Public Records Act Legislation and Electronic Recordkeeping

1
Public Records Act- Legislation and Electronic
Recordkeeping

• Greg Goulding
• Group Manager, Government Recordkeeping
• GOVIS 8, 20 May 2005

2
What is it?

• Replaces Archives Act 1957
• Regulates management of public records
• ie records created and maintained by public
  sector agencies
• Also, but to lesser extent, for local authorities

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Purpose

• (c) To enable the Government to be held
  accountable by
• ensuring that full and accurate records of the
  affairs of central and local government are
  created and maintained
• providing for the preservation of, and public
  access to, records of long term value
• (e) to provide an appropriate framework within
  which public offices and local authorities create
  and maintain public records and local authority
  records, as the case may be and
• (All S 3)

4
Why new legislation?

• Changes to
• Technology Archives Act 48 years old,
  recordkeeping has changed
• Organisational models crown entities, state
  enterprises etc
• Administrative processes devolved
  responsibilities, recordkeeping culture eroded

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Whos covered?

• Public Offices ie
• legislative, executive, and judicial branches of
  the Government of New Zealand
• agencies or instruments of those branches of
  government
• includes Departments, Officers of Parliament,
  Crown Entities (incl Tertiary Education
  Institutions, SOEs and State Schools)
• Local Authorities

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Whats covered? I

• Wide definition of records
• 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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Whats covered ? II

• Public Record
• means a record or a class of records, in any
  form, in whole or in part, created or received
  (whether before or after the commencement of this
  Act) by a public office in the conduct of its
  affairs and
• (c) does not include
• (i) a special collection or
• (ii) records created by the academic staff or
  students of a tertiary education institution,
  unless the records have become part of the
  records of that institution

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Core provisions

• Public Offices and Local Authorities must create
  and maintain records of its affairs in accordance
  with normal, prudent business practice.. (S 17)
  NEW
• No public records may be destroyed or otherwise
  disposed of without authority of Chief Archivist
  continues 1957 Act

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Disposal

• Disposal, in relation to a public record or local
  authority record means
• (a) the transfer of control of a record
• (b ) the sale, alteration, destruction, or
  discharge of a record
• (S 4)

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New provisions

• Mandatory standards for records management for
  creation, storage disposal (S 27)
• Annual report to Parliament on the state of
  recordkeeping in government (S 32)
• Independent audits of recordkeeping in public
  offices (S 33)

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New provisions

• Archives NZ must make record disposal intentions
  available for public comment (S 20(2))
• Archives Council seven members to provide
  advice to Minister on archives and recordkeeping

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Archives

• Public offices transfer records to Chief
  Archivist at 25 years (S 21). These become
  public archives but..
• Transfer may be deferred by agreement between
  Chief Archivist and public office (S 22(1)(b) )
• Archives may be placed in approved repositories

13
Access

• Resolves potential conflicts between Archives
  Act and other access legislation e.g. OIA,
  Privacy
• At 25 years public offices and local authorities
  decide records are either open or restricted
  access.
• If restricted, continue to apply OIA, LGOIMA or
  other relevant legislation
• Public right to inspect, free of charge, open
  access records, including those held by public
  offices.

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Transitions and Savings

• Existing disposal authorities continue as if
  approved under the PRA
• Local Government Schedule continues to apply
• Access conditions agreed under the Archives Act
  continue to apply
• Deferrals agreed or granted under Archives Act
  continue to apply

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Electronic Records whats the problem ?

• Technological obsolescence
• Media
• Software
• Ease of manipulation
• Unproven media durability
• E-records need active management

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Electronic Records Outcomes

• Electronic Records that are
• Authentic
• Reliable
• Can be preserved over time and accessed when
  needed

• Records Management Standard

17
Electronic Records

• In general, PRA treats all records the same
  but
• Standards will be significant for electronic
  recordkeeping e.g.
• System requirements
• Metadata
• Ongoing management strategies e.g. migration or
  emulation

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Electronic Records

• Electronic archives may be kept in original
  office beyond 25 years at Chief Archivists
  expense (S 22(1)(c) )
• If aids preservation
• If more cost effective
• If access not impaired

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Electronic Records Requirements

• Document a decision or transaction
• Create the record
• Capture it in system incorporates defined
  processes and responsibilities
• Manage it over time for period needed may
  require migration, change of format etc
• Dispose according to legal authority may be
  destruction or archiving

20
Electronic Records Standards

• International context for standards development
• ISO 15489 International Records Management
  Standard
• ADRI Australasian Digital Recordkeeping
  Initiative
• Archives NZ, National Archives Australia plus
  State Archives and RK authorities
• Developing a core of common requirements across
  jurisdictions
• International Council on Archives proposed
  shared standard for EDRMS software and existing
  standards eg US DOD

21
Electronic Records Standards

• National context for standards development
• Archives New Zealand Recordkeeping Framework
• Draft Standard for Electronic Recordkeeping
  Systems ERKS
• Continuum programme of advice and guidelines
• Legislation ETA,

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Implementation/next steps

• Letters to all Chief Executives explaining key
  points of the Act
• Key facts documents for records managers
• Presentations, forums etc
• General Disposal Authorities to be posted on
  Archives Website to commence 30 day comment
  period
• Continuum being reviewed all principles
  continue but some details will need changing

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Implementation/next steps

• Programme of standards development -
  prioritisation
• Development of Archives New Zealand advice
  capability
• More information on www.archives.govt.nz

24
Questions?

• Greg Goulding
• Group Manager, Government Recordkeeping
• greg.goulding_at_archives.govt.nz