1982
Update policy/process
• Deciding whether we should be
documentation as
seeking ethnic data from
appropriate.
complainants.
Act
Topic 10 – The Authority should
To be agreed with
Q4 FY22
New Information Management Policy
Noting that the information on
formalise oversight and
Executive Office
approved 9 December 2021. Section 5.7
shared drives has been migrated
monitoring over their shared
Manager and reflected
(Roles and Responsibilities) now includes
to SharePoint so the oversight
drive platforms and personal
in policy update. Policy
an additional clause formalising the
and monitoring role is now
hard drives.
to include annual check
Executive Office Manager’s responsibility
related to the SharePoint
to ensure work related
(in consultation with Executive Sponsor)
environment as well as the
material not held on
for oversight and monitoring of SharePoint
personal hard drives.
Information
personal drives.
platforms and personal (OneDrive) and
hard drives usage in line with the BSA’s
documented policies and procedures.
Topic 11 – The Authority should
Relevant information to
Q4 FY22
Pending
Noted
Official
formalise the identification,
be identified and
analysis and documentation of
documented.
their high-value and high-risk
the
information assets within their
file structure that they already
have in place.
Topic 12 – The Authority should
Risks to be captured (as
Q4 FY22
Pending, limited risk, noting:
Same as for Topic 10 above.
under
identify and document the risks
appropriate) in risk
Discussed that, although the
relating to the shared drives,
register. Relevant
• CE files (eg finance HR) locked
shared drives are now
ensuring that the shared drives
down to CE
redundant, an issues/risks
are made read-only to enable
register for information
Released
version control once the
shared drives to be
• Other core doc saved as pdfs and management should be created
Authority has migrated to
made read-only.
in Sharepoint system which
(or be included as part of
Microsoft 365
captures versioning.
another register) to identify and
monitor the issues/risks
• Smal team (effectively 3 ‘people’
associated with personal hard
types). Decision stuff would be
drives, other storage devices
locking one person out (and she
(flash drives) and SharePoint.
needs for upload)
Topic 21 – The Authority should
External resource (eg
Q4 FY22
New staff member o progress disposal
Noted
ensure disposal actions are
from student job search)
actions over the qu et (January) period.
routinely carried out.
to be engaged to assist
with initial backlog.
under the Official Information Act 1982
Released
Department of Conservation
Check in 1 meeting held 19/10/2022
Present:
1982
DOC: Mike Tully – Executive Sponsor, Judit Farquhar-Nadasi IM manager
Archives: Heather Mackay and Zoya Huxford
Act
Name of public office: Department of Conservation
IM Maturity
Recommendation
Planned action (summary)
Target completion date
Assessment
Topic
Topic 1 IM
Develop, implement and track an
The Digital Strategy Programme started in
Q2 2023
Information
Strategy
organisation-wide IM strategy and
2021.
work programme that is aligned with
Work to discuss how an organisational IM
Not started yet.
the Digital Strategy.
strategy may align with and work alongside
with DOC’s Digital Strategy is planned.
Organizational reset is changing
the team structure; some
What we have achieved:
programs are on hold right now.
Official
IM Team are involved in the Data Strategy and
Governance project and Māori data and Māori
the information management.
This project is on hold pending the
appointment of new senior leadership in IT.
under
Released
Department of Conservation
Check in 1 meeting held 19/10/2022
Present:
1982
DOC: Mike Tully – Executive Sponsor, Judit Farquhar-Nadasi IM manager
Archives: Heather Mackay and Zoya Huxford
Act
Notes from
Māori data and metadata – have been working with DIA (Judit will find out who that person is) which has paused but
Check in 1
anticipating it will start again. Have implemented some functionality in DMS and the Digital Media Library working towards
Māori information being identified in every environment- who owns it, can it be released etc. Working with Māori division at
DOC. Treaty Partnership advice sought internally. Organisational reset with staffing change (whole new Tier 2, some new T3
and 4, some disestablishment) and new financial system which has absorbed resources. Digital Strategy will be driven by the
CIO when the new person is in position.
Topic 3
Establish an IM governance group,
IM team are recommending to the Data
Ongoing
Information
Governance
including the ES, with responsibility for
Strategy and Governance project that IM
arrangements
oversight and monitoring of IM
Governance is covered under the Data
Organisational reset is in
and Executive
practices to better govern and support
Governance Framework that is being
progress, we are not able to form
Sponsor
IM at DOC.
established. IM Team is involved in project.
the Governance Group. New
Executive Sponsor is in place.
Notes from
DOC asked - what does an effective IM governance group look like? They are seeking more tangible help other than our
Official
Check in 1
advice on the website. Suggested they look through the audit reports to see who is doing well in this area and contact them.
They will do that and if need more assistance will get back to us.
the
Topic 5
Recommendation 2: Review and update This has been done in one off cases (e.g., TrapNZ)
Q3 2022
Outsourced
key current agreements with third
Planning toward standards Procurement and
functions and
parties to provide adequate provision
Legal teams to go into procurement
Organizational reset is changing
collaborative
for DOC’s IM requirements.
documents and contracts as renewed /
the team structure; some
under
arrangements
replaced. Using work developed with Trap NZ
programs are on hold right now.
project
.
DOC implemented a new finance
What we have achieved:
system and resources have been
allocated to that work.
Released
Department of Conservation
Check in 1 meeting held 19/10/2022
Present:
DOC: Mike Tully – Executive Sponsor, Judit Farquhar-Nadasi IM manager
Archives: Heather Mackay and Zoya Huxford
We have started the work with the Procurement
Business Unit to identify third parties but new
finance system has been implemented in July and
the workload has been too much
IM team now is involved to provide advice for new
systems D&R rules to attach to new systems.
