Statement of Intent 2010–2013

Contents

 

Minister's Foreword

Ministerial State of Responsibilty

Chief Executive's Overview

Chief Executive Statement of Responsibility

Nature and Scope of the Department's Functions

Strategic Overview

Operating Intentions

Managing in a Changeable Operating Enviroment

Assessing Organisational Health and Capability

Capital Expenditure

Directory

 

Minister's Foreword

 

Archives New Zealand Te Rua Mahara o te Käwanatanga has an important role in the public sector. As the government’s recordkeeping authority, the department works to ensure effective information management and acts as the official guardian of New Zealand’s public archives.

Government accountability is essential to democracy. Archives New Zealand has a key role in this process by ensuring full and accurate records of central and local government are created and those of long-term value are available when they are wanted.
 

Given the importance of these two roles and the need to deliver better smarter public
services for less it is essential the department is fit for purpose.

On 25 March 2010 the Minister of State Services, the Hon Tony Ryall, announced that Cabinet had agreed to integrate Archives New Zealand and the National Library of New Zealand Te Puna Mätauranga o Aotearoa with the Department of Internal Affairs Te Tari Taiwhenua. The Department of Internal Affairs is home to a number of distinct business functions and has experience in providing efficient support services. The reintegration of Archives New Zealand with the Department of Internal Affairs will take place over 2010/11. The Chief Archivist’s statutory role and the department’s core business will not be changed as a result. Pooling expertise and resources while sharing back office costs will continue to enhance frontline services to the public and enable the department to explore new opportunities.

Implementing these actions is one of my three priorities for Archives New Zealand for 2010/11.

 

The second of my priorities is to ensure the ongoing and effective management of the government’s digital information. The focus of the department and the National Library into the future is the digital challenge of getting more information available online. The
government is providing the pipeline with the rollout of ultra-fast broadband across the country. New budget funding of $9.7 million for Archives New Zealand to develop a digital archive supports our drive towards having more data available and readily accessible to New Zealanders, as quickly and efficiently as possible. Archives New Zealand will leverage off government’s previous investment in the National Library’s Digital Heritage Archive to achieve a cost-effective solution for ensuring the ongoing security of digital information.

The department is also working to better manage digital information across the public sector. The 15 action areas of the Digital Continuity Action Plan will help public sector agencies overcome the complex issues surrounding security and the future usability of
digital information critical to government business. We live in a digital age. We must think digitally and manage digitally. This plan will ensure public sector digital information is accessible, usable, and reusable by those who need it for as long as it is needed.

My third priority is to increase online access to digital archives through strategic business partnerships. Archives New Zealand will provide increased access to government archives by making digital versions of existing holdings available through the world-wide web.

Making comprehensive and detailed search facilities readily available and working with other agencies to rationalise infrastructure and processes will reduce costs to the department and across the public sector. Providing web-based access to archived records
results in records being available 24 hours a day – seven days a week.

 

Archives New Zealand is a flexible organisation committed to delivering effective services to the public while exploring innovative ways to address the ongoing challenge of managing information in a fast-changing digital world.

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.

Nathan Guy's Signature

Hon Nathan Guy
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 and the Information Supporting the Estimates 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.

Nathan Guy's Signature

Hon Nathan Guy
Minister Responsible for Archives New Zealand
15 April 2010

 

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Chief Executive's Overview

 

The major work for the department over the next year will be to implement the Machinery of Government changes required by government. Our job is to make the change real and effective.

This is an imperative in the current tight fiscal situation where agencies across the public sector need to be smarter about what they do and how they do it, in order to continue to meet customers’ needs cost-effectively. There is no sitting still.

The department, like the Department of Internal Affairs and the National Library, is a key information agency and we have much in common. Economies of scale will enable us to continue service-delivery improvements without compromising Archives New Zealand’s core functions and purpose.

Our leadership role of ensuring the delivery of archives and records management into the future remains. There will be changes to the way we do our business, and this is a good thing.

Useful effective change does not happen without the continuity of what has gone before; the past provides a solid basis for the future. The collective memory of government will continue building on the knowledge we have.

