provided support for the developing work with iwi and Mäori groups to improve access to archives of significance to these groups.

 

Ten Years of Achievement

2001/02

2002/03

2003/04

2004/05

2005/06

2006/07

2007/08

2008/09

2009/10

 

Part Two

STATEMENT OF RESPONSIBILITY
AUDIT REPORT
STATEMENT OF SERVICE PERFORMANCE
FINANCIAL PERFORMANCE FOR OUTPUT CLASS
FINANCIAL STATEMENTS
GLOSSARY
DIRECTORY

 

Statement of Responsibility

As the Chief Archivist and Chief Executive of Archives New Zealand, I am responsible under the Public Finance Act 1989 for the preparation of the department’s financial statements and the statement of service performance that follow for the judgements made in the process of producing those statements.

The department has a system of internal control and this has provided reasonable assurance as to the integrity and reliability of financial reporting.

My signature below marks my opinion that the financial statements and statement of service performance fairly reflect the financial position and operations of Archives New Zealand for the year ended 30 June 2010.

Greg Goulding
Chief Archivist and Chief Executive (Acting)
Date: 30 September 2010

 

Countersigned by:
Philip Green
Chief Financial Officer
Date: 30 September 2010

 

Audit Report

TO THE READERS OF ARCHIVES NEW ZEALAND FINANCIAL STATEMENTS AND STATEMENT OF SERVICE PERFORMANCE FOR THE YEAR ENDED 30 JUNE 2010

The Auditor-General is the auditor of Archives New Zealand (the Department). The Auditor-General has appointed me, Alex Skinner, using the staff and resources of KPMG, to carry out the audit on her behalf. The audit covers the financial statements, the schedules of non-departmental activities and statement of service performance included in the annual report of the Department for the year ended 30 June 2010.

Unqualified Opinion

In our opinion:

The audit was completed on 30 September 2010, and is the date at which our opinion is expressed.

The basis of our opinion, which refers to the financial statements being appropriately prepared on a disestablishment basis, is explained below. In addition, we outline the responsibilities of the Chief Archivist and Chief Executive and the Auditor, and explain our independence.

Basis of Opinion

We carried out the audit in accordance with the Auditor-General’s Auditing Standards, which incorporate the New Zealand Auditing Standards.

We planned and performed the audit to obtain all the information and explanations we considered necessary in order to obtain reasonable assurance that the financial statements and statement of service performance did not have material misstatements, whether caused by fraud or error.

Material misstatements are differences or omissions of amounts and disclosures that would affect a reader’s overall understanding of the financial statements and statement of service performance. If we had found material misstatements that were not corrected, we would have referred to them in our opinion.

The audit involved performing procedures to test the information presented in the financial statements and statement of service performance. We assessed the results of those procedures in forming our opinion.

Audit procedures generally include:

We did not examine every transaction, nor do we guarantee complete accuracy of the financial statements and statement of service performance.

We evaluated the overall adequacy of the presentation of information in the financial statements and statement of service performance. We obtained all the information and explanations we required to support our opinion above.

The financial statements are appropriately prepared on a disestablishment basis

In forming our opinion, we considered the accounting policy on page 47, about the financial statements being prepared on a disestablishment basis. We consider the disestablishment basis to be appropriate as it has been announced that the Department will amalgamate with the Department of Internal Affairs.

Responsibilities of the Chief Archivist and Chief Executive and the Auditor

The Chief Archivist and Chief Executive is responsible for preparing the financial statements and statement of service performance in accordance with generally accepted accounting practice in New Zealand. The financial statements must fairly reflect the financial position of the Department as at 30 June 2010 and the results of its operations and cash flows for the year ended on that date.

The financial statements must also fairly reflect the expenses and capital expenditure incurred against each appropriation administered by the Department and each class of outputs included in each output expense appropriation for the year ended 30 June 2010. The financial statements must also fairly reflect the Department’s unappropriated expenses and capital expenditure for the year ended on that date.

In addition, the Chief Archivist and Chief Executive is responsible for preparing schedules of non-departmental activities, in accordance with the Treasury Instructions 2009 that must fairly reflect the assets, liabilities, revenues, expenses, contingencies, commitments and trust monies managed by the Department on behalf of the Crown for the year ended 30 June 2010.

The statement of service performance must fairly reflect, for each class of outputs, the Department’s standards of delivery performance achieved and revenue earned and expenses incurred, as compared with the forecast standards, revenue and expenses adopted at the start of the financial year.

The Chief Archivist and Chief Executive’s responsibilities arise from sections 45A and 45B of the Public Finance Act 1989.

We are responsible for expressing an independent opinion on the financial statements and statement of service performance and reporting that opinion to you. This responsibility arises from section 15 of the Public Audit Act 2001 and section 45D(2) of the Public Finance Act 1989.

Independence

When carrying out the audit we followed the independence requirements of the Auditor-General, which incorporate the independence requirements of the New Zealand Institute of Chartered Accountants.

Partners and employees of our firm may also deal with Archives New Zealand on normal terms within the ordinary course of their activities. This matter has not impaired our independence as auditors of the Department. The firm has no other relationship with or interests in the Department.

 

 

Alex Skinner
KPMG
On behalf of the Auditor-General
Wellington, New Zealand

 

Statement of Service Performance

Output Class: National Archival Services

Scope of Appropriation

The assessment, collection, storage, preservation and provision of access to public archives. It also includes policy advice and conducting programmes aimed at improving government recordkeeping.