Notes from
Trialled with TrapNZ and now have a good template which is under review by the legal group. Should be good to use now and after the
Check in 1
OK by procurement it will be ready to use as an organisational template.
Topic 6 Te Tiriti
Work with the KKA team to assess the
What we have achieved:
Started in Q3 2021 Ongoing
o Waitangi
adequacy of DOC’s IM practices to
enable and support the rights of Māori,
DOC-7150583
to access, use and reuse information
As the part of the Digital Strategy work
that is important to Māori, as an input
programme IM team has been working on
Organizational reset is changing
to the IM requirements for the Digital
requirements of Māori information
the team structure; some
Strategy work programme.
management. It is an important part of DOC’s
programs are on hold right now.
Digital Strategy work programme.
Indigenous data working group has been
established and IM staff is involved.
under the Official Information Act 1982
Māori metadata has been implemented in
DOC’s Media Library system and the SOP is up
to date related to Māori related information
stored in there.
Released
Department of Conservation
Check in 1 meeting held 19/10/2022
Present:
DOC: Mike Tully – Executive Sponsor, Judit Farquhar-Nadasi IM manager
Archives: Heather Mackay and Zoya Huxford
DOC’s IM SOP has been reviewed and an
updated version was drafted to refine Maori
related information stored in DOC.
Notes from
As above in Topic 1 and have reviewed the IM SOP as well in relation to Māori data. Still more to do but have made progress.
Check in 1
Topic 16
Recommendation 2: Work with the
What we have achieved:
Ongoing project
Appropriate
business units in a risk-prioritised
DOC-7150583
storage
manner to identify and ingest
Project is established to move high-risk/high
arrangements
information held on uncontrolled
value data in DOC. The first aim of this project
PRRA file transfer to Archives NZ:
storage devices and media into DocCM is to complete a data catalogue in DOC.
DOC-7161233
IM team member is part of the project team.
Long-term project, part of the Digital Strategy
Programme.
Discussion paper has been created to identify
under the Official Information Act 1982
what is HR-HV record in DOC.
IM team to put more work on it to reach out to
Business for more information.
Released
Department of Conservation
Check in 1 meeting held 19/10/2022
Present:
DOC: Mike Tully – Executive Sponsor, Judit Farquhar-Nadasi IM manager
Archives: Heather Mackay and Zoya Huxford
Keep targeting offices and gathering data. Has
moved few offices already to safe offsite
facilities, moved HR-HV material from Hokitika
to CHCH TiMG, PRRA paper records, Arthur’s
Pass, CHCH Office, Turangi, Tauranga….
Ongoing project with tangible steps.
Notes from
All contracts are now digitised and not in filing cabinets. Have been working with regional offices and moving hv information
Check in 1
to improved storage. Still have some offices to work w th but the target is to get all important files to TIMG. Have created a
paper which lists examples of hv/hr records for DOC and this will be distributed to regional offices to help them identify if
they have any. Once identified a plan to manage them is made and the central spreadsheet is updated. This is an ongoing
process. Digital by default since 2018 so there is a change to digital but there is still a lot of working with paper records and
also digital storage outside of central systems such as hard drives. Pike River Recovery operational files from Greymouth
Regional Office have been put into storage.
Topic 21
Recommendation 1: Define, implement
DOC’s information Asset register is the key
Ongoing project
Implementation
and monitor an appropriate disposal
tool for completing this recommendation.
of disposal
implementation plan to apply DOC’s DA Some work started on mapping the
DOC-6049366
decisions
across all core data/information assets, information data catalogue, (please see above)
in line with Archives NZ’s IRM standard. the overarching asset register is not
completed, yet.
under the Official Information Act 1982
What we have achieved:
Released
Department of Conservation
Check in 1 meeting held 19/10/2022
Present:
1982
DOC: Mike Tully – Executive Sponsor, Judit Farquhar-Nadasi IM manager
Archives: Heather Mackay and Zoya Huxford
Act
Review of DOC’s Disposal Authority (DA538)
and the draft is ready for socialising with
affected business groups.
Completed sentencing paper file databases
(DB Text), so we understand what material we
have to transfer when transfers reopen to the
Information
Wellington Archive.
A proposal paper was created by IM team
working with InfoSec team and reviewed by
PSS for M365 configuration change on DOC.
After it is signed off Fujitsu will implement the
Official
proposed changes on OneDrive.
Investigations begun with rolling out DOC’s
the ontology (and therefore the disposal schedule)
across more than docCM, with vendor demos
for rolling it out across DOC’s M365
environment done in September.
under
Released
Department of Conservation
Check in 1 meeting held 19/10/2022
Present:
1982
DOC: Mike Tully – Executive Sponsor, Judit Farquhar-Nadasi IM manager
Archives: Heather Mackay and Zoya Huxford
Act
Notes from
They are reviewing their DA which has been extended. Have a draft now and about to send to business units to review.
Check in 1
Extension until next May and and the new DA should be with Archives next February. Trying to get units not affected by the
organisation reset to review – have targeted some now. Have applied DA and sentenced all physical records in the physical
database and also sentenced in DOC DCM. Encouraging projects to add disposal classes into the systems they are using for
their project data. Proposal for OneDrive as well – drafted and hopefully ready by the end of year around security
classification and data sharing.
Note: 4 FTE in IM section including Judit. Also have someone working on legacy project listing boxes – nearly completed.
Information
Advised that next meeting will be in a year’s time unless DOC have questions and request a meeting earlier.
Official
the
under
Released
EECA
Information Management Action Plan
Name of public office: Energy Efficiency and Conservation Authority
IM Maturity
Recommendation
Planned action (brief summary)
Target
Notes from check in 1 on
Assessment
comp etion date
14/10/2022 10 am with Sam
Topic no.
