Statement of Intent 2009–2012

Table of Contents

Ministers Foreward

 

Minister’s Foreword

Archives New Zealand is the lead agency in the management of our public recordkeeping system. The effective management of government information helps to safeguard our nation’s past and secure its future.

In today’s challenging environment, with the economic outlook continuing to deteriorate here and overseas, there is very limited scope for additional government funding.

Therefore, our government agencies need to be smarter about the way they operate in this new environment. They need to find new and creative ways to use taxpayers’ money to best advantage.

The strategic direction in this Statement of Intent, with its focus on value for money and smart customer-focused services, is quick to recognise and take up this challenge.

We also know that if the public sector is to improve the services that are delivered to New Zealanders we need to improve the way our agencies manage information.

Complete and accurate records maintain clarity in decision making and underscore efficient and effective government by ensuring today’s decisions are well informed by what has gone before. That is intelligent use of information.

Good recordkeeping means that information is available to the public in order to maintain government transparency and accountability. That is the basis for modern democracy.

This department has proven itself as an effective service provider for paper-based information. The new challenge is about managing digital information.

In our world of information overload, managing digital information and managing it well – right across the public sector – is critical. We must ensure that the information we need today and tomorrow is not lost or buried in the digital landfill.

The new Digital Continuity Action Plan will help identify efficiencies in information use and set out how public sector agencies can work together to successfully manage digital information.

In the current climate we need to find new partnerships and I am pleased to see Archives New Zealand working with volunteers to make the public archives more accessible.

Archives New Zealand is a remarkable storehouse of treasures dating back to before the signing of New Zealand’s founding document, the Treaty of Waitangi, in 1840. The challenge now is to stay well positioned to ensure the records of yesterday, today and tomorrow are not lost to the future.

Archives New Zealand has set out a comprehensive work plan to meet these ongoing challenges.

I am pleased to confirm that the information in this Statement of Intent is consistent with government policy and the performance expectations of the Government.

Hon Dr Richard Worth

Hon Dr Richard Worth
Minister Responsible for Archives New Zealand

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Ministerial Statement of Responsibility

I am satisfied that the information on future operating intentions provided by my department in this Statement of Intent is in accordance with sections 38, 40 and 41 of the Public Finance Act 1989 and is consistent with the policies and performance expectations of the Government.

Hon Dr Richard Worth

Hon Dr Richard Worth
Minister Responsible for Archives New Zealand
Date: 21 April 2009

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Chief Executive’s Overview

Archives New Zealand Te Rua Mahara o te Kāwanatanga is the guardian of the country’s public record. We have the lead role in shaping information practices of public service agencies, from information creation to reuse.

This information governance role ensures the information documenting government actions and interactions can be used for as long as it is needed. Government correspondence from the 1840s used in Waitangi Tribunal claims is just one example of how these records can have enduring value far beyond their initialexpected use.

Our role to safeguard the nation’s heritage remains, but the environment we work in continues to change and in response we need to be flexible and adaptable. Developments in information management technology have seen us refocus our core business. We have moved from being a custodian of physical documents in large storage facilities, to having oversight of all aspects of government’s recordkeeping.

The Public Records Act 2005 provides a strong framework for this work. The Act positions Archives New Zealand as a leader in information policy across government and the wider community. We do this through proactive engagement; developing standards; and through fostering the growth of communities of practice and support. Our goal is for more effective recordkeeping across government and better value for money by reducing duplication.

In 2010 the Public Records Act Audit Programme to audit recordkeeping in public offices begins. This audit will make a significant contribution to improving public agency recordkeeping.

Today’s digital record is tomorrow’s digital archive. Preserving and enabling access to digital information permanently is a major challenge which we are determined to meet. There is an increasing expectation for information to be instantly accessible and we are focused on increasing the range of online services to meet these demands.

Internally we will streamline our service delivery processes through collaboration with both public and private agencies. Better, smarter, customer-focused services will help ensure public records are more readily available now and in the future.

We will continue to build on the strong relationships established with public sector agencies including the Museum of New Zealand Te Papa Tongarewa and the National Library of New Zealand, and with communities across New Zealand and specifically with whānau, hapū and iwi to fulfil their expectations.

The work this organisation does is integral to our democratic system of accountability and transparency. By documenting our development as a nation we can also understand our place as New Zealanders.

This is my last Statement of Intent for Archives New Zealand as I will be leaving as Chief Executive in June. I am confident Archives New Zealand has the right approach, mixture of skills and dedication, and ability to adapt, to successfully lead into the future.

Dianne Macaskill

Dianne Macaskill
Chief Archivist and Chief Executive

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Chief Executive Statement of Responsibility

In signing this statement, I acknowledge that I am responsible for the information contained in the Statement of Intent for Archives New Zealand. This information has been prepared in accordance with the Public Finance Act 1989. It is also consistent with the proposed appropriations (2009/10 Estimates) Bill, as presented to the House of Representatives in accordance with section 13 of the Public Finance Act 1989, and with existing appropriations and financial authorities.

Dianne Macaskill

Dianne Macaskill
Chief Archivist and Chief Executive

Philip Green

Philip Green
Chief Financial Officer

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Nature and Scope of the Department’s Functions

Archives New Zealand Te Rua Mahara o te Kāwanatanga 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.