Output Performance Measures and Standards
 

Measures Target Actual
Number of recordkeeping advice publications issued 6 51
Number of recordkeeping advice queries responded to by the Government Recordkeeping Group 900 1021
Number of attendees at Government Recordkeeping Forums 750 805
Number of approved items added to Archives New Zealand’s online index to the archives Archway 400,000 313,4222
An increasing proportion of contextual documentation, which describes archived records, will be assessed as meeting quality standards 35% 42%
Number of customers served in Archives New Zealand’s reading rooms 16,500 16,294
Number of remote written access request services provided 10,500 15,978
Number of records provided in Archives New Zealand’s reading rooms 55,000 61,600
Number of people who use Archives New Zealand’s online index to the archives Archway 60,000 145,2543
Number of searches conducted on Archives New Zealand’s online index to the archives Archway 160,000 833,5684
Number of pages of records digitised 200,000 196,673
Number of public offices that transferred records to Archives New Zealand 25 28
Quantity of archives held in storage (metres) 93,0863 96,215
Annual compliance certificates for owned repositories are achieved within regulatory and other timeframes 100% compliance 75% compliance5
Number of community archives quarterly newsletters produced 4 5
Number of community archives training courses delivered 5 7
Average number of people attending each community archives training course 15 13
Briefings and other services are provided to the Minister in agreed timeframes and to acceptable quality standards Conformance to agreed timeframes 55 written briefings There are no written briefings returned from the Minister for correction 99% conformance 38 written briefings6 No written briefings were returned from the Minister for correction
Support is provided to the Archives Council that meets the satisfaction of the Chair of the Council 100% satisfaction 100% satisfaction

 

 

Financial Performance for Output Class

The output class of National Archival Services was provided with the appropriated sum of $23,248,000 excluding GST for the financial year 2009/10. The actual total cost of this output for 2009/10 was $23,219,000 excluding GST.

Financial Statements

Statement of Comprehensive Income for the year ended 30 June 2010
 

ACTUAL   NOTE ACTUAL MAIN SUPP.
        ESTIMATES ESTIMATES
2009     2010 2010 2010
$000     $000 $000 $000
  INCOME        
22,776 Revenue Crown   22,343 21,930 22,343
478 Revenue government department   338 356 356
658 Revenue other 2 550 549 549
23,912 Total income   23,231 22,835 23,248
  EXPENDITURE        
9,479 Personnel 3 9,744 6,752 9,063
6,509 Other operating expenses 4 5,634 7,683 6,363
1,822 Depreciation 7 1,948 2,250 1,915
621 Amortisation 8 448 709 335
5,312 Capital Charge 5 5,443 5,441 5,572
145 Non-operating expenses   2 0 0
23,888 Total Expenditure   23,219 22,835 23,248
24 Net Surplus/(deficit)   12 0 0
  Other Comprehensive income        
1,753 Gain/(Loss) on property revaluations   0 0 0
0 Adjustment to previous revaluation increment   (903) 0 (1)
1,777 Total Comprehensive Income   (891) 0 (1)

 

The accompanying accounting policies and notes form part of these financial statements.
Statement of Movements in Taxpayers’ Funds for the year ended 30 June 2010
 

ACTUAL   NOTE ACTUAL MAIN SUPP.
        ESTIMATES ESTIMATES
2009     2010 2010 2010
$000     $000 $000 $000
24 Net surplus for the period   12 0 0
1,753 Increase/(decrease) in revaluation reserve 7 0 0 0
0 Adjustment to previous revaluation increment   (903) 0 (1)
1,777 Total Comprehensive Income   (891) 0 (1)
(24) Provision for Repayment of Surplus   (12) 0 0
1,753 Movements in Equity for the period   (903) 0 (1)
70,820 Taxpayers’ Funds as at 1 July 2009   72,753 70,774 72,573
72,753 Taxpayers’ Funds as at 30 June 2010   71,670 70,774 72,572

 

 

Statement of Financial Position as at 30 June 2010

 

ACTUAL   NOTE ACTUAL MAIN SUPP.
        ESTIMATES ESTIMATES
2009     2010 2010 2010
$000     $000 $000 $000
  Current Assets        
9,160 Cash and cash equivalents   8,582 9,895 6,089
125 Debtors and other receivables 6 137 67 66
94 Prepayments   44 59 59
64,285 Property, plant and equipment 7 63,405 58,788 64,626
1,307 Intangible assets 8 2,449 3,228 3,058
74,971 Total Current Assets   74,617 72,037 73,898
  Current Liabilities        
1,720 Creditors and other payables 9 2,231 724 724
24 Repayments of surplus 10 12 0 0
654 Employee entitlements 11 704 539 602
2,398 Total Current Liabilities   2,947 1,263 1,326
  Taxpayers' Funds        
50,494 General funds 12 50,494 50,494 50,494
22,079 Revaluation reserve 12 21,176 20,280 22,078
72,573 Total Taxpayers' Funds   71,670 70,774 72,572
74,971 Total Liabilities and Taxpayers' Funds   74,617 72,037 73,898

 

 

Statement of Cash Flows for the year ended 30 June 2010

 

ACTUAL   NOTE ACTUAL MAIN SUPP.
        ESTIMATES ESTIMATES
2009     2010 2010 2010
$000     $000 $000 $000
  Cash Flows from Opearting Activities        
22,776 Receipts from Crown   22,343 21,930 22,335
1,175 Receipts from revenue other   888 905 692
(9,386) Payments to employees   (9,694) (6,747) (9,115)
(6,775) Payments to suppliers   (5,087) (7,683) (7,069)
(5,312) Capital charge paid   (5,443) (5,441) (5,572)
2,478 Net Cash Flows from Operating Activities 13 3,007 2,964 1,271
  Cash Flows from Investing Activities        
(1,829) Purchase of property, plant and equipment   (1,971) (1,500) (2,257)
(623) Purchase of intangible assets   (1,590) 0 (2,061)
(2,452) Net Cash Flows from Investing Activities   (3,561) (1,500) (4,318)
           
(268) Payment of surplus to Crown   (24) 0 (24)
(268) Net Cash Flows from Financing Activities   (24) 0 (24)
(242) Net increase/(decrease) in cash held   (578) 1,464 (3,071)
9,402 Cash at the beginning of the year   9,160 8,431 9,160
9,160 Cash at the End of the Year   8,582 9,895 6,089

 

 

Statement of Commitments as at 30 June 2010

Operating Commitments

Operating Commitments are the aggregate amount of non-capital expenditure contracted for the acquisition of goods and services that have not been paid for or not recognised as a liability at the balance sheet date.