Our priorities for the immediate future are to build on the cross-agency initiatives and public private partnerships we already have, to stepup our digital transformation work and continue to ensure efficiency across all service delivery areas.

New budget funding for the Government Digital Archive provides for the development of a large-scale repository for storing government digital information of long-term value and securing access to it over time as formats and storage media evolve. This new funding will drive the changes required for digital transformation to get the necessary traction fundamental to our ongoing business operations and provide the necessary infrastructure for a 21st century archive.

 

Our cross-agency initiatives include the commitment with the Museum of New Zealand Te Papa Tongarewa and the National Library of New Zealand to ensure the nation’s art, culture and heritage collections are well managed, preserved and accessible to all New Zealanders. With the planning phase done, we will be working together to see how we can best share our collections with the public, and the new digital archive will support this work.

The work with the Ministry for Culture and Heritage, the National Library and Te Papa on sharing storage facilities is also continuing. Jointly with the Ministry of Education we are providing students with online access to archival material for use in their studies across the curriculum. A partnership with FamilySearch to digitise the much-used probates is also planned.

We will improve our performance by increasing online access to archives and work with government agencies to ensure digital transfers into the archives become the norm. By 2012, our goal is to have 95 percent of agency transactional services and 90 percent of our high-use archives digitised and online. The Digital Continuity Action Plan underpins this work.

 

This will be achieved by strengthening and streamlining systems so our processes are efficient for both us and our customers. Performance improvement and sharing services and resources effectively with other government agencies will improve customer service.

From 1 July this year, we begin the audits of public office recordkeeping practices. Over the next five years we will audit 200 offices to ensure effective information management across government that supports accountability and good business practice.

While these are challenging times for Archives New Zealand, the department continues to develop its important leadership role in public sector information management.

 

Greg Goulding's Signature

Greg Goulding
Acting 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 set out in the Appropriations (2010/11 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.

 

Greg Goulding's and Philip Green's signature

Greg Goulding                                                                                                   Philip Green

Acting Chief Archivist and Chief Executive                                                         Chief Financial Officer

 

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Nature and Scope of the Department's Functions

 

Archives New Zealand Te Rua Mahara o te Käwanatanga is the lead agency in managing the government record. It advises on and monitors recordkeeping practices in public offices and ensures 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.

Information management is fundamental to good business practice. It provides increased efficiency, effectiveness and accountability by ensuring records of public business are accessible both now and in the future. Transparent government relies on full and accurate records of business transactions that are well managed and 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 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. As records become increasingly digital, the challenges connected with this are becoming more complex and urgent. The auditing of public offices1 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 Te Tiriti o Waitangi, the 1893 Women’s Suffrage Petition, and 96 kilometres of 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 the connection of New Zealanders with their identity and history.

 

1 Public office as defined in section 4 of the Public Records Act 2005.

 

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 Mäori, iwi and hapü, is important to the department’s role and responsibility. The regional offices provide local communities with access to records of significance. Together we support government recordkeeping and community organisations, Mäori, iwi and hapü 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, hapü and whänau. Collaborative work arrangements with iwi enable access to significant information about their people and allows for creative and innovative solutions for them to 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 Wänanga. The council advises the Minister Responsible for Archives New Zealand on recordkeeping and archival matters.

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 143² staff.

 

Figure 1: High Level Organisational Chart

 

High Level Organisational Chart

² This consists of full-time equivalent permanent and fixed-term staff

 

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Strategic Overview

 

Key enviromental drivers

 

Archives New Zealand operates within an environment characterised by changing expectations from public sector agencies, public users, communities, Mäori iwi and hapü. Alongside these expectations sit exciting new opportunities driven by technological changes, increased collaboration opportunities and potential new models for sharing the 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 implementing the department’s Machinery of Government changes; the management of the government’s digital information; and increased online access to digital archives through strategic business partnerships.

The government’s overall goal is to grow the New Zealand economy in order to deliver greater prosperity, security, and opportunities for all New Zealanders. Key to this is improving the value for money of every New Zealand taxpayer’s dollar spent by the public sector.