Price (ES) and Simon Brash
(Information and Platform
Lead)
Topic 1 – IM
Develop, communicate
We currently have an IM Strategy that is
July 2022
Over last two years quite a bit
Strategy
and track the
with the Leadership Group for approval.
of activity around digital
implementation of an IM
It includes plans to:
transformation. Also new
Strategy that is aligned to 1. Review core and legacy systems.
team structure, personnel
the strategic direction of
and platforms. So the drafted
the agency as a
2. Create a document/record
strategy is not now relevant
standalone document or
classification plan.
and needs review to reflect
part of the wider
3. Automatically classify digital records.
the changed situation. Energy
organisational strategy
at the moment into system
as per Archives NZ’s
4. Maintain and enforce a simple and
migration for the new
guidance.
effective Retention and Disposal
information management
Schedule.
system and strategy needs to
5. Keep the IM strategy up to date, fit for
relate to the new
purpose and inline with modern
environment. Also cyber
workplace practices.
security enhancements
under the Official Information Act 1982
happening.
6. Keep staff engaged in good records
management with strong examples set
by leadership.
Released
While some of these points are already
Projected date for a new draft
underway, there are a few factors that
of the IM strategy is March
have slowed the rollout of this strategy:
2023.
• The key stakeholder and author of the
strategy moved on from the agency in
December 2021
The pandemic, the sharp increase in
remote work and the significant
improvements to Microsoft’s core apps
like SharePoint and Teams have meant
that our key document management
platform (Cohesion, built on the
SharePoint 2016 platfo m) – on which a
lot of the original strategy was
predicated – has fallen out of favour with
staff in comparison to these modern
tools. Staff exit surveys indicate very low
levels of satisfaction with the records
management platform, Tiaki. This means
we need to pivot quickly to re-engage
staff and maintain strong information
management practices on a platform
that is fit for purpose. Records
under the Official Information Act 1982
management systems are only as strong
as the people creating and maintaining
the records.
Released
1982
Topic 3 –
Establish an IM
The Information, Privacy and Security
Complete
This is a useful representative
Governance
governance group,
Group was established in July 2021 and
group to help the
arrangements
including the ES with
meets monthly. The group includes the
organisation keep on top of
Act
and Executive
responsibility for
Executive Sponsor, ICT Manager, and
how information is managed.
Sponsor
oversight and monitoring representatives from across the
It has been through a couple
of IM practices to better
organisation to encourage strong IM
of iterations. Now effectively
govern, manage and
principles across all teams. The group
2 groups - an IT focused group
support IM at EECA.
includes a focus on information security
and a wider group which has
and privacy to help align with good
useful discussions about new
information management – reinforcing
systems etc.
both goals simultaneously.
Information
Official
the
under
Released
Topic 12 – IM
Review core systems to
We have conducted reviews of most core Included in Topic
Also will be included in IM
requirements
ensure that IM
business systems and there are projects
1 – to be
strategy. EECA now builds IM
built into
requirements are
underway to transition to more modern,
completed by July considerations into processes
technology
considered throughout
efficient, and engaging systems. Having
2022
when purchasing new
systems
the systems lifecycle,
staff using systems that are fit for
Completed
systems e.g. purchase of
including systems that
purpose with low friction encourages
Salesforce considered
are up for
good information management.
information retention. How
decommissioning.
long data is kept for, access
etc are now considered for all
systems and requirements
built in where they can. With
Cohesion there were issues
with staff finding it hard to
use so they were saving to
desktop etc. Now migrating to
SharePoint Online to improve
user experience and IM
generally. They have read our
guidance on M365 and
implementing with IM in
mind. In middle of phased
implementation bringing data
across team by team. Teams
will use then improve. HR on
board first – has worked out
well championing it and
under the Official Information Act 1982
ensuring metadata is useful
for them. Aware of not siloing
the set up and standardising
across the organisation as
Released
much as possible. Migration
has taken longer than
anticipated as Cohesion had
become very customised. End
of October everyone should
be using the new system.
Topic 12 – IM
Adopt an Information
Our Information Management “by
July 2022
As above.
requirements
Management “by design” design” approach is governed by the
Completed
built into
approach for new
following principles: • All newly
technology
systems to enable IM
acquired information systems that
systems
requirements to be
generate records will have IM factored
specified for system from
into them at the design phase
.
the planning phase.
Topic 14 –
In conjunction with their
A review of all systems outside the core
December 2022
Taking this over into the new
Information
disposal authority, EECA
Information Management system (Tiaki)
year. Applying disposal
maintenance
should identify the
will be undertaken A disposal authority
function to new systems
and
preservation needs for
process will be built into any new
completion June 2023
accessibility
information across all
system. We are currently
environments.
building/transitioning many of our
business processes into the Salesforce
environment. We will develop and
implement a disposal authority in-system
to manage old records in that
environment.
under the Official Information Act 1982
Released
1982
Topic 21 –
Develop and implement a Records generated by our systems will
December 2022
Progressively working through
Implementation
routine Disposal
be classified by Archives NZ’s
this with new Salesforce and
of disposal
Implementation Plan in
recommended disposal authorities and
SharePoint Online. Interested
Act
decisions
accordance with EECA’s
the EECA-specific retention and disposal
in using Microsoft Viva
Disposal Authority for
schedule. Disposal actions (e.g. how long
Online. Asked if we had any
digital repositories and
different types of records must be stored
expertise in this so have
formats including
by EECA before they can either be
referred question to Mick
Cohesion/SharePoint,
destroyed or transferred to Archives NZ)
Crouch and suggested they
Teams, email, and shared for different record types have largely
join the Records Listserv and
network drives.
been identified but this document will be
the Mezzanine Meeting. To
actively maintained as new record types
send joining details for listserv
arise. An in-system method of assigning
to Simon.