Capital Commitments

Capital Commitments are the aggregate amount of capital expenditure contracted for the acquisition of property, plant and equipment and intangible assets that have not been paid for or not recognised as a liability at the balance sheet date.
 

ACTUAL   ACTUAL
2009   2010
$000   $000
  Operating Commitments  
812 Less than one year 1,072
99 One to two years 487
3 Two to five years 242
0 Over five years 122
914 Total Operating Commitments 1,923
854 Capital Commitments 0
1,768 Total Commitments 1,923

 

Although Operating Commitments have been identified as more than one year, it is anticipated that any Commitments will be able to be transferred as part of the integration with the Department of Internal Affairs.

 

Statement of Contingent Liabilities as at 30 June 2010

The Department did not have any contingent liabilities as at 30 June 2010 (2009: nil).

Statement of Departmental Expenses and Capital Expenditure Against Appropriations for the year ended 30 June 2010
 

Expenditure after Remeasurements (Figures are GST exclusive ) Expenditure before Remeasurement Remeasurements Expenditure after Remeasurements Appropriation Voted
2009   2010 2010 2010 2010
$000   $000 $000 $000 $000
  VOTE NATIONAL ARCHIVES        
  Appropriation for Classes of Output        
  D1-National Archival Services        
23,888 Expenditure as reflected in the Statement of Financial Performance 23,219 0 23,219 23,248
23,888 Total 23,219 0 23,219 23,248
  Appropriation for Capital Contribution        
0 Capital Investment 0 0 0 0
23,888 Total Appropriations 23,219 0 23,219 23,248

 

 

Statement of Departmental Unappropriated Expenditure and Capital Expenditure for the year ended 30 June 2010

The Statement of Unappropriated Expenditure details the amount of expenditure incurred above appropriation.

There was no unappropriated expenditure for the year ended 30 June 2010 (2009: nil).

 

Breaches in Net Asset Schedule

The Department did not breach its approved net asset schedule during 2010 (2009: nil).
 

Notes to the Financial Statements for the year ended 30 June 2010

1 Statement of Accounting Policies

Reporting Framework

Archives New Zealand is a government department as defined by section 2 of the Public
 

 

Notes to the Financial Statements for the year ended 30 June 2010

1 Statement of Accounting Policies

Reporting Framework

Archives New Zealand is a government department as defined by section 2 of the Public Finance Act 1989.

These are the financial statements for Archives New Zealand, which have been prepared in accordance with Section 35 of the Public Finance Act 1989 in accordance with section 33 of the Public Finance Amendment Act 2004.

Archives New Zealand Te Rua Mahara o te Käwanatanga leads in advising on and monitoring the public record, and in the preservation of public records of long-term value. Archives New Zealand administers the Public Records Act 2005 (the Act) which sets the functions the department is required to provide and the powers necessary to carry out these functions.

In addition the Department has reported the Crown activities which it administers.

The Department has designated itself as a public benefit entity for the purposes of New Zealand equivalents to International Financial Reporting Standards (NZ IFRS). The financial statements of the Department were authorised for issue by the Acting Chief Executive and Chief Financial Officer on 30 September 2010.

Integration with the Department of Internal Affairs - Going Concern

A Cabinet Decision has been made to merge Archives New Zealand with two other Government Departments (Department of Internal Affairs and National Library of New Zealand). The date of this merge is subject to legislation being passed, and has not been determined yet.

Although Archives New Zealand will not exist as a separate entity its roles and functions will continue within the structure of Department of Internal Affairs. As a result, the financial statements have been prepared on a non- going concern basis and all assets and liabilities have been recorded as current.

The Expenditure Appropriations and Assets and Liabilities of Archives New Zealand will be transferred to Department of Internal Affairs. The transfer value of Assets and Liabilities are not expected to be materially different from their value recorded in the Statement of Financial Position.

This report will likely be the last full year of operation for Archives New Zealand.

 

Reporting Period

The reporting period for these financial statements is the year ended 30 June 2010.

Measurement System

The financial statements have been prepared on an historical cost basis, modified by the revaluation of certain property, plant and equipment.

Accounting Policies

The accounting policies set out here have been applied consistently to all periods presented in these financial statements.
The accrual basis of accounting has been used unless otherwise stated. These financial statements are presented in New Zealand dollars rounded to the nearest thousand.

Statement of Compliance

These financial statements have been prepared in accordance with New Zealand generally accepted accounting practice (NZ GAAP). They comply with New Zealand equivalents to IFRS (NZ IFRS) and other applicable Financial Reporting Standards, as appropriate for public benefit entities.

Budget Figures

The budget figures are those presented in the Budget Night Estimates (Main Estimates) and those amended by the Supplementary Estimates (Supp. Estimates).

Judgements and Estimations

The preparation of financial statements in conformity with NZ IFRS requires judgements, estimates and assumptions that affect the application of policies and reported amounts of assets and liabilities, revenue and expenses.

These estimates and assumptions may differ from the subsequent actual results. Estimates and judgements are continually evaluated and are based on historical experience and other factors, including expectations of future events that are believed to be reasonable under the circumstances.

Significant judgements include the revaluation of land and buildings, and the calculation of employee entitlements.

Revenue

Operations

The Department derives revenue through the provision of outputs to the Crown for services to third parties. Such revenue is recognised when earned and is reported in the financial period to which it relates. Revenue from the supply of goods and services is measured at the fair value of consideration received. Revenue from the supply of goods is recognised when the significant risks and rewards of ownership have been transferred to the buyer. Revenue from the supply of services is recognised in proportion to the stage of completion of the transaction at balance date.

Donated or Subsidised Assets

Where a physical asset is acquired for nil or nominal consideration the fair value of the asset received is recognised as revenue in the Statement of Financial Performance.

 

Debtors and Receivables

Receivables are recorded at amortised cost less impairment losses.

Leases

The Department leases office equipment and accommodation. All leases are operating leases.

Operating leases, where the lessor substantially retains the risks and rewards of ownership, are recognised in a systematic manner over the term of the lease. Lease incentives received are recognised evenly over the term of the lease as a reduction in rental expense.