 

New Zealand is weathering the worst economic and fiscal crisis since the Great Depression. Government has indicated that the coming year will see a continuing focus on the growing economy and that it will continue to drive savings in the public sector, demand stronger performance from government agencies and raise the quality of public services. The pressure on government departments to lift their game will be constant. Archives New Zealand, the National Library of New Zealand and the Department of Internal Affairs can now make significant changes to the way they operate, including making better use of technology, exploring innovative options for delivering services and sharing support services.

Archives are one of the countries most valuable assets. They are authentic, reliable evidence of the past that influence the present decision-making process and policies of government at both local and national level. There is immense cultural and educational resource in archives that cements society, enhancing individual and national identity. Archives New Zealand works to provide a focused and efficient approach to meeting customer needs. Service delivery is continually being improved to increase the cost-effectiveness of our services and to ensure that the 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 Public Records Act 2005 (the Act) have meant the way we approach our core business is changing. The focus is moving from being solely 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. The extremely large volume and variety of digital records also poses increasing information management challenges for public offices and for the department, with records requiring explicit management from the point of creation onwards.

New budget funding in 2010 for a digital archive ensures that the department is well positioned to protect the government’s digital record both now and in the future.

 

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 because little useful information may have survived. Archives New Zealand is proactively developing interventions to ensure that sustainable records are created and managed at an early stage. The new digital archive will provide a cost-effective whole-of-government solution for preserving digital records and making them accessible for future generations. This will eventually allow the department to proactively encourage public sector organisations to move more quickly away from paper records transfers.

 

New Zealanders increasingly expect information to be instantly accessible online, and ease of access is paramount to providing a superior customer service. People often begin their journey for their unique stories online and via the web. A heightened interest in history and heritage is creating a larger demand for our services. Mäori, 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. Future Treaty of Waitangi settlements are more likely to contain formal agreements to work with iwi in these areas.

 

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Strategic principles

 

Archives New Zealand’s strategic principles respond to our environment and the government’s expectations and guide us in how we approach what we do. These principles are applied throughout our activities, and 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 that services to its public sector, academic and private sector customers meet their needs. In particular, we seek active partnerships with other educational and cultural institutions to enhance and promote our services. An
example of this is the joint reading room facility that we now provide for the Alexander Turnbull Library at our Wellington office.

Customers increasingly seek our services outside the reading room and we will continue to develop a range of cost-effective online services to address this need. Services include the improvement of online archival finding aids to encourage the self-guided discovery of records, the gradual increase of digitised records available for downloading, and the implementation of a streamlined response to digital requests and enquiries.

 

Responsiveness to Māori

 

Archives New Zealand holds many records of value to iwi, hapü, whänau and researchers of Māori history. We are working across all areas of the department to ensure that our practices and procedures recognise Māori perspectives. This helps us with the appropriate and effective management of information and knowledge that is significant to Māori. The department will continue to review current best practice to improve access to records of significance and provide workable models that will be of benefit to both Māori and the wider archival and research community.

 

Māori increasingly seek longer term options for the management of both records and memories in their care, along with those managed by Archives New Zealand. We will work closely with both iwi and other agencies, including the National Library and Te Papa, to look at innovative and sustainable options to address the long-term aspirations of Māori.

Archives New Zealand responds to Māori by providing opportunities for iwi and hapü 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 whänau, hapü and iwi groups to establish and manage their own archives, in effect seeking greater autonomy over their intellectual and cultural property. The department sees this as an opportunity to look towards national and international practice on the effective management of information on 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 to improve both customer service and efficiency. Archives New Zealand is focused on moving the majority of our customer transactions (both the public and agencies) online over the next three years. This will start with enabling researchers to register online, being able to order archives for viewing, and in most cases having material delivered digitally. The publication of agency standards will also shift to exclusive online access as will some interactions with the department during our audit activities.

Archives New Zealand will continue to lead the implementation of the Government’s Digital Continuity Action Plan to ensure that public sector digital information is trusted and accessible when it is needed, now and in the future. Delivering on this plan will see digital information well managed from its creation by a robust, cross-agency infrastructure. The focus is on identification of high-value information, and on collective action underpinned by good governance.

