Full Report on 2010 Government Recordkeeping Survey (Public Offices)

 

Key findings

 

Awareness of the regulatory environment:

Close to half (46%) of public offices reported they have policies and procedures in place to assess whether they comply with the Public Records Act 2005, a further 47% report they are currently developing processes to assess compliance.

Requirement to create and maintain full and accurate records (Public Records Act s.17):

Internal records survey

Just over a third (35%) of public offices reported they have completed an internal records survey in the past two years. A further 27% reported they are currently developing a project to undertake one.
 

Tools, resources, programmes and procedures to enable creation and maintenance of records

Sixty eight percent of public offices reported they have specialised staff responsible for records management and 64% have a senior manager who is responsible for records management. A similar proportion (67%) reported they have procedures for creating and filing paper documents.
 
Slightly smaller numbers of public offices reported they have procedures for creating and filing electronic documents (57%) and electronic mail (47%). Fifty five percent of public offices reported they have procedures for storing electronic documents including electronic mail.
 
A third (34%) of public offices reported they have an access policy in place for their records. Less than a quarter reported they have:

  • A vital records identification programme (22%),
  • An organisation wide metadata schema (18%)
  • A migration plan for electronic records (17%).

 
 
 
 

Recordkeeping systems

The majority (93%) of public offices reported they use paper systems. Eighty five percent reported they use shared drives and 44% use electronic recordkeeping systems.
 
Less than one third (28%) of public offices reported they are currently undertaking a project to implement a system to manage our electronic records.
 

Records not in an accessible format

In all, 59% of public offices reported they have records in a format they can no longer access. Fifty two percent have digital files they can no longer access and 42% have physical records they can no longer access.
 
The three most commonly reported steps organisations are taking or planning to ensure accessibility over time are:

  • Migration of the records onto new media, hardware, software or file formats (42%)
  • Copying or digitisation (41%)
  • A records audit to locate lost records (40%).

Mandatory standards:

All respondents were asked if their organisation has performed a risk assessment against the three mandatory standards issued by Archives New Zealand. Storage Standard S2 has the highest reported number of risk assessments performed (38%) followed by Create and Maintain Recordkeeping Standard S7 (30%) and Electronic Recordkeeping Metadata Standard S8 (22%).
 

Types of recordkeeping programmes:

Three in five (59%) of public offices described their recordkeeping programme as a formal one. A further 34% reported they are working towards implementing a formal programme.
 

Requirement to have authority to dispose of records (Public Records Act s.18, s.20):

Some 41% of public offices reported they have a regular disposal programme in place. A further 30% reported they are currently developing one.
 
Around half (49%) of public offices have a disposal authority from the Chief Archivist that covers records of their core functions. A further 22% reported they are currently developing one.
 
Nearly half (47%) of public offices reported they have disposed of records in the past year. Close to three quarters (71%) of these reported applying Archives New Zealand’s General Disposal Authorities (GDAs) and 15% reported applying a sector specific schedule.

Records over 25 years old (Public Records Act s.21, s.43, s.47):

Around two in three (68%) public offices reported they hold records that were created earlier than 1985 (over 25 years old).
 
Close to a third (32%) of public offices with records over 25 years old report the records have been appraised for retention as public archives, and will eventually be transferred to Archives New Zealand or an approved repository. Sixteen percent say the records have been appraised and may be destroyed when no longer required.
 
Forty two percent of public offices that hold records over 25 years old reported that no measures have been taken to manage access to these records. Around a third (32%) reported that open access records under the control of the organisation are available for inspection by members of the public, without charge.
 

Friday, September 24, 2010
Government record keeping