Good 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 government relies on full and accurate records of business transactions being created and well managed and to be available when needed.

New Zealand has a reputation for trust in government. This trust is based 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.

Archives New Zealand has a governance role in shaping, and intervening where necessary, in 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 offices1 from 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 form the record of each government administration.

Archives New Zealand ensures 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 Archives New Zealand’s repositories in Auckland, Wellington, Christchurch and Dunedin. Holdings include the 1835 Declaration of Independence, the 1840 Treaty of 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 Archives New Zealand’s four reading rooms across the country, our remote enquiries service, and an increasing online digital presence. This increase in the availability of information in a digital format ensures the stories of the nation are readily available and strengthens 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 Māori, iwi and hapū 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, Māori, iwi and hapū 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, iwi, hapū and whānau. Collaborative work arrangements with iwi enable access to significant information about their people and allow for creative and innovative solutions to manage their own records and tāonga.

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 Wānanga. The council advises the Minister Responsible for Archives New Zealand on recordkeeping and archival issues.

The structure of Archives New Zealand reflects the department’s outcomes and is led by a Strategic Management Group (SMG), which consists of the Chief Archivist and Chief Executive and the seven second tier managers. Archives New Zealand employs 136.52 staff.

Figure 1: High Level Organisational Chart

High Level Organisational Chart
(Click for larger view)

  1. Public office as defined in section 4 of the Public Records Act 2005.
  2. This consists of full-time equivalent permanent and fixed term staff.

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Strategic Overview

Key environmental drivers

Archives New Zealand operates within an environment characterised by changing expectations from public sector agencies, public users, communities, iwi and hapū. Alongside these expectations sit exciting new opportunities driven by technological changes, increased collaboration opportunities and potential new models for sharing service delivery infrastructure.

Our strategic situation over the medium term is determined by three major environmental factors. These are the government expectations particularly with respect to the economic situation; increasing opportunities from digital information; and increasing customer expectations.

The government’s overall goal is to grow the New Zealand economy in order to deliver greater prosperity, security, and opportunities to all New Zealanders. Key to this is improving the value for money of every New Zealand taxpayer’s dollar spent by the public sector. Global economic growth is weakening significantly around the world. The economic fortunes of New Zealand are linked with those of the world economy. This is having a significant impact on the financial situation of the New Zealand government and constrained budgetary expectations have been signalled. Archives New Zealand seeks to provide value for money services with a more focused and efficient approach to customer needs. Service delivery will continue to be reviewed to ensure that our Vote allocation is used efficiently and effectively.

Archives New Zealand is focused on improving and monitoring information management in the public sector. Changes in information management technologies and requirements of the Act have meant the way we approach our core business is changing. Our business focus is moving from being a custodian of physical documents in large storage facilities to being responsible for the growing volume of digital public sector information. Most records are now created digitally and require new approaches for sustained access and long-term storage. In addition, the extremely large volume and variety of digital records poses increasing information management challenges for public offices and for the department, with records requiring explicit management from the point of creation onwards.

Waiting for digital information to come to us at the end of its business life (as we do in the paper world) is not possible as little useful information may have survived. Archives New Zealand is proactively developing early interventions to ensure that good, sustainable records are created and managed at an early stage. The department is exploring cost-effective ways to store and manage digital records to make them accessible for future generations.

New Zealanders increasingly expect information to be instantly accessible online, and relevance today is often judged according to ease of access. In this environment, New Zealand’s unique stories are at risk of being ignored because only a fragment of the archive can be accessed through the internet. Archives New Zealand’s stakeholders want to become more engaged in the department’s work. This includes voluntary work on archival projects and adding information to our website through using for example the tagging feature on our War Art site, to involving hapū and iwi representatives in projects to make records of significance to Māori more accessible.

New Zealanders’ increased interest in history and heritage is leading to a higher demand for our services. Māori, in particular have a strong desire to work in partnership with the department to formulate solutions that enable greater access to stored information and how it is managed.

Strategic principles

Archives New Zealand’s strategic principles respond to our environment and the government’s expectations and will guide us in how we approach what we do. These principles will be applied throughout our activities, and will provide a context for determining and assessing the appropriateness of our work programme. They support the government’s expectations of continual improvement in the way we work to deliver quality services. Our strategic principles are:

Better, smarter, customer-focused services

Archives New Zealand works to ensure records of public business are accessible both now and in the future through better, smarter, customer-focused services. We aim to provide better front-line services to our range of customers through tailoring services to specific customer groups. The department will continue to build new relationships with public sector agencies and community archives.

While this includes reviewing our reading room services, a strong focus is on increasing the range of the department’s services available online. This includes the use of digitisation to provide access to existing physical archives and catalogues of holdings, joint sector initiatives to improve discovery of historic documents, and systems to support community archives manage their holdings.

Responsiveness to Māori

Archives New Zealand holds many records of value to iwi, hapū, whānau and researchers of Māori history. We are working across all areas of the department to ensure our policies recognise Māori as an important stakeholder to the corporate decision-making process; that appropriate tikanga is incorporated within our processes, and finding aid systems are delivered in ways that are intuitive for Māori to use, helping to make the information discoverable to the end user.