Identifying and implementing the most cost-effective approaches to the long-term management of public sector digital information is vital. This will involve cross-agency coordination of secure, efficient and trusted digital information management. As part of our information management leadership role, we aim to set an example to other public offices for the appropriate management of electronic information.

 

Establishing the government’s digital archive over the next two to three years, in conjunction with other government agencies, will be our main focus. The digital archive will safeguard digital records transferred from public agencies and also support online access to digitised copies of the most-used paper archives.

 

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 in our new relationships with the National Library and Internal Affairs 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.

 

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High Level Outcomes

 

Figure 2: Archives New Zealand's Outcomes Model

 

Archives New Zealand's Outcomes Model

Archives New Zealand's Outcomes Model

 

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.

 

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Societal Outcomes

 

Our work contributes to three societal outcomes embedded in the Act. 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 our nation’s past. Preservation of historical documents, including Te Tiriti o 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 the department’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 following and, where relevant, contributory impacts.

 

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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 to agencies and the public 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 of unnecessary records and transfer to the archives 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

 

Accessible and well-used public archives help maintain a trusted and accountable government by encouraging critical analysis and the independent examination of government actions. This is fundamental for accountability purposes such as 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 Mäori, iwi and hapü. 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 measure 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 of model intervention logic and associated measures

 

By providing public offices with training and education services – a specific output in the information management and disposal advice output area – those attending training are more aware of and educated on the benefits of effective 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 Act. 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 has 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.

 

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Strategic Collaboration

 

Recordkeeping governance

Archives New Zealand leads the public recordkeeping system under the Act. A range of other agencies also have significant interests in this area. In particular, the department works with the Office of the Auditor-General, Office of the Ombudsmen and the State Services Commission to ensure full and accurate records are kept by public sector agencies. Effective collaboration with others is critical to the department’s ability to achieve goals, and the upcoming integration with Internal Affairs will provide a platform for achieving this.

 

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 increase productivity by delivering more within current funding.

 

Shared strategic direction

 

Archives New Zealand continues to focus on its commitment to work with the National Library and Te Papa in areas of mutual interest and this will have increased focus over the integration period. We recognise and value the common role we have as the national institutions responsible for collecting, preserving and providing access to the nation’s art, culture and heritage collections. Over the next three years, we will continue to work collaboratively to achieve a joint understanding of the needs of our users, improve our sharing of standards and interoperability, and support each other in developing shared capability. In recognition of these shared objectives, the three agencies share a common strategic direction:

 

The nation’s art, culture and heritage collections are well managed, preserved and accessible for the people of New Zealand

 

Within the context of this collaborative commitment, our agencies will continue to focus on leveraging digital technologies. Digital technologies continue to provide new opportunities for increasing access to collections, as well as presenting new challenges in areas such as archiving, ownership rights and reuse. The development of the Government Digital Archive will leverage infrastructure and expertise developed by the National Library’s National Digital Heritage Archive initiative. In the online environment, institutional boundaries are less important as people seek to draw information from a range of sources. Our approach
is to collaborate to achieve greater access and alignment, across and within our respective sectors.

 

Over the next three years, we will work collaboratively to:

 

 

The three agencies have developed a collaborative governance arrangement to coordinate activities, and to align relevant areas of work with each other to achieve this shared strategic direction. As the department and the National Library integrate with Internal Affairs over the next year, this arrangement will be further developed.

Archives New Zealand continues to seek further collaboration opportunities, 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 housing the Alexander Turnbull Library manuscripts collection while renovation work is carried out on the National Library building in Wellington over the next two years. A joint service has been introduced to the Wellington reading room providing opportunities for the two institutions to work together and provide an enhanced service to our readers.

 

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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:

 

These priorities, which also form the department’s performance improvement actions, are reflected in the initiatives addressed in this document such as the new Government Digital Archive, the Digital Continuity Action Plan and the Shared Strategic Direction. These, and similar existing programmes, will be progressed over the medium term. The department will identify further opportunities to progress these priorities during its annual business planning process, in conjunction with Internal Affairs.