Foreign Currency

The Department’s Financial Information Management System has only one currency, which is New Zealand dollars (NZD). The Department has not been involved in any activities which require entry into derivative financial instruments.

Property, Plant and Equipment

Items of property, plant and equipment are initially recorded at cost. Where an asset is acquired for nil or nominal consideration the asset is recognised at fair value as at the date of acquisition, with a corresponding recognition of revenue in the Statement of Financial Performance.

Classes of property, plant and equipment that are revalued, are revalued at least every five years or whenever the carrying amount differs materially to fair value. Unrealised gains and losses arising from changes in the value of property, plant and equipment are recognised as at balance date; to the extent that a gain reverses a loss previously charged to the Statement of Financial Performance for the asset class, the gain is credited to the Statement of Financial Performance. Otherwise, gains are credited to an asset revaluation reserve for that class of asset; to the extent that there is a balance in the asset revaluation reserve.

Land and Buildings

Land and buildings are recorded at fair value less impairment losses and for buildings, less depreciation accumulated since the assets were last revalued. Valuations undertaken in accordance with standards issued by the New Zealand Property Institute are used where available. Otherwise, valuations conducted in accordance with the Rating Valuation Act 1998, which have been confirmed as appropriate by an independent valuer have been used.

Other Property Plant and Equipment

Other property, plant and equipment, which include plant and equipment, furniture and fittings and Information Technology (IT) equipment, are recorded at cost less accumulated depreciation and accumulated impairment losses.

Accumulated depreciation at revaluation date is eliminated against the gross carrying amount so that the carrying amount after revaluation equals the revalued amount. The elimination approach is applied unless otherwise indicated.

Realised gains and losses arising from disposal of property, plant and equipment are recognised in the Statement of Financial Performance in the period in which the transaction occurs. Any balance attributable to the disposed asset in the asset revaluation reserve is transferred to retained earnings.

All other items of property, plant, and equipment costing more than $5,000 are capitalised at cost.

Depreciation

Depreciation is charged on a straight-line basis on all property, plant, and equipment (except land, antiques and works of art, and capital work in progress) at a rate which will write-off the cost (or valuation) of the assets to their estimated residual value over their useful lives at rates calculated to allocate the cost or valuation of an item of property, plant and equipment, less any estimated residual value, over its estimated useful life. The estimated useful lives of different classes of property, plant and equipment are as follows:
 

Intangible Assets

Intangible assets are initially recorded at cost. The cost of an internally generated intangible asset represents expenditure incurred in the development phase of the asset only. The development phase occurs after the following can be demonstrated: technical feasibility; intention to complete the asset; ability to sell or use; and development expenditure can be reliably measured. Expenditure incurred on research of an internally generated intangible asset is expensed when it is incurred. Where the research phase cannot be distinguished from the development phase, the expenditure is expensed when it is incurred.

Intangible assets with finite lives are subsequently recorded at cost less any amortisation and impairment losses. Amortisation is charged to the Statement of Financial Performance on a straight-line basis over the useful life of the asset.

Employee Benefits

Defined Contribution Schemes

Obligations for contributions to the State Sector Retirement Savings Scheme, KiwiSaver and the Government Superannuation Fund are accounted for as defined contribution schemes and are recognised as an expense in the Statement of Financial Performance as incurred.

Short-Term Employee Entitlements

Short-term employee entitlements to salaries and wages, sick leave, annual leave and other similar benefits are recognised in the Statement of Financial Performance when they accrue to employees. They are measured at nominal values based on accrued entitlements at current rates of pay.

Long-Term Employee Entitlements

Long-term employee entitlements that are payable beyond 12 months, such as long service leave and retiring leave, have been calculated on an actuarial basis.

Likely future entitlements are based on years of service, years to entitlement, the likelihood that staff will reach the point of entitlement and contractual entitlements information, and the present value of the estimated future cash flows. A discount rate of 5.40 percent, and salary inflation factors of 2.00 percent for the next five years then 3.50 percent thereafter were used. The discount rate is based on the annualised (before tax) market yield at 30 June 2010 on long-term New Zealand government bonds. The salary inflation factor is based on the expected long-term increase in remuneration for employees.

The liability for long-term employee entitlements is reported on an actual basis, based on present value of the expected future entitlements.

Termination Benefits

Termination benefits are recognised in the Statement of Financial Performance only when there is a demonstrable commitment to either terminate employment prior to normal retirement date or to provide such benefits as a result of an offer to encourage voluntary redundancy. Termination benefits settled within 12 months are reported at the amount expected to be paid, otherwise they are reported as the present value of the estimated future cash outflows.

Taxation

The Department is exempt from income tax in terms of the Income Tax Act 2004. Accordingly no charge for income tax has been provided for. The Department is subject to fringe benefit tax (FBT), goods and services tax (GST), and pay as you earn tax (PAYE).

Financial Instruments

The Department is party to financial instruments as part of its normal operations. These financial instruments include bank accounts, accounts receivable and accounts payable. The Department has not been involved in any activities, which require entry into derivative financial instruments.

Designation of financial assets and financial liabilities by individual entities into instrument categories is determined by the business purpose of the financial instruments, policies and practices for their management, their relationship with other instruments and the reporting costs and benefits associated with each designation.

Cash and cash equivalents include cash on hand, cash in transit, bank accounts and deposits with a maturity of no more than three months from date of acquisition.

All financial instruments are recognised in the Statement of Financial Position at fair value and subsequently measured at amortised cost. All revenues and expenses in relation to financial instruments are recognised in the Statement of Financial Performance.

Creditors and Other Liabilities

Creditors and other liabilities are initially recorded at fair value and subsequently measured at amortised cost, using the effective interest method.
 

Goods and Services Tax (GST)

The Statement of Unappropriated Expenditure and the Statements of Departmental and Non-Departmental Expenditure and Appropriations are exclusive of GST. The Statement of Financial Position is exclusive of GST, except for Accounts Receivable and Accounts Payable, which are GST inclusive. All other statements are GST exclusive.
 

The amount of GST owing to the Inland Revenue Department at balance date, being the difference between Output GST and Input GST, is included in Current Liabilities or Current Assets as appropriate.

