The Create

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The Create Maintain Standard-An Overview

• Stephen Clarke
• Archives Analyst, Government Recordkeeping
  Programme

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What is the purpose of the standard?

• The creation and maintenance of records that
  support
• Good business practice (efficiency, risk
  management, knowledge management)
• Management accountability
• Democratic accountability and legislative
  requirements
• New Zealands collective memory and historical
  heritage

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What does the Standard do?

• Sets high level minimum requirements to handle
  the diversity of government activities and future
  circumstances
• Basis for the establishment of a recordkeeping
  framework for NZ (local) government records
  informed by the PRA requirements and
  international best practice
• The Create and Maintain Standard will replace the
  existing Recordkeeping Framework issued in 2000.

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Why have we developed the standard?

• The ultimate purpose of the standard is to ensure
  that government records are created and
  maintained and managed appropriately for as long
  as they are required and any functions that are
  carried out by third parties
• Issued as a mandatory standard that will support
  PRA requirements and audit
• Seeks to enhance accountability and public
  confidence in government recordkeeping

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S17 Public Records Act

• This section of the Act sets out the requirements
  for two recordkeeping processes
• Firstly, the making of complete and accurate
  records.
• Secondly, the maintenance and management of
  records over time.

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Create and Maintain

• A public office must create and maintain
• Full and accurate records
• In accordance with normal, prudent business
  practice
• Including records of matters contracted out
• Continue to maintain so as to be accessible for
  subsequent reference until their authorised
  disposal or transfer

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Contractors Records

• It is the responsibility of the public
  office/local authority to create and maintain
  records of their contracted out functions to
  facilitate this you may require your contractors
  to
• Creating and temporarily maintaining records on
  behalf of the public office or local authority
• Providing the public office or local authority
  with sufficient information about the conduct of
  business to enable the creation and maintenance
  of full and accurate records

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PRA definition of a Record

• record means information, whether in its original
  form or otherwise, including (without limitation)
  a document, a signature, a seal, text, images,
  sound, speech, or data compiled, recorded, or
  stored, as the case may be,
• (a) in written form on any material or
• (b) on film, negative, tape, or other medium so
  as to be capable of being reproduced or
• (c) by means of any recording device or process,
  computer, or other electronic device or process

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Create Maintain RecordsIncludes all formats

• Email and attachments
• SMS and Instant Messaging
• Telephone calls
• Meetings, business conversations and conferences
• Databases, etc.

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• It does not mean keep everything!

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• Create and maintain records that

• Document the carrying out of the organisations
  business objectives, core business functions,
  services and deliverables
• Provide evidence of compliance with any current
  jurisdictional standards
• Document the value of the resources of the
  organisation and how risks to the business are
  managed
• Support the long-term viability of the
  organisation.

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Relationship with ISO 15489

• ISO 15489 forms the high level guidance for the
  Create and Maintain standard
• ISO 15489 provides the conceptual basis for the
  recordkeeping principles outlined in the standard
  and in the Continuum suite of recordkeeping
  publications.
• Archives New Zealand recommends that all New
  Zealand recordkeeping practice should be
  consistent with the principles of this
  internationally recognised records management
  standard.

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Status of Standard

• The Create Maintain Standard is proposed as
  mandatory it will set out the minimum
  requirements for the creation and maintenance of
  full and accurate records under the PRA
• The standard will be issued under the
  e-Government Interoperability Framework (e-GIF)
• If approved it will inform the PRA audit process
  from 2010 (in place from 2008 but not audited
  until 2010)

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Benefits of compliance

• Improved comprehensiveness of information
• Informed decision making
• Avoidance of embarrassment
• reduced risk of accidental destruction of records
  
• The ability to deliver services in an efficient
  and consistent manner
• Increased ability to demonstrate accountability,
  through the existence of records which document
  actions and decisions
• Increased public confidence in the integrity of
  an organisations records
• Identification of vital records for disaster
  planning
• Records of historical and cultural value survive

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Risks of non-compliance

• Failure to meet regulatory and compliance
  requirements
• Inability to successfully defend legal challenges
  
• Insufficient evidence to resolve disputes in a
  timely and authoritative manner
• Inability to exploit organisational information
  and knowledge
• Business inefficiencies and disconnected
  workflows
• Duplication of effort
• Organisational embarrassment, loss of
  credibility, lowered public confidence and damage
  to reputation
• Unlawful disposal of records

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Aims of minimum requirements

• The reliability and authenticity, trustworthiness
  and legal admissibility, of records
• The accessibility of records for as long as they
  are required
• Strategies to assist in creating records fit for
  long-term retention
• The ongoing management of key business assets