Information
these classifications at the point of the
Note: Nick Best no longer at
records creation will be developed. Even
EECA. Meeting ended at 10.25
if it can’t anticipate every record type to
be classified it will be capable of
classifying the vast majority (>90%) of
the records created. Disposal actions
Official
that have been identified under the
above steps will be implemented on at
least a half-yearly basis.
the
under
Released
Ministry of Transport
Check in 1 meeting 19/10/2022
Present:
Ministry of Transport :Robyn Smith Executive Sponsor and Megan Shields Acting Head of Minister al Services
Archives New Zealand: Heather Mackay and Zoya Huxford
IM Maturity
Recommendation
Planned action (brief summary)
Target completion
Assessment
date
Topic
Topic 3 –
Design reporting that provides useful and
Meet with Executive Sponsor to determine
June 2022
Governance
actionable information to the Executive Sponsor
value adding reporting and frequency.
arrangements
that can be provided to the Ministry’s executive
Design and implement reporting, then review
and Executive
team. The reporting should be designed to provide
with Executive Sponsor for effectiveness and
Sponsor
actionable insights into the management of
implement enhancements.
information within the Ministry and to enable the
Executive Sponsor to actively engage with staff.
Regularly review effectiveness of reporting,
including impact on staff information
management behaviours and SLT decision-
making.
Notes from
Starting formal meetings and will document those. Small size means that there is regular informal interaction. With the lack of
Check in 1
staffing after the previous IM person left this be taken up when the new person is employed.
under the Official Information Act 1982
Page 1 of 5
Released
Topic 4 – IM
Review the information management staff capacity Resourcing for information management is
Current and ongoing
Integration into
against the Ministry’s business needs to allow
being monitored with additional resource
business
further involvement of the Knowledge
allocated, or sourced externally, as required to
processes
Management Advisor in wider Ministry processes
meet business needs.
and strategic business activities.
Improvements to wider business planning
processes currently underway will assist with
identifying upcoming requirements and
allocating budget
Notes from
It has been difficult to find a suitably skilled and experienced IM person to replace the previous excellent encumbent. They
Check in 1
know what they need but haven’t been able to fill the person at the right level. Still working on understanding the level of staff
needed. They will bring on the replacement person as soon as possible and continue to monitor the capacity needed. Have
grown a bit but are at their maximum now at 250 FTE. Consider that they may need a part time person as well but will want to
look at all the duties that are done against what are needed e.g. where to place EDRMS admin work – maybe this goes to a
more technical role. Also considering where the IM person fits in the structure – now taken out of IT and in Ministerial Services
area. Contactor is coming on board soon because of continuing difficulty in recruitment. The contractor will work on the
deferred work. The IT staff are very supportive so no issues there.
Drafting of the wording of contracts is on hold until they get someone employed. Procurement are also involved in this.
Topic 14 –
Create and document a plan for managing and
Create a Digital Preservation Plan following the
December 2022
Information
maintaining digital information currently stored in
development of the Information Asset Register
maintenance
old systems.
(IAR) - refer topic 11.
and accessibility
1) Review information held in obsolete
formats and transfer to more accessible
formats.
under the Official Information Act 1982
2) Identify actions required for active
preservation
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Released
Notes from
This information is currently on old servers – a key risk for the organisation. Need to get the information appraised and have it
1982
Check in 1
lifted and secured on the cloud. Servers are not supported now so the move to the cloud will happen before Xmas. Everything
will be lifted and moved as the first concern is to secure it and then will sort through. Mostly data that is used by data and
analytics team and some images. Not policy information etc. Still using the data so while working out what needs to be done
Act
next they are managing the technological risk.
Don’t have a lot of information on video or old formats.
Topic 11 – High-
Create an information asset register which
Review existing resources as part of the asset
July 2022
value / high-risk
identifies the information that is high-value or
identification process (e.g MoT Disposal
information
high-risk to the Ministry and develop a plan for the
Authority, Ministry Business Classification
long-term management of this information.
Scheme, software asset lists) to form a starting
baseline.
Information
Identify asset information to be collected.
Conduct an information review with key
stakeholders (focus groups with
staff/stakeholders).
Official
Notes from
Contactor has created an IAR and incorporate information of importance to Māori once identified. They are sure that there is
Check in 1
some as they have information related to land e.g. Kapiti airport and there will be historical information. As they progress on
the
their Te Tiriti journey there will be more awareness about their information from that lens. The intention is to work more
closely with Māori during this process. The information is not lost but just not visible and the work is to decide future
management so that access is better.
under
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Released
Topic 18 –
To improve maturity the Ministry should perform
Continue to review and maintain the Business
Current and ongoing
1982
Information
active maintenance of metadata and file plans to
Classification Scheme to ensure it is consistent,
as part of BAU
access, use and
ensure the reliable management and discovery of
current, and covers all Ministry functions,
sharing
information.
activities and sub activities.
Act
Continue to maintain workflow metadata to
ensure the attributes (Group names, Team
names, Managers) are current, and captured
accurately in reporting.
Notes from
Work has been started by the previous IM staff person and it is ongoing as BAU. Before staff left she initiated a progremme
Check in 1
with teams to look at the file structure to ensure it was useful. Some of the file structure was improved. There is good
oversight of new folders that are created – now locked down to a small group with permission for folder creation e.g. HR who
are trained to do this. This has freed up IM staff somewhat.
Information
Topic 21 –
To increase maturity, the Ministry should create a
• Create a plan following the development of
May 2023
Implementation
plan to review all IT systems to ensure the ongoing
the Information Asset Register (IAR) - refer topic
of disposal
effectiveness of information disposal.
11.
decisions
The IAR will record all information repositories
including disposal functionality and
Official
effectiveness.