 

Commitments

Future expenses and liabilities to be incurred on contracts that have been entered into at balance date are disclosed as commitments to the extent that there are equally unperformed obligations.

Contingent Assets and Contingent Liabilities

Contingent assets and contingent liabilities are recorded in the Statement of Contingent Assets and Liabilities at the point at which the contingency is evident. Contingent assets are disclosed if it is probable that the benefits will be realised. Contingent liabilities are disclosed if the possibility that they will crystallise is not remote.

Taxpayers’ Funds

This is the Crown’s net investment in the Department.

Related Parties

The government reporting entity comprises a number of entities and branches of government with key personnel that transact with the government reporting entity on a regular basis, for example, for the purchase of postage stamps for their personal use or registration of personal vehicles. These transactions are conducted at an arm’s length basis. Any transactions not conducted at arm’s length will be disclosed in the financial statements of the relevant entity.

Standards and Interpretations Issued But Not Yet Effective

Several standards, amendments and interpretations have been issued, but are not yet effective although they may be adopted early. These are not expected to have a significant impact on the financial statements of the Department so have not been adopted early.

The Standards amendments and interpretations issued but not yet effective, that could impact the financial statements of the Department are:

  1. Amendment to NZ IAS 7 (Statement of Cash Flows);
  2. Issued NZ IFRS 9 (Financial Instruments);
  3. Amendment to NZ IAS 24 (Related Party Disclosures).
     

2 Revenue Other

 

ACTUAL   ACTUAL
2009   2010
$000   $000
14 Rentals 39
69 Photocopying/reproduction charges 143
27 Sales of goods 10
101 Research services 101
447 Other 257
658 Total Revenue Other 550

 

 

3 Personnel Costs

 

ACTUAL   ACTUAL
2009   2010
$000   $000
8,955 Salaries and wages 9,420
213 Employer contribution to defined contribution plans 248
133 Increase/(decrease) in employee entitlements 46
178 Recruitment Costs 30
9,479 Total Personnel Costs 9,744

 

Employer contributions to defined contribution plans include contributions to the State Sector Retirement Savings Scheme, KiwiSaver and the Government Superannuation Fund.

 

4 Other Operating Expenses

 

ACTUAL   ACTUAL
2009   2010
$000   $000
  Fees to auditor:  
78 Audit fees for the financial statement audit 72
1 Accommodation leases 3
1,153 Other premises costs 1,200
722 Information systems costs 763
239 Equipment Maintenance 205
24 Operating lease payments 15
907 Professional fees 428
229 Communications 174
3,156 Other operating costs 2,774
6,509 Total Other Operating Expenses 5,634

 

 

5 Capital Charge

The Department pays a capital charge to the Crown on its taxpayers’ funds as at 30 June and 31 December each year. The capital charge rate for the year ended 30 June 2010 was 7.5 percent (2009: 7.5 percent).

 

6 Debtors and Other Receivables

 

ACTUAL   ACTUAL
2009   2010
$000   $000
125 Trade receivables 137
(0) Less provision for doubtful debts (0)
125 Total Debtors and Other Receivables 137

 

The carrying amount of debtors approximates their fair values.

As at 30 June 2010 and 2009, all overdue receivables have been assessed for impairment. No impairments were considered necessary, as detailed below:

 

$000   2009     2010  
  Gross Impairment Net Gross Impairment Net
Not past due 111 0 111 135 0 135
Past due 1-30 days 14 0 14 2 0 2
Past due 31-60 days 0 0 0 0 0 0
Past due 61-90 days 0 0 0 0 0 0
Past due >91 days 0 0 0 0 0 0
Total 125 0 125 137 0 137

 

7 Property, Plant and Equipment

 

  Land Buildings Plant and Equipment Furniture and Fittings IT Equipment Motor Vehicles Total
Cost or Valuation $000 $000 $000 $000 $000 $000 $000
Balance at 1 July 2008 25,485 32,122 8,585 1,050 1,565 126 68,933
Additions 0 448 802 133 672 0 2,055
Revaluation increase/decrease (898) 1,192 0 0 0 0 294
Disposals 0 0 (1,039) (91) (367) 0 (1,407)
Balance at 30 June 2009 24,587 33,762 8,348 1,182 1,870 126 69,875
Balance at 1 July 2009 24,587 33,762 8,348 1,182 1,870 126 69,875
Additions 0 1,222 640 74 157 0 2,093
Adjustment to previous revaluation increment 0 (903) 0 0 0 0 (903)
Recategorisation 0 0 0 0 (550) 0 (550)
Disposals 0 0 (170) (12) (12) 0 (194)
Balance at 30 June 2010 24,587 34,081 8,818 1,244 1,465 126 70,321
Accumulated Depreciation and Impairment Losses              
Balance at 1 July 2008 0 281 4,390 742 941 126 6,480
Depreciation expense 0 1,177 297 44 304 0 1,822
Eliminate on disposal 0 0 (894) (1) (359) 0 (1,254)
Eliminate on revaluation 0 (1,458) 0 0 0 0 (1,458)
Impairment losses 0 0 0 0 0 0 0
Balance at 30 June 2009 0 0 3,793 785 886 126 5,590
Balance at 1 July 2009 0 0 3,793 785 886 126 5,590
Depreciation expense 0 1,274 330 52 292 0 1,948
Recategorisation 0 0 0 (440) 0 (440)
Eliminate on disposal 0 0 (162) (12) (8) 0 (182)
Eliminate on revaluation 0 0 0 0 0 0
Impairment losses 0 0 0 0 0 0 0
Balance at 30 June 2010 0 1,274 3,961 825 730 126 6,916
Carrying Amounts              
At 1 July 2008 25,485 31,841 4,195 308 624 0 62,453
At 30 June and 1 July 2009 24,587 33,762 4,555 397 984 0 64,285
At 30 June 2010 24,587 32,807 4,857 419 735 0 63,405

 

Land and Buildings

Valuations of land and buildings were undertaken as at 30 June 2009 by Mr Chris Orchard, FNZIV, FPINZ of Darroch Valuations Limited (Wellington property), Mr John Darroch FNZIV, FPINZ of Darroch valuations (Auckland property), Mr Mark Dow, FNZIV, FPINZ of Darroch Valuations (Christchurch property) and Mr Stephen Cairns, SPINZ, of Colliers International (Dunedin property), all being independent valuers. All properties have been valued using a depreciated replacement cost methodology, except the Dunedin property which has been valued using market based evidence.