 

Implementation of Machinery of Government review

 

Archives New Zealand will implement the Machinery of Government review through addressing the need to make enduring and significant changes to the way we operate for improved service and efficiency. We aim to manage these changes in line with Internal Affairs policy and processes, while ensuring minimal impact on our customers and maintaining sensitivity to our staff.

 

Management of the Government’s digital information

 

The Digital Continuity Action Plan addresses the need for trusted and efficient management of the government’s digital information for as long as it is needed. The benefits of the plan are:

The new Government Digital Archive will provide critical infrastructure for effective long-term management of government information.

 

Increased online access to digital archives through strategic business partnerships

 

Archives New Zealand is providing increased access to government archives by making digital versions of existing holdings available through web-based software. To assist in digitising existing records, Archives New Zealand will continue to seek innovative arrangements with volunteers, other agencies and the private sector.

Archives New Zealand has already implemented a partner-based business model digitising shipping lists detailing historic immigration to New Zealand. With the same business partner, FamilySearch from Utah, we are now digitising all the wills and probates in our Wellington region. In addition, we are digitising all of our World War One New Zealand Defence Force Personnel Records and are aiming to have those all online before the centenary of the start of that war in 2014. The department is also reengineering its access delivery processes to support digital delivery for remote (and a number of local) customers.

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

 

Whole of government ICT strategy

 

Archives New Zealand contributes to government’s vision for more efficient and effective shared Information and Communications Technology (ICT) infrastructure 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.

 

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Operating Intentions

 

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

 

Why is this important?

 

The public relies on public sector agencies to produce full and accurate records. 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. 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 authorities3 and disposal authorities4 issued by the Chief Archivist. This will be done in an open and transparent manner. Those public records with long-term value will become public archives, held at Archives New Zealand or an approved repository for access by the people of New Zealand.

Through recordkeeping audits, we will provide assurance to the public of the quality of public sector recordkeeping.

 

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 set out in the table below:

Primary Measures 2008 Results 2009 Results 2010 Target
The percentage of public offices andlocal authorities reporting they have a formal recordkeeping programme Public Offices

44%

Public Offices

48%

Public Offices

55%

Local authorities

59%

Local authorities

64%

Local authorities

70%

The percentage of public offices reporting progress in implementing
mandatory standards issued under the Act
not measured

in 2008

37% 50%
The percentage of public offices with a disposal authority which covers their core business records 33% 43% 45%

 

 All three reporting areas will be measured through Archives New Zealand's Government Recordkeeping Survey and the internal monitoring of the disposal authority coverage.

 

3 Authorises government agencies to dispose of housekeeping and other records common across agencies, eg, financial
records, human resources records.

4 Allows public offices or agencies to transfer their records to Archives New Zealand, or to destroy, alter, sell, deposit or
discharge them, as instructed.

 

 

Further information will be provided by the audits of public offices commencing in July this year. 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. We also provide clarity and consistency of requirements and build capability for implementing recordkeeping programmes. The primary measure used to assess our contribution to full and accurate records being 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 a range 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 website.

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. These are important channels and their outputs can be measured in a cost-effective manner. For the monitoring, audit and compliance area, we will
report 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:

 

 

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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 opened in 2007 and has an Interim Digital Archive as a pilot repository for the management of digital records. The new Government Digital Archive will ensure the ongoing management of digital archives. Research has been conducted to aid long-term capacity planning. 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 archives management system. This assists 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 authentic and accurate evidence of a transaction or event. A new search tool to better assist customers to use Archway will be further developed.

 

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 set out in the table following:

 

Primary Measures 2008 Results 2009 Results 2010 Target
The number of government agencies holding records of archival value
over 25 years old without a formal agreement with the Chief Archivist is reducing
- - Measure under development
Archives New Zealand will meet archival storage standards so our
holdings are kept safe and secure, protected against deterioration and changes in technology
Substantially achieved Substantially achieved In Accordance with Archives New Zealand Storage Standards Published June 2007

 

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:

 

Each of these output areas has 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 readily available for future generations, controlled storage services must be provided. Some records are so fragile they cannot be physically accessed. These records can be digitised and made available in this alternative format.