Archives New Zealand is responding to Māori through providing opportunities for iwi and hapū members to actively contribute to the design and implementation of project work to meet their archival needs and aspirations.

Our outreach work recognises a growing interest from whānau, hapū and iwi groups to establish and manage their own archives, in effect seeking greater autonomy over their intellectual and cultural property. The department identifies this as an opportunity to look towards national and international literature on co-management models of traditional and indigenous knowledge to guide our future working relationships with Māori.

Digital transformation

Digital transformation affects all areas of our work and involves utilising the benefits offered by technology and responding to the use of information and communications technology (ICT) by others. The main area of development will be coordinating technology, infrastructure and staff expertise to facilitate the most cost-effective approach to the long-term management of public sector digital information. This will involve cross-agency coordination of secure, efficient and trusted digital information management.

Archives New Zealand will undertake monitoring and audits to assess public sector digital continuity capability, which will enable us to address continuity risks particularly for high value information. The key drivers are that public sector digital information is well managed from day one, is accessible, usable and retrievable for as long as it is needed and that digital information of archival value is identified and preserved for future generations.

The department is also improving internal systems and processes to manage costs and improve customer service. We aim to set an example to other public offices of how to appropriately manage electronic information as part of our information management leadership role.

Value for money

This principle is linked to better, smarter, customer-focused services such as increasing the online availability of paper archives by digitising them through innovative arrangements with volunteers, other agencies and the private sector. Archives New Zealand needs to ensure that its outputs are delivered efficiently in order to provide taxpayers with value for money. The department will continue to focus on improving its internal processes to identify where savings can be made. We will also work across government to ensure efficiency and effectiveness in information management. Supporting sound business information systems design and procurement across the public sector is another opportunity to achieve value for money for government.

High-level Outcomes

Figure 2: Archives New Zealand’s Outcomes Model

Archives New Zealand Outcomes Model
(Click for larger view)

Archives New Zealand’s strategic direction is guided by an outcomes framework, Figure 2, that illustrates the relationship between what we do and how this contributes towards the outcomes the government seeks.

Societal outcomes

Our work contributes to three societal outcomes embedded in the Public Records Act 2005. These are:

Efficient and effective government

Public sector agencies will be more efficient because the quality of decision-making will improve through the ability to utilise accurate records of past decisions and activities. Through using reliable information resources both internally and externally, public sector agencies will be more effective. Government will be more effective as agencies increasingly rely on the data and information from other agencies.

Trusted and accountable government

Trust in government is a prerequisite for a healthy democracy. People will trust government and be able to hold it to account due to full and accurate records being kept. Access to the records of government by the public and by oversight agencies, such as the Office of the Ombudsmen and the Office of the Auditor-General, results in greater transparency in the decisions and activities of public offices.

Nationhood and social cohesion

New Zealanders will have a greater sense of identity and social cohesion through their ability to understand and access public records of New Zealand’s past. Preservation of historical documents including the Treaty of Waitangi enables New Zealanders to connect with their own identity.

Outcome measurement

Archives New Zealand will work with the other agencies responsible for contributing to the societal outcomes to determine appropriate measures for the outcomes and Archives New Zealand’s contribution to them. For example, social research supports the intuitive belief that organisations with better information management systems are better able to deliver value to customers in a cost-effective manner. However, there are considerable difficulties in defining and measuring precisely what constitutes effective and efficient government.

Archives New Zealand will engage with The Treasury, the State Services Commission, and other oversight agencies such as the Office of the Auditor-General to determine the appropriate and cost-effective measures to quantify outcomes and interventions at this level. This Statement of Intent contains measures for the intermediate outcomes (below) and, where relevant, contributory impacts.

Intermediate outcomes

Archives New Zealand’s work contributes towards the three societal outcomes defined above by delivering on four intermediate outcomes. These are:

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.

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 and accountability and social cohesion are enhanced as New Zealanders have the confidence to access the public archive and to easily do so.

Public archives are accessible and used

This outcome contributes to trusted and accountable government along with nationhood and social cohesion as the ability to access and use records of public business encourages critical analysis and the independent examination of governmentactions. 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.

The archiving community is coordinated and well led

This outcome contributes to trusted and accountable government and nationhood and social cohesion. 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 Māori, iwi and hapū. As a result records of significance throughout New Zealand are retained and better managed. This outcome contributes towards trusted and accountable government by providing 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.

Linkages and measures model

The following model illustrates the way the intervention logic links the levels of the outcome model together.

Figure 3: Example model of intervention logic and associated measures

Example model of intervention logic and associated measures
(Click for larger view)

This example shows how by providing training and education services – a specific output in the information management and disposal advice output area – to public offices, those attending training are more aware of and educated on the benefits of good recordkeeping practices and acquire the skills to implement those practices. This in turn leads to the achievement of the intermediate outcome that agencies keep full and accurate records, as required by the Public Records Act 2005. Archives New Zealand’s intervention is only a contributory factor, as other factors such as the ability of agencies to allocate resources to the recordkeeping function will have a major impact.