• Scope a project and contract resources to:
the 1) apply disposal authorities to information
migrated from shared drives to TARDIS and
2) transfer permanent electronic records to
Archives New Zealand and legally dispose of non
archival records.
under
Notes from
On hold. Have some physical records pending for when Archives is open again. This will be part of the work programme for the
Check in 1
new staff at some stage. Some physical records are ready and wating for transfer. It was recommended that the new staff
member when employed have a conversation with Archives to understand the requirements for digital transfer.
Page 4 of 5
Released
1982
Act
Information
Official
the
under
Page 5 of 5
Released
bestowed credibility and respect. Working on the recommendations has meant more
1982
engagement with key stakeholders across the organisation.
Act
Information
Official
the
under
Released
Action Plan to address key recommendations in the Public Records Act Audit 2021
Category
Topic Number
Auditor’s
Action
Recommendation
Governance
1. IM Strategy
Develop an IM
Prepare Strategy for
Strategy following
approval at the
Archives NZ’s
September 2021
Guidance
Board Meeting*
Update: 25
Strategy approved by the Board.
1982
March 2022
Governance
3. Governance
Once IM strategy
Include IM strategy
arrangements and
created, introduce
processes in Terms
Act
executive sponsor
regular board
of Reference of the
reporting
Audit and Risk
Committee*
Update: 25
Updated and approved Terms of Reference.
March 2022
Governance
5. Outsourced functions
Monitor roles and
Continue with
and collaborative
responsibilities in
regular monitoring
arrangements
the contract with
at project steering
Manaaki Whenua
group meetings
Information
Landcare Research
Update: 25
Current project with Manaaki Whenua due to be finalised and during
March 2022
finalisation meetings ownership and responsibilities for IP and records will
be documented.
Creation
10. Creation and capture of Review information
Creation of filing
information
and records
conventions to meet
Official
management policy
minimum metadata
and outline
requirements;
the
guidance on
evaluation of risk
creation and capture and security of
of information, in
physical records vs.
particular
shared drives vs.
information stored
Microsoft 365.
under
on personal and
Complete by June
network drives.
30th 2022
Consider moving
this to Microsoft 365
Update: 25
Preliminary work done. Statement of work requested from IT provider
March 2022
around IT security etc. In train and awaiting costing from provider. Next
step will be for contractor to advise on M365 set up to include retention
etc.
Released
Disposal
20. Current organisation
Develop an
Determine need for
specific disposal authorities organisation specific a specific authority
disposal authority
and begin
and gain Archives NZ preparation of any
approval
application by June
30th 2022
Update: 25
Started work on this before working on recommendation for Topic 10 as
March 2022
needed to evaluate records. Drafted the Disposal Authority and it is with
external stakeholders for comment until the end of March.
Disposal
21. Implementation of
Once organisation
Present any annual
disposal decisions
specific plan and
disposal plans to the
GDA’s are complete, Board in September
implement disposals
1982
regularly
Update: 25
Deferred until Disposal Authority work is completed.
March 2022
Act
* Completed 16 September 2021
Note: The disposal of records in December 2020 as raised in the Chief Archivist’s audit letter
dated 9 August 2021 has been separately assessed by Archives. Additional information was
supplied by Orillion and Archives New Zealand has closed this matter as we are satisfied
with the actions Orillion has taken to ensure its ongoing compliance with the Public Records
Act 2005 and the Information and records management standard.
Information
Official
the
under
Released
Topic 2 IM Policy
Update the IM policy to include
1. Engage with external consultant to
30 June 2022
1982
current legislation standards, IM
update our current policy to ensure it
systems and internal processes, staff
aligns with current legislation. 2. Link
and contractors’ roles and
the IM policy to other relevant
Act
responsibilities to reflect and instruct
policies such as risk management,
current IM processes
privacy, and security. 3. Communicate
these updates to staff clearly and
consistently through email,
centralised intranet, and meetings. 4.
Improve the induction process to
include an attestation by staff they
have read and understood their
obligations and responsibilities
outlined in the updated IM policy.
Information
Notes from Check in 1
Drafted a new IM Policy which is potentially too detailed. Reviewing all policies so will now review the draft within the
review of all policies. NZ on Air asked for a sample template and we suggested they ask the sector via the listserv –
send the link to join the listserv. Three staff were trained in the PRA by a contractor and one of the staff drafted the IM
Policy.
Topic 8 Capacity and Capability
Increase the availability of access to
1. Regular training provided to upskill
Ongoing
Official
IM expertise to support IM decision
all staff on IM systems and IM
making and responsibilities
decision making and responsibilities.
Ongoing 2. Appoint IM champions
the within the business, to provide IM
support and knowledge to staff, as
required. 3. Determine if additional
storage for the EDRMS is required
after conducting authorised disposal
under
actions and clutter reduction in the
EDRMS
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From the 3 staff trained 2 have left. NZ on Air asked where other training is available (although the contractor’s training
was good her availability is low). Send ALGIM training information.
Boxes on site have been sorted out, labelled and deduplicated. These physical records are now classified same as
digital records. Underestimated how long it would take. Internal staff did the wo k. Some physical records on site and
some at TIMG. Intend to have a good look at what needs to be stored at TIMG Emphasised that staff need to store
information on SharePoint and that is now happening more.
Topic 20 Current Organisation Specific Incorporate business and legislative
New disposal authority has been
Completed (Jan 2022)
Disposal Authorities
changes into the new disposal
completed and approved by Archives
authority
NZ
Notes from Check in 1
Internal staff worked on the DA. Probably won’t need to alter DA to fit new circumstances as it seems that the funding
will be transferred to the new media organisation but not any functions. Still under investigation depending on the
change coming and the new strategy.