As a result, the carrying value of land and buildings subject to revaluation increased by $1,753,000 in total as at 30 June 2009.

For the year ended 30 June 2009, at revaluation date the accumulated depreciation on buildings was eliminated against the gross carrying amount so that the carrying amount after revaluation equals the revalued amount.

8 Intangible Assets
 

  Acquired Software Internally Generated Software Total
  $000 $000 $000
Cost      
Balance at 1 July 2008 2,452 2,025 4,477
Additions 137 414 551
Disposals 0 0 0
Balance at 30 June 2009 2,589 2,439 5,028
       
Balance at 1 July 2009 2,589 2,439 5,028
       
Additions 56 1,424 1,480
Recategorisation 0 550 550
Disposals (235) (2,434) (2,669)
Balance at 30 June 2010 2,410 1,979 4,389
Accumulated Amortisation and Impairment Losses      
Balance at 1 July 2008 1,720 1,380 3,100
Amortisation expense 56 565 621
Disposals 0 0 0
Impairment losses 0 0 0
Balance at 30 June 2009 1,776 1,945 3,721
Balance at 1 July 2009 1,776 1,945 3,721
Amortisation expense 171 277 448
Recategorisation 0 440 440
Disposals (235) (2,434) (2,669)
Impairment losses 0 0 0
Balance at 30 June 2010 1,712 228 1,940
Carrying Amounts      
At 1 July 2008 732 645 1,377
At 30 June and 1 July 2009 813 494 1,307
At 30 June 2010 698 1,751 2,449

 

Work in progress (WIP) is included in the carrying amount of Property, Plant and Equipment and Intangibles for the following amounts:

 

ACTUAL   ACTUAL
2009   2010
$000 Property, Plant and Equipment $000
28 Buildings 102
329 IT equipment 6
120 Plant and equipment 0
  Intangibles  
0 Acquired software 97
793 Internally generated software 1,376
1,270 Total WIP 1,581

 

9 Creditors and Other Payables

 

ACTUAL   ACTUAL
2009   2010
$000   $000
767 Creditors 1,011
652 Accrued expenses 940
281 GST payable 267
20 Prepaid revenue 13
1,720 Total Creditors and Other Payables 2,231

 

Creditors and other payables are non-interest bearing and are normally settled in 7 days and/or 20th of the month, therefore their carrying value approximate their fair values.

 

Restructuring Provision

There is a restructuring provision arising from the integration of Archives New Zealand into Department of Internal Affairs. As a result of the integration Archives New Zealand will cease to be a separate department.

 

10 Repayment of Surplus

 

ACTUAL   ACTUAL
2009   2010
$000   $000
24 Net surplus 12
24 Total Repayment of Surplus 12

 

Surplus will be repaid to the Crown by 31 October 2010.

 

11 Employee Entitlements

 

ACTUAL   ACTUAL
2009   2010
$000   $000
  Current Employee Entitlements are represented by:  
480 Annual leave 495
6 Sick leave 10
6 Time off in lieu 10
162 Retirement leave, service recognition leave and long service leave 189
654 Total Current Employee Entitlements 704

 

12 Taxpayers’ Funds

Taxpayers’ Funds comprises:

ACTUAL   ACTUAL
2009   2010
$000   $000
  General Funds  
50,494 Balance as at 1 July 2009 50,494
24 Net surplus 12
0 Capital contribution 0
(24) Provision for repayment of surplus to the Crown (12)
50,494 General Funds as at 30 June 2010 50,494
  Revaluation Reserves  
20,326 As at 1 July 2009 22,079
1,753 Revaluation gains and other adjustments (903)
22,079 Revaluation Reserves at 30 June 2010 21,176
72,573 Total taxpayers funds 71,670
  Revaluation Reserves Consist of:  
21,850 Land and buildings reserve 20,947
229 Other assets reserve 229
22,079 Revaluation Reserve at 30 June 2010 21,176

 

13 Reconciliation of Net Surplus/(Deficit) to Net Cash from Operating Activities

 

ACTUAL   ACTUAL
2009   2010
$000   $000
24 Net Surplus/(Deficit) 12
  Add/(Less) Non Cash Items  
1,822 Depreciation 1,948
621 Amortisation 448
46 Retirement and long service leave 26
2,489 Total Non Cash Items 2,422
  Add/(Deduct) Movements in Working Capital Items  
56 (Increase)/decrease in accounts receivable (12)
143 (Increase)/decrease in prepayments 50
(330) Increase/(decrease) in creditors and other payables 526
47 Increase /(decrease) in employee entitlements 23
49 Increase /(decrease) in GST payable/receivable (14)
(35) Movement in Working Capital 573
2,478 Net Cash flows from Operating Activities 3,007

 

14 Related Party Transactions and Key Management Personnel

The Department is a wholly-owned entity of the Crown. The Government significantly influences the roles of the Department as well as being its major source of revenue.

The Department enters into numerous transactions with other government departments, Crown agencies and state-owned enterprises on an arm’s length basis. Those transactions that occur within a normal supplier or client relationship on terms and conditions no more or less favourable than those which it is reasonable to expect the Department would have adopted if dealing with that entity at arm’s length in the same circumstance are not disclosed.

There was one transaction carried out with related parties. During the year the Department used the services of a Kaumatua for several functions to a value of $16,250 (2009: $18,500). He is the husband of the Department’s Kaihautü.

Apart from this transaction, the Department has not entered into any related party transactions.

Key Management Personnel Compensation

 
 

ACTUAL   ACTUAL
2009   2010
$000   $000
1,184 Salaries and other short-term employee benefits 1,068
38 Post-employment benefits 44
1,222 Total key management personnel compensation 1,112

 

Key management personnel include the Chief Executive and the seven members of the Strategic Management Group.