To differentiate between these impacts, measurement is focused not only on the quantitative outputs and the measures of what constitutes full and accurate records, but also on how effective Archives New Zealand’s interventions are. As noted in the operating intentions, the measure used for this is an assessment of those attending the recordkeeping course on its relevance in providing the information and skill necessary for them to keep full and accurate records.

The model shows that this intermediate outcome contributes to efficient and effective government by ensuring staff at those agencies have created, and are able to access, information on previous decisions and transactions. Trusted and accountable government is also enhanced since information is available to the public and can be provided in response to requests for official information.

Strategic Collaboration

Recordkeeping governance

To exercise our role under the Public Records Act 2005 to ensure full and accurate records are kept by public sector agencies, Archives New Zealand works with the Office of the Auditor-General, Office of the Ombudsmen and State Services Commission to ensure these objectives are achieved. As a small organisation, effective collaboration with others is critical to our ability to achieve goals. Collaboration with government agencies also supports the State Services Commission’s Coordinated State Agencies Development Goal.

Making information accessible

Archives New Zealand has developed non-financial partnerships to help make information digitally available. The department will continue to explore other business partnerships with private organisations, iwi and government agencies to extend this service. This will allow the department to become more productive by delivering more without seeking increased funding.

Shared strategic direction

Archives New Zealand continues to focus on its commitment to work with the Museum of New Zealand Te Papa Tongarewa and the National Library of New Zealand in areas of mutual interest. Rather than an outcome in its own right, this work is positioned as a shared strategic direction contributing to the department’s intermediate outcomes of improving access and use, and ensuring the archiving community is coordinated and well led.

Together we recognise our common role in collecting, preserving and providing access to the nation’s art, culture and heritage collections and resources. Agencies acknowledge the shared responsibility for reaching the following goal.

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

Considerable work has already been undertaken in this area. We will build from initiatives like Matapihi, an online search tool hosted by the National Library of New Zealand, to extend online services. Our three agencies have developed a governance arrangement to coordinate activities and the resulting work plan will identify common projects for collaboration. Rationalising infrastructure and processes to avoid service duplication, together with targeted customer services will increase customer satisfaction.

Specifically, the three institutions have agreed to increase cooperation in the following areas:

Figure 4: Overview of shared strategic direction

Overview of shared strategic direction
(Click for larger view)

Archives New Zealand continues to seek further collaboration opportunities including, for example, the work with the Ministry of Education and the private sector to provide students with online access to archival material including the heritage National Film Unit collection.

Alexander Turnbull Library manuscripts collection

Archives New Zealand is working with the National Library to house the Alexander Turnbull Library manuscripts collection while renovation work is carried out on the National Library building in Wellington. This relocation will provide an opportunity for the two institutions to work together to develop synergies such as a shared front desk and shared archival servicing.

Government Policy Directions

Archives New Zealand must also rise to meet the challenges set out by government policy directions and strategies.

Government priorities

Government has agreed the three strategic priority work areas for Archives New Zealand:

Management of government’s digital information

The programme of work associated with this priority has two goals. The first goal of ongoing development of business focussed pathways for agencies is addressed through the work programme to assist agencies keep full and accurate records; the forthcoming audit programme and through the planned implementation of the Digital Continuity Action Plan. The second goal of investigating improvements to efficiencies around the purchase by agencies of electronic document and records management systems is a key initiative in the Digital Continuity Action Plan. Success measures are also associated with these initiatives.

Increased online access to digital archives through strategic business partnerships

Archives New Zealand has implemented a partner-based business model to help digitise shipping lists that detail historic immigration to New Zealand. This priority proposes to investigate further areas where this model can be applied and where other access arrangements, such as The National Archives (United Kingdom) model of free sample information with a pay-to-view extension, could be implemented.

Cross-agency initiatives to maximise use of infrastructure

The third priority is an emerging programme of work that includes the Shared Strategic Direction. Details of this initiative are discussed under the Shared strategic direction section on page 16.

The department will identify further opportunities and refine existing initiatives to progress these priorities during its annual business planning process. Additional success criteria will be included in the department’s output plan where appropriate.

When activities are undertaken to progress these government priorities, Archives New Zealand’s strategic principles will be applied to ensure that value-for-money, customer need, Māori perspectives and digital transformation opportunities are fully explored.

e-Government

Archives New Zealand contributes to government’s vision for e-Government through:

Broadband

The government’s goal for the development of an ultra-fast broadband network to connect New Zealand homes, schools and businesses will enable Archives New Zealand to improve customer service by increasing the breadth and depth of access to our digital content. Greater access will provide further opportunities to the creative sector for the economic development of information products sourced from public archives.

Development Goals for the State Services

Archives New Zealand’s strategic and operational decision-making is influenced by the development goals for the state services.

The department contributes to the overarching goal and six supporting development goals designed by the State Services Commission to transform the state services in a way that is aligned with government priorities and delivers better services to all New Zealanders.

These goals underpin the way we work and guide the department in developing our organisational health and capability. Trust in government is the main goal we strive to reach. Our work also contributes to the other five goals. For details of specific activities, see the sections on Operating Intentions and Assessing Organisational Health and Capability.

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Operating Intentions

Outcome One: Full and accurate records are kept by public sector agencies

Why is this important?