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Four key recordkeeping principles

• Recordkeeping must be planned
• Full and accurate records of business activity
  must be made
• Records must provide reliable evidence of
  business practice
• Records must be managed systematically

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Recordkeeping must be planned

• Responsibility for recordkeeping compliance must
  be assigned and endorsed by the administrative
  head
• Organisations must have a defined, documented and
  implemented policy for recordkeeping which is
  regularly reviewed
• Organisations must have defined, documented and
  implemented procedures for recordkeeping which
  are regularly reviewed
• Recordkeeping responsibilities must be defined
  and assigned
• A programme of internal monitoring and compliance
  must be developed and implemented

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Full and accurate records of business activity
must be made

• 6. The functions and activities of an
  organisation for which records must be made are
  identified and documented (including any
  functions contracted-out)
• 7. Records of business decisions and records
  documenting the transaction of business must be
  created
• 8. All business records must be captured
  routinely into an organisation-wide recordkeeping
  system
• 9. Staff must receive appropriate, and on-going,
  training for organisational recordkeeping
  responsibilities

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Records must provide reliable evidence of
business practice

• 10. Records must be authentic organisations must
  accurately document their creation, receipt, and
  transmission
• 11. Records must have reliability and integrity
  records must be maintained complete and
  unaltered
• 12. Records must be useable, retrievable and
  accessible for as long as they are required
• 13. Records must be complete recording the
  content and contextual information necessary to
  document an activity
• 14. Records must be comprehensive and provide
  adequate evidence of business activities

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Records must be managed systematically

• 15. Recordkeeping systems must be able to
  integrate, maintain and manage records from
  business systems
• 16. Recordkeeping systems must identify and
  capture records in appropriate formats
• 17. Recordkeeping systems must maintain records
  reliably over time
• 18. Records systems must organise records
  according to a business classification scheme

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Records must be managed systematically
(Continued)

• 19. Recordkeeping systems must create and
  maintain persistent contextual and structural
  information
• 20. Recordkeeping systems must maintain records
  in accessible and retrievable formats for the
  entire period of their retention
• 21. Recordkeeping systems must apply retention
  and disposal actions systematically

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Process for Standards

• Specific consultation process before the Chief
  Archivist can issue a mandatory standard
• Every office that the proposed standard will
  apply must be consulted.
• Must be made available to other interested
  parties Privacy Commissioner etc.

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Standards Programme

• Standards New Zealand and e-GIF have informed our
  development processes
• First mandatory standards
• Physical storage
• Creation and maintenance of full and accurate
  records
• Recordkeeping metadata
• Discretionary standards
• Standards strategy to be reviewed next year

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Advisory group representing key interest groups

• Deirdre Wogan, Private Consultant
• Desiree Brown, Ministry of Social Development
• Gerard Rooijakkers, Auckland City Council
• Hinerangi Himiona, Te Pae Whakawairua
• Janine Delaney, NZ Micrographics Services
• Jocelyn Hargreaves, NZ Post
• Karen Bolger, Ministry of Foreign Affairs Trade
  
• Keitha Booth, State Services Commission
• Roma Niemirska, Human Rights Commission
• Michael Hodder, Rangitikei District Council
• Terehia Biddle, Kaihautu, Archives NZ

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Consultation

• An exposure draft and feedback form is available
  to facilitate written submissions Deadline 25
  January 08
• We are also running workshops
• 23rd November Christchurch
• 10th December Auckland
• 11th December Wellington (x2 sessions)
• Wellington January sessions (tbc)

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Available on our Continuum website look under
current projects
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Review of Feedback

• The submissions will be collated and a report
  produced
• The advisory group will meet to consider the
  feedback received and decide on changes to the
  standard.
• The final mandatory standard will be approved by
  the Chief Archivist under section 27 of the
  Public Records Act.

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Conclusion

• To meet the requirements of s17 of the Public
  Records Act organisations should manage their
  information, including e-mails, within a
  recordkeeping framework
• A recordkeeping system will provide a framework
  for capturing, maintaining and providing access
  to evidence of transactions over time and
  implementation of retention and disposal regimes.
  
• Electronic records need to be managed in
  electronic recordkeeping systems to be authentic
  and reliable.

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• Any Questions ?
• www.archives.govt.nz/continuum

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Further Information

• Contact us rkadvice_at_archives.govt.nz
• To access the exposure draft on our website go
  to www.archives.govt.nz/continuum/currentprojects
  /createmaintainstandard.php