Topic 21 Implementation of Disposal
Proactively dispose of information
1. Instigate project to audit current
31 December 2022
Decisions
that does not need to be retained
files to prepare a list of information
under the existing disposal authority
that does not need to be retained
and general disposal authority
under the existing disposal authority
and general disposal authority. 2.
Investigate appropriate software for
processing information stored on
EDRMS for appropriate action under
disposal authority.
Notes from Check in 1
As above have disposed of material (duplicates) from the storage boxes. Haven’t applied the DA as yet. From the
Broadcasting Act there is a role in archiving their material as well but unclear how this intersects with Archives role
under the PRA. Agreed to refer this to someone at Archives to discuss. Doesn’t seem that this was addressed when
working on the DA. Has arisen in this changing environment.
Sought a legal opinion recently on obligations in respect of data gathered by other agencies eg surveys by 3rd party
under the Official Information Act 1982
organisations. Expecting an opinion soon. Need to know because of the changing environment. Seeking clarity on who
is responsible for these records – are these public records or not and if so what needs to be done with maintaining
them?
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Topic 22 Transfer to Archives N
Urgently engage with Archives New
1. Evaluate the existing physical
31 December 2022
1982
Zealand re transfer of archival value
records held onsite to determine if
VHS and DVD media files
this information is of archival value. 2.
Implement a programme of assessing
Act
physical records held onsite and
offsite for archival value and list in
preparation for transfer to Archives 3.
Liaise with Archives NZ for
appropriate transfer
Notes from Check in 1
Some of these physical records are tapes, VHS…as above in Topic 21. Some audio and some visual.
Information
Official
the
under
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1982
Act
Information
Official Information Asset Register – collection column designed for use
during the IAR update project to collect initial view on relevancy
the
of information assets to Māori
under
#6809177
IN CONFIDENCE
FMA Archives NZ action plan
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Topic 5
Review all existing major
• This will mitigate
• This is a significant piece of work given
Maritime NZ is currently working with a former Safe Ship Management company
June 2022
Vessel records created
outsourced and
to obtain high-value records that were created under former regulatory egimes
under a former regulatory
Outsourced
the risk of further
current capacity across Information
collaborative contracts that
Following on from this a review of major outsourced contracts that produce hi h-
scheme will transfer to
functions and
may produce or contain
issues around the
Management and Procurement and is
value or high-risk information will be undertaken.
MNZ ownership at the
collaborative
high-risk/high-value
reported inability
an historical issue that relates
beginning of Nov 2022.
arrangements
Maritime NZ uses MBIE procurement and AOG model contracts which KPMG
information and identify
to recover records
predominantly to records created under
commented as having limited information management clauses. The requirement
Other high risk/high value
what information
created by third
former regulatory frameworks prior to
for managing information has been addressed for future out ourced and
contract records are still
management requirements
parties.
MOSS.
collaborative contracts by updating procurement documentation during a recent
to be identified – this
need to be addressed.
refresh.
work will progress in
parallel with the
development of the
information asset register.
Notes from
This is in conjunction with the work on identifying high-value/high-risk in the info asset register. Suggestion from Maritime that Archives New Zealand gets involved with MBIE and AoG contracts to improve the contract templates –
Check in 1
this would be a significant help to small organisations such as Maritime NZ who do not have many supporting staff in Procurement or Contracts area.
Topic 8
In consultation with
• Sufficient resource • An additional fixed-term Information
Maritime NZ currently has 2 FTE roles with dedicated Information Management
June 2022
Two information
information management
responsibilities (one permanent and one fixed-term). With ongoing organisational
management FTEs were
Capacity and
is needed to
Management position (1FTE) was set in
staff, analyse capacity
growth there will b a need to make the additional role permanent which will
recruited in July 2022 – 1
Capability
requirements to ensure that
improve maturity
place in 2020 utilising temporary
occur through funding uplift anticipated in 2022/23. Prior to any additional
x Senior Advisor
continuous improvement for
across the many
funding. More recently the incumbent
allocation analysis of capacity will be undertaken and aligned to information
Information Management,
information management is
facets of IM and
Business and Information Systems
strategy and organisational intent.
and 1 x Advisor
supported in the business.
across the
Lead positon (1FTE) who led the PRA
Information Management
Incorporate this when
and Systems Training.
organisation.
Audit engagement, has indicated his
developing the strategy
MNZ also have a Senior
(refer Topic 1 – IM
resignation. There will be an
Information Management
Strategy).
opportunity to re-shape and focus the
Advisor contractor that
role to take a stronger thought and
will be updating our
organisational leadership role acr ss
Information Management
policies.
information management practice Both
these positions are situated within a
redesigned Business Systems
Additional contractor
Platforms and Data team that was
resource has been
approved for the disposal
given effect to in July 2021.
authority and information
asset register projects.
Notes from
Current staffing. - 2FTE permanent and part of a role fixed term. Kath rine and the other full-time person on board in July after a bit of a gap. Question from Maritime about what a good staffing level looks like for their size
Check in 1
regulatory organisation? We don’t have a view on that yet but may h ve one in the future – it is data collected by our annual survey and we have 3 years of data now. They asked is the survey continuing - we are assessing how
often either annually or biennially. The sector will be advised. Talked about everyone in the organisation being responsible for IM – distributed responsibility with regular training to lift their maturity. Regular refresher training is a
big part of their roadmap.
Topic 11
Create an information asset • This will be a
• An embryonic information asset register Work had already commenced developing an information asset register to
December
See Topic 20 –
register which identifies the
identify high-value/high-risk information and support longer term management of
2022
development of an
High-value/
useful adjunct to
has been developed management but
under the Official Information Act 1982
information that is high-
this information as part of discovery activity in support of establishing a refreshed
information asset register
high-risk
value or high-risk to MNZ
work on Topic 20.
further work had been deferred due to
retention and disposal schedule. This work will be re-invigorated and become a
will begin in November.
information
and develop a plan for the
other priorities and capacity constraints.
key task for the re-shaped Business and Information Systems Lead positon.
long-term management of
this information. This could
be performed in line with an
organisation-specific
disposal authority (refer
Topic 20 – Current
organisation-specific
disposal authorities).