The public rely on public sector agencies to produce full and accurate records. Good information management is an essential component of any organisation’s effectiveness and efficiency. Without it, resources are wasted due to duplication of effort and loss of knowledge. This outcome supports the Trusted State Services development goal, as government is accountable for its actions through the creation of reliable records. Good records management allows for the preservation of those records that have long-term value to New Zealanders as archives, and the proper disposal of other records when they are no longer needed, thereby saving valuable resources.

What are we seeking to achieve?

Public offices and local authorities will create reliable and authentic records of their actions. These records will be well managed so they can be located and used when needed, and for as long as they are needed. Those records no longer required will be destroyed in accordance with general disposal authorities1 and disposal authorities2 issued by the Chief Archivist and this will be done in an open and transparent manner. Keeping only required records also supports the Value for Money Development Goal of the State Services Commission. Those public records with long-term value will become public archives, held at Archives New Zealand or an approved repository for the people of New Zealand to access.

Public sector agencies are improving their recordkeeping. For example, as noted in the department’s 2008 annual report, the number of agencies that have implemented defined recordkeeping programmes is increasing. Forty-four have programmes in place and a further 41 percent are working towards implementation.

How will we demonstrate success in achieving this?

The primary measures we will use to assess whether full and accurate records are kept by public sector agencies are:

All three reporting areas will be 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 in 2010. These measures will provide a comprehensive indication of the extent to which agencies are keeping full and accurate records. The interventions noted below are having an impact with trends showing increasing achievement across all three measures.

By providing standards, advice, education and other similar outputs, the department raises the level of awareness and knowledge in agencies of good recordkeeping practice. The primary measure used to assess our contribution to full and accurate records are kept by public sector agencies is by measuring the quality and relevance to agency staff of the methods and materials we provide. We will use as an indicative indicator:

We are working with the State Services Commission to explore ways to use its Common Measurements Tool to enable our customers to provide feedback on arange of our services.

What will we do to achieve this?

The output areas that significantly contribute to this outcome are:

In each of these output areas there are a number of specific outputs. For example, advice is provided through a number of channels such as personal visits, forums, training sessions and telephone conversations and through the production of standards, guidelines and general advice. Written advice is available either in hard copy or published on Archives New Zealand’s Continuum3 web site.

As noted, the impact indicator used to assess Archives New Zealand’s contribution to this outcome will be by seeking feedback on the relevance of the recordkeeping courses we run.

To quantify the output volume in the advice area in the Statement of Service Performance, we have chosen to report the number of attendees at training sessions and forums, as well as the enquiries we receive. We will also report the number of publications produced in this area. These are important channels and their outputs can be measured in a cost-effective manner. When the audit programme begins in 2010, we will introduce measures for the monitoring, audit and compliance area focusing on the number of public offices audited.

The measures below reflect the focus on our major service delivery channels and indicate the cost of providing these services.

For full and accurate records to be kept by public sector agencies, Archives New Zealand will:

This year Archives New Zealand will:

Cost-effectiveness

To ensure this work is undertaken in a cost-effective way we will measure:

Outcome Two: Public archives are preserved and well managed

Why is this important?

Archives New Zealand efficiently manages the transfer, preservation and storage of archives to ensure their long-term availability. Given the value to current and future generations of the records under management, it is important that attention is focused on the preservation and management of public archives. Archives are well managed when effective systems ensure the successful transfer of records of long-term value from public sector agencies to safe, secure and cost-efficient storage where they are preserved and managed.

What are we seeking to achieve?

Records identified as public archives and transferred to Archives New Zealand’s holdings will be stored and preserved without damage or loss to their integrity. This includes paper-based records, moving images, maps, paintings, photographs and digital records. The department’s holdings will be stored efficiently, and meet archival storage standards to ensure long-term preservation and easy retrieval. Digital records will be managed in a digital repository so they can be stored and accessed indefinitely,despite changes to technology over time.

The department is managing its physical capacity with a new Auckland facility that was opened in 2007 and has implemented an Interim Digital Archive as a pilot repository for the management of digital records. Efficient use will continue to be made of the space within our repositories with the support of our repository management system which assists archivists to locate archives for our customers.

The context in which records were created, including information on who created the records, how, and for what purpose, will be maintained in Archway, the department’s online finding aid. This helps users of our holdings to find and interpret the archives they need and helps ensure records will be understood over time and can be relied upon as an authentic and accurate record of a transaction or event.

How will we demonstrate success in achieving this?

The primary measures and targets we will use to assess the contribution we make to public archives are preserved and well-managed are:

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 over the age of 25 years should be transferred to the control of the Chief Archivist where quality archival storage conditions can be applied.

What will we do to achieve this?

The output areas that significantly contribute to this outcome are:

In each of these output areas there are a number of specific outputs. For example archival records are updated with the necessary descriptions so that online customers can better search to find records of interest to them. To keep the archive in a state of preservation for future generations, controlled storage services must be provided. Some records are so fragile they cannot be physically accessed and a service is provided to digitise these records so they can be made available in this alternative format.

To quantify the output volume for the description and indexing output area in the Statement of Service Performance, we have chosen to report the number of items added to our online search database Archway and the percentage of records meeting the descriptive standards. These services are key deliverables on which we can base our access services.