To quantify the 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 archives management system, 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 following 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 benchmarking with organisations providing similiar operations to assess the comparative cost-effectiveness of our operations.

 

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Outcome Three: Public Archives are accessible and used

 

Why is this important?

Archives New Zealand makes our country’s public archives accessible in order to support the accountability of government and maintain the transparency of government decision-making and actions. Public archives are also primary educational and cultural
resources that enable people to research their personal history/whakapapa and interpret the stories of their communities. This contributes to our sense of nationhood and social cohesion.

 

What are we seeking to achieve?

Archives New Zealand connects people with archives through making them 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 of our holdings. It will also enhance archive access, including the content of fragile archives.

Making public archives accessible and useable inspires 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 Te Tiriti o Waitangi. People will be able to understand the purpose of Archives New Zealand and be frequently exposed to its brand and identity. 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.

We are seeking to increase our digital holdings so that 90 percent of our most-accessed documents are available online and 80 percent of our business is online. This will make our holdings more accessible and our work more cost-effective.

 

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 set out in the table following:

 

Primary Measures Measures 2008/09 Results 2009/10 Results 2010/11 Target
The number of Archives New Zealand's users is increasing.

 

 

The needs of remote and onsite users, such as the public and government agencies, that access services provided by Archives New Zealand are being effectively met.

Number of pages viewed on Archway 3,611,703 2,942,936 to March 2010 3,900,000
Number of visits to reading rooms 17,019 10,213 to March 2010 16,500
Number of remote reference enquiries answered 12,114 7,020 to December 2009 10,500
Number of people who use Archway 60,000 74,211 to December 2009 100,000
Number of searches conducted on Archway 160,000 386,025 to December 2009 700,000

 

What will we do to achieve this?

The output area significantly contributing to this outcome is:

The output measures in the Statement of Service Performance make comparisons between traditional – remote requests and in-person services – and the growing importance of online service outputs.

 

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-effectivesness

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

 

Archives New Zealand is also measuring 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. 

 

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Outcome Four: The archiving community is coordinated and well led

 

Why is this important?

 

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 and memories of long-term historic value to New Zealanders are held outside the control of the Chief Archivist in community archives, with Mäori, iwi and hapü, as well as in museums, art galleries, educational institutions, special research institutions, historical societies and religious and voluntary organisations. These 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, Mäori, iwi and hapü 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 takes a leadership role within the Pacific Regional Branch of the International Council on Archives (PARBICA) that provides support for recordkeeping and archival development in the Pacific Islands. We coordinate with public archive authorities across Australia and internationally to leverage knowledge and provide state-of-the-art services. For example, the Digitisation Standard, developed by Archives New Zealand, is in the final stages of approval as an International Standards Organisation (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 Te Tiriti o Waitangi in the areas of Mäori archival heritage. We intend to develop models to accompany our standards that address records of significance to Mäori, 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 Community Archive website will assist in this work and has been redeveloped to meet user needs and expectations.
 

The department seeks to develop a community of interest and support for those working with and managing community archives, and is coordinating resources to increase 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 set out in the table below:

 

Outcome Standard Outcome Measure 2008/09 Results 2009/10 Results 2010/11 Target
Number of new items added to The Community Archive - - 355 to March 2010 (Estimated 360 to June 2010) 350

 

 

What will we do to achieve this?

 

The output areas significantly contributing to this outcome are:

 

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 training and advice, and developing relationships with iwi and hapü. 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:

 

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Managing in a Changeable Operating Enviroment

 

Enviromental Scanning

 

Archives New Zealand regularly evaluatives the quality of our access services to determine how effective these are in meeting user needs. These evaluations provide us with user feedback, identify areas where improvements can 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 Wänanga 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 Mäori consultative group, Te Pae Whakawairua, which provides advice about Archives New Zealand work that may impact Mäori. Archives New Zealand has made it a practice to consult with Mäori on all significant projects.