Released
Notes from
Internal staff will be working in close collaboration with the external contractor while the project of creating a DA and info asset register are in progress.
Check in 1
Topic 14
Create and document a
• There is a risk that • Maritime NZ advised KPMG that the
Work to develop a plan for managing and maintaining digital information will be
December
A plan for managing and
plan for managing and
undertaken in parallel with the development of an information asset register.
2023
maintaining digital
Information
there will be loss
metadata for physical records stored
maintaining digital
information currently
maintenance
information currently
of information held
offsite is of variable quality, which can
located in historical data
and
located in historical data
on CDs and DVDs
cause issues with file retrieval. Physical
formats will be
accessibility
formats. Create and
due to
files are securely stored, the variable
progressed during the
document a similar plan for
deterioration of
quality of metadata means that in some
development of the
managing and maintaining
information asset register.
these physical
cases, physical checks need to occur
physical information and
investigate the possibility of
formats and is
before files can be retrieved or
this information being
especially critical
disposed of.
digitised in an accessible
is this information
format.
is high-value/high-
risk.
Notes from
Disparate systems have been used in the past – integration is very expensive and for example software as a service typically comes from external providers and doesn’t help with integration. On top of that format inaccessibility of
Check in 1
DVDs and USB sticks. Some parts of the sector don’t move as quickly as others with technology e.g. regional shipping companies and investigation or inspection results. may still be in physical format and small fishing vessels are
unlikely to be high tech. There is the challenge to integrate all parts of the sector. Things are improving now with file sharing mechanisms. Part of the work for this topic is discovery of where high value records are – going though
old software and finding what is there. Doing this for all legacy technology with a focus on high value information. For ex mple an old system Actionstep has been assessed and high value data has been migrated. Beginning of
2024/25 focus on digital information on physical format. A lot of different areas of the business send files off site so calling things back to gain more control. The work for this topic is firstly to develop a plan on how to proceed.
under the Official Information Act 1982
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4
National Office
71 Great South Road
Epsom, Auckland
Tel. (09) 523 5752
www.nzblood.co.nz
14 March 2022
Stephen Clarke
Chief Archivist - Kaipupuri Matua
1982
Archives New Zealand - Te Rua Mahara o te Kāwanatanga
10 Mulgrave Street
Wellington
Act
Tēnā koe Stephen,
Public Records Act Audit Actions
In reference to your letter dated 17 August 2021
As Executive Sponsor for New Zealand Blood and Organ Service of Information Management, I
have reviewed the recommendations outlined in your letter and we have created an Information
Management Action Plan within New Zealand Blood and Organ Service. This action plan is
outlined further in this communication.
Information
We are pleased to report actions outlined in this plan are in progress and dedicated information
management resource is now in place to proceed with these actions across the organisation.
The next key milestone in this action plan is the adoption of the NZBOS Information Management
Strategy which takes into consideration the 22 recommendations from the audit that will improve
our IM maturity.
Official
I look forward to the follow-up process from Archives New Zealand Te Rua Mahara o te
Kāwanatanga in regards this action plan.
the
Yours sincerely,
under
Fidelma Murphy
Director, Quality and Regulatory Affairs and Privacy Officer
New Zealand Blood and Organ Service
Released
1982
Topic 3
Establish an information governance group, which NZBS has developed an internal Information
In Progress
Governance
includes the Executive Sponsor, that can
Management Governance Group which includes
arrangements
champion information management within
the Executive Sponsor and other applicable
Date for
Act
and Executive
NZBOS.
Executive and colleague representation. Terms of
Completion
Sponsor
Reference are now being developed and the first
end of May
meeting will take place in May 2022.
2022.
Topic 8 Capacity NZBOS should ensure that information
NZBOS are currently recruiting to an Information
In Progress
and capability
management staff (including subsequent new
Management lead, once in post NZBS commit to
recruits) have regular access to information
ensuring that they have regular access to
management related training and professional
processional development opportunities. As an
development opportunities. This will equip staff
interim measure NZBS have recruited a specialist
Date for
Information
with the appropriate training to support
IM Consultant to support information management Completion
information management initiatives and
initiatives and activities.
end of July
activities.
2022.
Topic 14
To increase maturity, NZBOS should ensure that
NZBOS will embed two deliverables into the NZBOS
In Progress
Information
strategies for managing and maintaining
project methodology. A ‘Data and Information
Official
maintenance
information is routinely part of the planning for
Strategy; and/or a ‘Data and Information Plan’ will
and
any business and system change.
be a consideration for project implementation.
the
accessibility
Date for
As part of the in-flight Donor Relationship
Completion
Management project, where an aging system is
end of July
getting replaced, these template deliverables will
2022.
be created and used. They will then be
under
incorporated into the NZBOS project methodology.
Released
Topic 18
To increase maturity, NZBOS should retire the
NZBOS are currently working on the development
In progress
Information
shared network drives as their document
of an ECM across the organisation with an external
access, use and
management system and implement an ECM
provider, this is a significant piece of work and will
sharing
system. This will ensure functions such as search
be planned over several years.
options, audit trails and minimum metadata
Date for
requirements are available to support the
A pilot site has been developed as a proof of
Completion
management of information.
concept and NZBS are now working towards
End of
implementation of this pilot site into operational
December
use.
2022 for first
2 candidates.
There will be 2 identified candidate areas
implemented into the ECM by the end of calendar
year 2022 The identified candidates are likely to
be the ‘Project Management’ and ‘Clinical Letters’
documentation.