 

15 Events After the Balance Sheet Date

There have been no significant events after the balance sheet date.

16 Financial Instrument Risks

Archives New Zealand is party to financial instrument arrangements as part of its everyday operations. These include instruments such as bank balances, accounts receivable, and accounts payable.

Credit Risk

Credit risk is the risk that a third party will default on its obligations to the Department, causing the Department to incur a loss. In the normal course of its business, the Department incurs credit risk from trade debtors, and transactions with financial institutions and the New Zealand Debt Management Office (NZDMO).

The Department does not require any collateral or security to support financial instruments with financial institutions that the Department deals with, or with the NZDMO, as these entities have high credit ratings. For its other financial instruments, the Department does not have significant concentrations of credit risk.

The Department’s maximum credit exposure for each class of financial instrument is represented by the total carrying amount of cash and cash equivalents and debtors.

Currency Risk

The Department has no significant exposure to foreign exchange currency risk, given it does not transact in foreign currencies.

Interest Rate Risk

The Department has no significant exposure to interest rate risk on its financial instruments, given it has no interest bearing financial instruments.

Fair Value

The fair value of all financial instruments is equivalent to the carrying amount disclosed in the Statement of Financial Position.

Liquidity Risk

Liquidity risk is the risk that the Department will encounter difficulty raising liquid funds to meet commitments as they fall due.

In meeting its liquidity requirements, the Department closely monitors its forecast cash requirements with expected cash draw downs from the NZDMO. The Department maintains a target level of available cash to meet liquidity requirements.

The table below analyses the Department’s financial liabilities that will be settled based on the remaining period of the balance sheet date to the contractual maturity date. The amounts disclosed are the contractual undiscounted cash flows.

 

  Less Than 6 Months Between 6 Months and 1 Year Between 1 and 5 Years Over 5 Years
  $000 $000 $000 $000
2009 Creditors and other payables (note 9) 1,720 0 0 0
2010 Creditors and other payables (note 9) 2,231 0 0 0

 

17 Categories of Financial Instruments

 

ACTUAL   ACTUAL
2009   2010
$000   $000
  Financial Liabilities at Amortised Cost:  
1,720 Creditors and other payables 2,231
1,720 Total financial liabilities at amortised cost 2,231
  Financial Assets:  
9,160 Cash and cash equivalents 8,582
125 Debtors and other receivables 137
9,285 Total loans and receivables 8,719

 

18 Capital Management

The Department’s capital is its equity (or taxpayers’ funds), which comprise general funds and revaluation reserves. Equity is represented by net assets.

The Department manages its revenues, expenses, assets, liabilities and general financial dealings prudently. The Department’s equity is largely managed as a by-product of managing income, expenses, assets, liabilities and compliance with the Government Budget processes and with Treasury instructions.

The objective of managing the Department’s equity is to ensure the Department effectively achieves its goals and objectives for which it had been established.

19 Explanation of Major Variations Against Budget

The following notes explain the significant variances between the 2009/10 Main Estimates as presented in the Budget Night Statement and the Department’s actual results.

Statement of Financial Performance Variances

Personnel: The increase of $2,992,000 relates to additional staff for new projects. Fixed-term staff were engaged whereas the budget assumed contractors would be used. This is partially offset by the decrease in operating expense.

Other Operating Expenses: The decrease of $2,049,000 relates to staff for new projects. Fixed-term staff were engaged whereas the budget assumed contractors would be used. The associated cost is included in Personnel in the Department’s actual results.

Depreciation: The decrease of $302,000 is due to several proposed capital projects being completed later than anticipated.

Statement of Financial Position Variances

Cash and Cash Equivalents: The decrease of $1,313,000 is due mainly to increased expenditure on Property, Plant and Equipment. This was offset by the increase in Creditors and Other Payables.

Property, Plant and Equipment: The increase of $4,617,000 is due mainly to accelerated work on capital projects. Part of the increase is a result of reclassification of some capital expenditure that was previously recorded as Intangible Assets. A significant proportion of the increase is still ‘Work in Progress’ and will not start depreciating until the project is completed.

Intangible Assets: The decrease of $779,000 is due mainly to a reclassification of some capital expenditure as Property, Plant and Equipment.

Creditors and Other Payables: The increase of $1,507,000 is due to a high proportion of expenditure being incurred later in the financial year than was anticipated.

Revaluation Reserve: The increase of $896,000 is an adjustment to the 30 June 2009 revaluation, made after the 30 June 2009 accounts were finalised.

Statement of Cash Flows Variances

Payment to Employees: The increase of $2,947,000 relates to staff for new projects. Fixed-term staff were engaged whereas the budget assumed contractors would be used. This is partially offset by the decrease in Operating Expense.

Payment to Suppliers: The decrease of $2,596,000 relates to staff for new projects. Fixed-term staff were engaged whereas the budget assumed contractors would be used. The associated cost is included in Personnel in the Department’s actual results.
 

Financial Schedules: Non-Departmental for the year ended 30 June 2010

The following non-departmental schedules record the revenue and assets that the Department manages on behalf of the Crown.

 

Schedule of Non-Departmental Income for the year ended 30 June 2010

 

ACTUAL   NOTE ACTUAL BUDGETED
2009     2010 2010
$000     $000 $000
  Income      
9,613 National Archive Collection received from other government departmentsand the public 2 9,133 0
9,613 Total Non-Departmental Income   9,133 0

 

Schedule of Non-Departmental Assets as at 30 June 2010

 

ACTUAL   NOTE ACTUAL BUDGETED
2009     2010 2010
$000     $000 $000
  Non-Current Assets      
513,183 National Archives Collection 2 522,316 513,183
513,183 Total Non-Departmental Assets   522,316 513,183

 

Archives New Zealand has no non-departmental expenditures, liabilities, commitments or contingencies.

 

Notes to the Non-Departmental Schedule for the year ended 30 June 2010

1 Statement of Accounting Policies

Reporting Entity

The non-departmental schedules present financial information on public assets managed by the Department on behalf of the Crown. Following integration of the Department with Department of Internal Affairs these assets will be managed by Department of Internal Affairs.