For preservation and storage services, we will measure the number of public offices transferring records to the control of the Chief Archivist, the compliance status of our buildings to hold archives and the volume of archives we store.

The cost-effective measures below reflect the focus on these outputs and indicate the cost of providing these services.

For public archives to be preserved and well-managed, Archives New Zealand will:

This year Archives New Zealand will:

Cost-effectiveness

To ensure this work is undertaken in a cost-effective way we will measure:

Archives New Zealand will look at bench-marking with organisations providing similar operations to assess the comparative cost-effectiveness of our operations.

Outcome Three: Public archives are accessible and used

Why is this important?

This outcome involves making New Zealand’s public archives accessible in order to support the accountability of government to the people and maintain the transparency of government decision-making and actions. In making archives accessible, the department ensures that restrictions applied to a significant proportion of the archives to protect privacy, national security and commercial sensitivity are strictly adhered to. Protection of the archives is as important as provision of access. This outcome contributes to the trusted state services development goal.

Public archives are also primary tools for people to research their personal history/whakapapa and that of their communities. People can access these records to interpret and tell New Zealand’s unique stories. This contributes to our sense of nationhood and social cohesion.

What are we seeking to achieve?

Archives New Zealand seeks to make public archives easily discoverable and appropriately available to users, both in person and online, quickly and inexpensively regardless of their format. Digitisation of non-electronic records and better finding aids will be used to improve and increase awareness and access to archives. Digitisation will help make content within fragile archives available and protect the original copy for future generations.

Access must be balanced with protection. Material such as that of former members of parliament must be managed according to restrictions.

Making public archives accessible and useable will inspire New Zealanders to discover, use and learn from their documented heritage. Services will be provided in a way that reflects the spirit of partnership embodied in the Treaty of Waitangi. People will be able to understand the purpose of Archives New Zealand and be frequently exposed to its brand and identify. Customers will be empowered to independently use high interest archive resources and our services.

The people of New Zealand will be aware of the benefits public records offer and the role they have in supporting government accountability and providing a primary resource for use as evidence in interpreting the past of the nation and its people. The department will have a firm support base of New Zealanders who can speak positively about Archives New Zealand and its work.

Web page views of Archway, are continuing to increase. Numbers of remote reference enquiries also continue to steadily climb.

How will we demonstrate success in achieving this?

The primary measures and targets we will use to assess the contribution we make towards ensuring that public archives are accessible and used are:

What will we do to achieve this?

The output area significantly contributing to this outcome is:

In this output area there are a number of specifics, centred on access and promotional management. We have revised the existing output measures in the Statement of Service Performance to focus comparisons between traditional – remote requests and in person services – and the growing importance of online service outputs. The implementation of this framework will provide a solid platform for Archives New Zealand to measure and compare output volumes over the next one to five years.

The existing reference services measure has been split out into its components – remote requests and reading room services, and new online access measures added. To record the volume of digitisation, a new measure related to the number of pages digitised has been introduced.

We have removed output measures associated with reading room services since they did not directly address customer satisfaction. As noted above, customer satisfaction is being addressed by using customer surveys as a direct measure.

The cost-effective measures reflect the focus on these outputs and indicate the cost of providing these services.

To make public archives accessible and used, Archives New Zealand will:

This year Archives New Zealand will:

Cost-effectiveness

To ensure this work is undertaken in a cost-effective way we will measure the:

Archives New Zealand is working to identify ways to measure the costs of providing access to digital surrogates for physical records and digitally born records provided through the online channels. We also aim to measure the access rates to this material.

Outcome Four: The archiving community is coordinated and well led

Why is this important?

This is a new outcome classification for Archives New Zealand. By differentiating between the management of public archives and the outcomes we seek within the broader archiving community, we can more clearly focus the outputs required to achieve these different outcomes.

Many records of long-term historic value to New Zealanders are held outside the control of the Chief Archivist in community archives, with Māori, iwi and hapū and organisations such as museums, art galleries, educational institutions, special research institutions, historical societies and religious and voluntary organisations. These archival organisations hold many records that form a significant part of New Zealand history and help create a strong sense of community identity. There is an increasing demand for community archivists to manage and preserve these collections. Archives New Zealand recognises the important contribution of communities, Māori, iwi and hapū in the care and management of significant records and their role in creating a greater sense of identity for New Zealanders.

In order to ensure that archives are managed so they can remain in the community, the department provides leadership, training, and support for community archival activities across New Zealand. This assists them in realising their information aspirations. Archives New Zealand works collaboratively with government agencies to ensure the description of archival material is coordinated and standardised to enable future public access.

Archives New Zealand is a professional leader in the South Pacific region, providing support for recordkeeping and archival development in the Pacific Islands. We coordinate with public archive authorities across Australia to leverage knowledge and provide state of the art services. For example, the Digitisation Standard, developed by Archives New Zealand is at the International Standards Organisation (ISO) committee stage to become an ISO standard.

What are we seeking to achieve?

Archives New Zealand seeks for a common standard practice to be applied to all archival material while ensuring that we meet our obligations to the Treaty of Waitangi in the areas of Māori archival heritage. We intend to develop guidelines to accompany our standards that address records of significance to Māori; support international researchers to find community based archives and collections in New Zealand; and raise the awareness and understanding of New Zealanders about their community, history and heritage. The National Register of Archives and Manuscripts (NRAM) which has been redeveloped to meet user needs and expectations will assist in this work.