Additional candidates are also being identified to
create a backlog of initiatives and each will need to
be analysed for the approach to documentation
migration and archiving. It is envisaged that this
will be an ongoing task multiyear task and require
prioritisation throughout.
Topic 21
Assign information management resources to
NZBOS are currently recruiting to an Information
Completed
Implementation ensure implementation of disposal actions is
Management lead position. As we complete the
February
of disposal
routinely carried out.
permanent employee recruitment, we have
2022
under the Official Information Act 1982
decisions
employed the services of an IM consultant to
commence the IM actions across the organisation.
Released
A key area of responsibility will be to lead on the
1982
implementation of disposal actions in line with the
Public Records Act requirement and the NZBS
Disposal Authority.
Act
Information
Official
the
under
Released
23/03/2022
Stephen Clarke
Chief Archivist
Archives New Zealand
Tēnā koe Stephen,
In response to the Public Records Audit that was undertaken of the New Zealand Fish and
Game Council in 2021 we have prepared an action plan that attempts to address the key
findings of the audit.
The audit recommended 5 key actions:
• Developing an IM policy;
• Review information management requirements for outsourced functions and
collaborative agreements;
• Analyse staff capacity to ensure that continuous improvement is supported;
• Create standardised information management requirements for business systems;
• Develop and organisation-specific disposal authority.
In considering our response to the audit we have been in contact with several information
management professionals who we will, as a result of our internal capacity, be contracting to
undertake the actioning of the audit recommendations.
As a public organisation that derives our funding from the sale of angling and hunting licences
we need to spread the financial cost of actioning these recommendations over a number of
years. Our intention is therefore to undertake one key action per year (it may be possible to
incorporate two or three of these into one financial year depending on the cost), commencing
with the preparation of a disposal authority this year. We are currently in the final stages of
securing internal funding to undertake this piece of work. The disposal authority has been
selected as the starting point because it is seen to have the most application and value to the
under the Official Information Act 1982
wider Fish and Game organisation given the archival records we hold.
Our action plan for the next three years is as follows:
• 2022: Contract with external provider for creation of disposal authority.
• 2023: Contract with external provider for creation of IM policy.
• 2024: Contract with external provider for review of outsourced functions.
We would appreciate any views or feedback you might have on our approach.
Released
Nāku iti noa, nā
Information Management Action Plan
This action plan has been prepared to address recommendations made by the Chief Archivist from an audit carried out under section 33 of the Public Records Act 2005.
Organisation: New Zealand Fish and Game Council
Date of audit: 31/05 – 1/06/2021
Prepared by:
Date audit plan prepared: 23/03/2022 – note the action plan was received in letter
Brian Anderton, Acting Chief Executive and Jack Kos Executive Sponsor
form and has been copied onto this format.
Topic
Audit recommendation
Planned action
Person Responsible
Target completion
date
2: IM policy
Develop an information management policy
Contract with external provider for crea ion of IM policy
2023
and processes
and associated process documents that
planned.
provide formal information management
guidance to staff. The policy should support
the information management strategy (Refer
Topic 1 – IM Strategy). IT should include roles
and responsibilities, align to Archives New
Zealand’s standard and requirements, and
relevant legislation.
Progress report
Assuming that all goes well with the DA they are anticipating including this in the budget round next April. This will also be done by a contractor.
for first check in
25/10/2022
Final report
5: Outsourced
The Council should review information
Contract with external provider for review of outsourced
2024
functions and
management requirements for all outsourced
functions planned.
collaborative
functions and collaborative agreements ha
arrangements
create public records and include them as
appropriate in all new contracts going forward.
under the Official Information Act 1982
Progress report
Same as above but for the following year.
for first check in
25/10/2022 Final report
8: Capacity and Analyse staff capacity to ensure that
No action planned at present. This is due to the size of the
capability
continuous improvement is supported
organisation and IM priorities.
whether by internal staff or contracted
Released
resource. Incorporate this when developing
the strategy (refer Topic 1 – IM Strategy).
Progress report
for first check in
25/10/2022 Final report
12: IM
IM expertise is needed to create standardised
No action planned at present. This is due to the size of the
requirements
information management requirements for
organisation and IM priorities.
built into
new and upgraded business systems including
technology
meeting minimum metadata requirements
systems
where applicable. These should be included in
information management procedures
documents, in connection with Topic 2 – IM
policy and processes.
Progress report
for first check in
25/10/2022 Final report
20: Current
Develop an organisation-specific disposal
Contract with external provider for creation of disposal
2022
organisation-
authority covering business functions and
authority now in progress.
specific
formats that is approved by Archives New
disposal
Zealand.
authorities
Progress report
Update from Jack Kos – “In terms of progress against our action plan, we set one target for 2022 which was to contract with an external provider to create a
for first check in
disposal authority. I can confirm that we have contracted with Miranda Welch, who is currently partway through the process of preparing the DA. She has
25/10/2022
conducted her site visit of our office, and is in the process of visiting a regional Fish and Game Council”. Regional Councils are legally separate entities but
opportunity to scope them in. Expecting to inalise DA early next year after the consultation process. Once the DA is approved will look at getting some help
from contractor to spread the word to the regions. Confirmed that Archives are not able to accept any physical transfers until probably 2026 but that
organisations can prepare for transfer so that they are ready when we are open. We discussed digital transfers and that we are open to discussion about that at
any time.
under the Official Information Act 1982
Final report
25/10/2022 General comment: new Chief Executive but down a few staff while the office is re-structured. Organisation had a review last year and that is in the process of being
implemented but still in consultation with the Minister – could mean some changes to IM as it conceivably means changes at the national level. Jack will see how that pans out and
there may need to be changes to the IM policy but probably not until 2024.
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