The Responsiveness to Mäori and Community Archives Group has developed extensive networks within the wider Mäori community. These networks are invaluable for providing feedback and guidance on key archival issues for iwi, hapü and whänau. 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).

 

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Mitigation of Risks

 

Risks

How we 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
  • 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
  • Develop staff skills in electronic records and access to them
  • 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 Community Archive.
  • 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
  • Provide specific training to increase the number of staff skilled in the management of Mäori records and archives
Confidence in Archives New Zealand and public awareness of its holdings is reduced

 

  • Actively monitor confidence and public awareness through regularly participating in Research New Zealand’s Public Sector Trust and Confidence Poll
  • Actively working with stakeholders, including staff, and the public to keep them informed and to seek their feedback

 

Full and accurate records are kept by public sector agencies
Agencies do not maintain information in a way that meets their business needs

 

  • Develop a government digital archive for storing and securing digital information of long-term value
  • 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 records are kept for as long as they are needed for business and archival purposes
  • Form partnerships and work with agencies to ensure that recordkeeping and information management is embedded in the culture of public offices
  • Provide agencies with audit reports that identify risks and opportunities for improvement
Agencies discount Archives New Zealand’s advice and standards because of a lack of confidence in them

 

  • Ensure quality collaboration continues with agencies in developing standards
  • Ensure the department is an exemplar of good quality information management practice and able to talk confidently and practically about what this means
  • Ensure advice and standards reflect both international best practice and local conditions
  • Develop a well articulated enforcement strategy which includes appropriate escalation in serious cases

 

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
  • Work with agencies to support the inclusion of recordkeeping standards in line with business computer applications as they are implemented or change significantly
Public archives are preserved and well managed
Archives New Zealand has limited capacity for storing digital archives until the Government Digital Archive is implemented
  • Expand the amount of electronic storage available for storing archives
  • Maintain the Interim Digital Archive to develop capability and protect records at risk until the Government Digital Archive is established
The archives repositories in Wellington, Christchurch and Dunedin have limited space
  • Identify the best approach to long-term storage needs through the 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 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 in the same way as other agencies, and this will be assessed through an independent audit. Our external credibility with agencies depends in part on our own internal recordkeeping standards, so a
programme is in place to continually review and improve our internal records management practices 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.

 

Public Records Act Audit Programme

 

As part of its obligations under the Public Records Act 2005, Archives New Zealand is implementing a programme to audit the recordkeeping practices of public offices. The Public Records Act Audit Programme will make a significant contribution to improving public office recordkeeping.

Through the audit programme, Archives New Zealand will audit 40 public offices each year on a five-year cycle (ie, each public office will be audited once every five years) to determine the extent of their compliance with recordkeeping standards. Recordkeeping practices that are not fit-for-purpose will be brought to the attention of public office chief executives, governance bodies and, if appropriate, the Minister Responsible for Archives New Zealand, and Parliament.

 

Information and Communications Technology (ICT)

 

Guided by Archives New Zealand’s Information Systems Strategic Plan, the department will continue its emphasis on increased availability of user-focused services through the web. This will ensure that an appropriate technology infrastructure will support ongoing digitisation initiatives and the digital repository, along with improving the efficiency of internal systems. Development of the Government Digital Archive will be a major focus.

The launch of the new repository management system will enable online reader registration and some ordering. Systems to support customer and relationship management will be implemented to assist with the effective management of online customers and stakeholder interactions. Further ongoing work will increasingly allow the most useful finding aids to be
available and searchable online.

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 having the required space for the storage of archives is an ongoing capability issue, that 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 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 Oppurtunities (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:

 

 

Capital Expenditure

 

Figure 4: Departmental Capital Expenditure (to be incurred in accordance with section 24 of the Public Finance Act 1989)

 

Capital Expenditure
  Budget 10/11 Budget 11/12 Budget 12/13
Asset Class $000 $000 $000
Property, Plant and Equipment 2,300 1,300 1,300
Intangibles 2,467 2,000 555
Other 0 0 0
Total 4,767 3,300 1,855

 

Directory

 

http://archives.govt.nz/visit/address-contact-details

 

Statement of Intent 2010-2013 PDF version

 

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