The department seeks to develop a community of interest and support for those working with and managing community archives and is coordinating resources to give efficiencies among the many small community archives.

In the wider archiving community, the department’s goal is to provide leadership in all aspects of archiving from advice on recordkeeping for individual organisations to developing cross-agency services through, for example, the seamless online access to New Zealand’s culture and heritage.

How will we demonstrate success in achieving this?

The primary measures we will use to assess the contribution we make to the archiving community is coordinated and well led are:

What will we do to achieve this?

The output areas significantly contributing to this outcome are:

A new set of measures has been introduced in the 2009/10 accountability documents to reflect the ongoing focus on these output areas.

In the Statement of Service Performance, for the policy advice area, we will focus on measuring the number and quality of the briefings provided to the Minister Responsible for Archives New Zealand. This may be considered indicative of the quality of advice provided in other areas. Service quality will also be assessed by determining the satisfaction of the Archives Council’s chairperson with the support provided.

A number of outputs are undertaken to support and advise community archives. These include developing materials, providing advice and developing relationships with iwi and hapū. Support for community archives will be assessed by measuring the number of and attendees at training courses run for this customer group. The cost-effective measures reflect the focus on these outputs and indicate the cost of providing these services.

For the archiving community to be coordinated and well led, Archives New Zealand will:

This year Archives New Zealand will:

Cost-effectiveness

To ensure this work is undertaken in a cost-effective way we will measure the:

  1. Authorises government agencies to dispose of housekeeping and other records common across agencies, eg, financial records, human resources records.
  2. Allows public offices or agencies to transfer their records to Archives New Zealand, or to destroy, alter, sell, deposit or discharge them, as instructed.
  3. Continuum is the brand for material associated with the Government Recordkeeping programme.

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Managing in a Changeable Operating Environment

Environmental Scanning

Archives New Zealand carries out regular evaluative activities to assess the quality of our access services and to determine how effective these are in meeting user needs. These evaluative activities provide us with user feedback, identify areas where improvements could be made and enable us to gather information on some of the purposes for which government archives are being used. These results are then used to plan and prioritise service developments for the next three years.

Feedback on services offered through the Archives New Zealand website and wider internet is regularly reviewed as part of ongoing service improvement.

Relationships with other archives authorities and agencies that assist government and community groups in effective records management are essential to our work. Archives New Zealand maintains strong relationships with government archives internationally, primarily those in Australia, Canada, the United States, the United Kingdom and some European jurisdictions. These relationships help us to keep informed of issues within our operating environment, both nationally and internationally, and build capability that we could not achieve on our own.

By independently advising the Minister Responsible for Archives New Zealand on risks and issues, the Archives Council Te Rua Wānanga has a vital role for both Archives New Zealand and the archives and recordkeeping sector as a whole.

Archives New Zealand:

The Chief Archivist and Chief Executive has a Māori consultative group, Te Pae Whakawairua, which provides advice about Archives New Zealand work with implications for Māori. Archives New Zealand has made it a practice to consult with Māori on all significant projects.

The Community Archives and Responsiveness to Māori team has developed extensive networks within the wider Māori community. These networks are invaluable to the team for providing feedback and guidance on key archival issues that iwi, hapū and whānau face. Together, we are able to explore options and solutions that serve the aspirations of iwi and Archives New Zealand.

Archives New Zealand works closely with the Archives and Records Association of New Zealand (ARANZ), the New Zealand Society of Genealogists, and the Records Management Association of Australasia (RMAA).

Mitigation of Risks

 

Risks How we will mitigate this risk
Public archives are accessible and used
Relationships with collaborating organisations are unclear
  • Develop a memorandum of understanding at the beginning of projects
  • Establish a mutually beneficial business proposal approach
  • Establish account management capability within Archives New Zealand
  • Develop mutually agreed standards and protocols
Customer expectations for access to archives cannot be met
  • Establish procedures for commonly requested material
  • Embed digitisation as a standard process and ensure staff are fully trained
  • Regularly obtain customer feedback and information on their expectations
  • Develop staff capability with coaching and mentoring
  • Match skills and resources to expectations
  • Digitise key archives and link them to Archway
  • Develop an online presence for community archives through continuing to develop the National Register of Archives and Manuscripts (NRAM). This redevelopment is consistent with the standards set for Digital New Zealand
  • Develop and implement a Community Archives Programme to support archives within the wider community
Public awareness of Archives New Zealand and its holdings does not increase
  • Communicate information about Archives New Zealand to the widest possible audience by using various channels of communication, including improved website and targeted stakeholder information bulletins
  • Regularly participate in Research New Zealand’s Public Sector Trust and Confidence Poll so that public awareness can be measured

 