These non-departmental balances are consolidated into the Financial Statements of the Government. For a full understanding of the Crown’s financial position, results of operations and cash flows for the year, reference should also be made to the Financial Statements of the Government.

Accounting Policies

The non-departmental schedules have been prepared in accordance with the Government’s accounting policies as set out in the Financial Statements of the Government, and in accordance with relevant Treasury Instructions and Treasury Circulars.

Measurement and recognition rules applied in the preparation of these non-departmental schedules are consistent with the New Zealand generally accepted accounting practice as appropriate for public benefit entities.

The accounting policies set out below have been applied consistently to all periods presented in these financial statements.

Revenue

Where a physical asset is donated for nil or nominal consideration the fair value of the asset received is recognised as revenue. Donated assets are recognised as revenue when control over the asset is obtained.

2 National Archive Collection

The National Archive Collection is a Crown asset and is included in the Crown Financial Statements rather than in the Financial Statements for Archives New Zealand. Non-exceptional items are revalued every three years and were revalued in June 2008 using a methodology that divided the collection into categories by format and age, to associate records that together could be said to have a broad commonality of value. Benchmark valuations were obtained from an independent valuer, Dunbar Sloane, through market assessments and from other collections of a similar nature to Government archives. Accessions since the date of valuation are valued on the basis of these benchmarks.

The value of the Treaty of Waitangi was based on a valuation as at 30 June 2008 supported by Sotheby’s, an independent valuer. Other exceptional items are based on a valuation as at 30 June 2008 from Dunbar Sloane. These valuations were based on market assessments and from other collections of a similar nature.

National Archive Collection

 

Cost or valuation $000
Balance at 1 July 2008 503,570
Additions 9,613
Revaluation decrease 0
Disposals 0
Balance at 30 June 2009 513,183
Balance at 1 July 2009 513,183
Additions 9.133
Revaluation 0
Disposals 0
Balance at 30 June 2010 522,316
Carrying amounts  
At 1 July 2008 503,570
At 30 June and 1 July 2009 513,183
At 30 June 2010 522,316

 

Public Archives Held in Other Approved Repositories

The valuation of the National Archives Collection only includes public archives in the possession of Archives New Zealand. Public archives held in other approved repositories do not form part of the valuation.
 

Glossary

Appraisal

The process of evaluation to determine which records are to be retained as archives, which are to be kept for specific periods, and which will be destroyed.

Archives

  1. Those records that are appraised as having ongoing value. Traditionally, the term has been used to describe records no longer required for current use which have been selected for permanent preservation.
  2. The place (building/room/storage area) where archival material is kept.
  3. An organisation (or part of an organisation) responsible for appraising, acquiring, preserving and making available archival material.

Archives Council, Te Rua Wänanga

The Archives Council is a Ministerial Committee established under the Public Records Act 2005. Its role is to provide independent advice on recordkeeping and archival matters to the Minister Responsible for Archives New Zealand.

Archway

Archway is an automated documentation system that manages:

  1. i information about government records
  2. ii information about the context in which they were created
  3. iii the core archival business processes (appraisal, transfer and description) that generate this information.

Continuum

Continuum is a whole of government approach to recordkeeping. The Continuum Programme has been designed to provide the most effective tools and services to government agencies to enable them to meet best practice recordkeeping standards. Further information about Continuum is available at http://continuum.archives.govt.nz/home.html.

Disposal

The final decision concerning the fate of records, ie, destruction or transfer to the archives. On rare occasions the disposal may be by sale or donation. Other forms of disposal that can be authorised under the Public Records Act 2005 include alteration and discharge.

General Disposal Authority

A disposal authority that authorises government agencies to dispose of housekeeping and other records common across public offices, for example, financial records.

National Digital Forum

The forum comprises museums, archives, art galleries, libraries and government departments working together to improve electronic access to New Zealand’s culture and heritage.

PARBICA

PARBICA is the Pacific Regional Branch of the International Council on Archives (ICA). It represents archives and archival activities in the Pacific, including Australia and New Zealand.

Public Offices

The legislative, executive and judicial branches of the Government of New Zealand and their agencies or instruments, including departments, offices of Parliament, state-owned enterprises, Crown entities, Police, Defence Force, and the Security Intelligence Service. Crown entities include district health boards, school boards of trustees and tertiary education institutions (Public Records Act 2005, s4).

Public Record

A record or a class of records, in any form, in whole or in part, created or received […] by a public office in the conduct of its affairs (Public Records Act 2005).

Record

Information, whether in its original form or otherwise, including […] a document, a signature, a seal, text, images, sound, speech, or data compiled, recorded, or stored [...], (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 (Public Records Act 2005).

Te Pae Whakawairua

Archives New Zealand Mäori advisory group appointed by the Chief Archivist.

The Community Archive

The Community Archive (formerly the National Register of Archives and Manuscripts (NRAM)) is a web-based guide to archival and manuscript holdings of archives, libraries, museums, galleries, schools and societies across New Zealand. The Community Archive’s listings may be searched or browsed via a number of criteria.

Directory

Archives New Zealand
Te Rua Mahara o te Käwanatanga
www.archives.govt.nz

 

National Office

10 Mulgrave Street, Thorndon
PO Box 12 050
Wellington 6144
Telephone: (04) 499 5595
Fax: (04) 495 6210
Email: enquiries@archives.govt.nz

Auckland Regional Office

95 Richard Pearse Drive, Mangere
PO Box 201 103
Auckland Airport
Manukau 2150
Telephone: (09) 270 1100
Fax: (09) 276 4472
Email: auckland@archives.govt.nz

Christchurch Regional Office

90 Peterborough Street
PO Box 642
Christchurch 8140
Telephone: (03) 377 0760
Fax: (03) 365 2662
Email: christchurch@archives.govt.nz

Dunedin Regional Office

556 George Street
PO Box 6183
Dunedin 9059
Telephone: (03) 477 0404
Fax: (03) 477 0422
Email: dunedin@archives.govt.nz
 

Back to top