Risks How we will mitigate this risk
Full and accurate records are kept by public sector agencies
Agencies do not maintain information in a way that meets their business needs
  • Continue to develop recordkeeping products that meet the needs of public offices
  • Raise awareness of digital continuity and engage agencies in implementation of the Digital Continuity Action Plan
  • Continue to undertake the government recordkeeping survey to measure government-wide progress and to identify where input from Archives New Zealand is best targeted
  • Continue to work with agencies to develop and implement retention and disposal schedules so that records are kept for as long as they are needed for business and archival purposes
  • Form partnerships and work with agencies to ensure that good recordkeeping and information management is embedded in the culture of public offices
Lack of a suitably skilled recruitment base for both Archives New Zealand and for public sector agencies
  • Provide training to public sector agencies
  • Work with tertiary providers to encourage the provision of courses that cover the information and recordkeeping skills needed for both paper and digital recordkeeping and for business information management requirements
Technology changes quickly and often new technology does not have inbuilt recordkeeping functionality
  • Work with technology providers to raise their awareness of the need for products to take account of records and information management needs
  • Work with international colleagues to ensure that technology providers receive a consistent message on recordkeeping and information management requirements
  • Specific training to increase the number of staff skilled in the digital management of Māori records and archives

 

Risks How we will mitigate this risk
Public archives are preserved and well managed
Archives New Zealand has limited capacity for storing digital archives
  • Expand the amount of electronic storage available for storing archives
  • Maintain an Interim Digital Archive to develop capability and protect records at risk
  • Work with others to leverage the government’s existing investment in digital preservation capability
  • Continue to develop requirements and scope for a comprehensive public sector digital archive
The archives repositories in Wellington, Christchurch and Dunedin have limited space
  • Identify the best approach to long-term storage needs through a Building Capacity and Strategy project
The storage of nitrate film requires specialised storage conditions that are not currently available at Archives New Zealand
  • Complete building alterations to ensure that nitrate film in the Wellington building is stored in a manner consistent with local authority and fire regulations
  • Liaise with other archives to develop a coordinated plan for investment in specialised film storage
The location of the Wellington repository means that it may be at risk of damage from earthquakes, floods etc especially where records are stored near to sea level
  • Continue to have the building regularly checked to ensure it continues to meet modern standards

Legal Risks

Archives New Zealand carries out comprehensive six-monthly legislative compliance checks. Questions asked about legislative compliance in the course of the annual Audit Report have all been answered to the auditor’s satisfaction.

 

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Assessing Organisational Health and Capability

Records Management

Archives New Zealand must meet recordkeeping standards and this will be assessed through the upcoming audits in 2010. Preparation for this will see a continuing improvement in our internal records management and systems.

Specialist recordkeeping knowledge is vital to all Archives New Zealand’s outcomes. We provide competency development to Archives New Zealand staff through our Archival Professional Development Programme.

Information and Communications Technology (ICT)

Guided by Archives New Zealand’s Information Systems Strategic Plan, the emphasis will be on making user-focused services increasingly available through the web, ensuring appropriate technology infrastructure is in place to support ongoing digitisation initiatives and the digital repository, and improving the efficiency of internal systems. The new Repository Management System is being launched, along with the updated NRAM system for community archives. In an increasingly digital world, ongoing ICT training and research into potential impacts of new technology will continue to be important.

Facilities

Archives New Zealand is the largest archival institution in New Zealand. A significant proportion of its funding is dedicated to building ownership costs and the operating funds needed to maintain the property, buildings and equipment. Maintaining the large quantity of archives in appropriate conditions is the highest cost in the department’s budget and space for the storage of archives is an ongoing capability issue, which is being addressed. Archives New Zealand’s Capital Asset Plan helps manage our assets by recording their age, condition, and how up-to-date they are in terms of technology, and assists in managing their replacement when necessary.

Human Resources Management Strategies

Developing and enhancing staff and management capability is a high priority for Archives New Zealand and is critical to the success of meeting organisational objectives in a resource constrained environment. The Human Resources team leads a number of programmes and projects to support the ongoing development of our staff and to position the organisation as an Employer of Choice. These are:

The main measures and standards the department uses to assess organisational health and capability are:

Health and Safety

We strongly promote a health and safety culture within the organisation and have an active health and safety committee to assist, monitor and promote workplace health and safety matters.

Equal Employment Opportunities (EEO)

Equal Employment Opportunity priorities are integral to Archives New Zealand’s Human Resources Policy Framework underpinning our human resources operating programmes.

Archives New Zealand and the PSA completed a Pay and Employment Equity review in early 2009. The review found no equity issues based on gender.

The department recognises the benefits of a versatile and inclusive workplace and is committed to ensuring:

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Capital Expenditure

Figure 5: Departmental Capital Expenditure (to be incurred in accordance with section 24 of the Public Finance Act 1989)

  Budget 09/10 Budget 10/11 Budget 11/12
Asset Class $000 $000 $000
Property, Plant and Equipment 2,462 1,750 1,750
Intangibles 1,749
Other 250 250 250
Total 4,461 2,000 2,000

 

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Directory

Archives New Zealand
Te Rua Mahara o te Kāwanatanga
Website: www.archives.govt.nz

National Office

10 Mulgrave Street, Thorndon
PO Box 12050
Wellington 6144
Telephone: (04) 499 5595
Fax: (04) 495 6210
Email: research.archives@dia.govt.nz

Auckland Regional Office

95 Richard Pearse Drive, Mangere
PO Box 201103
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

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