Alison Fleming Michael Upton Collaborating for Success


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Collaborating for Success
– the New Zealand Government Digital Archive experience
Alison Fleming Michael Upton

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  • In May 2010 Cabinet approved a business case for NZD 12.6 million to enable Archives NZ to implement the Government Digital Archive over a three year period, building on the good work already done by the National Library in implementing a digital repository as part of their National Digital Heritage Archive programme. We are now approximately at the half way point, and today would like to share with you some key elements of this journey. Like all journeys, this one has been shaped and influenced by its context…. *
  • * In New Zealand public agencies all have obligations under the 2005 Public Records Act to create and maintain full and accurate records, maintain them in accessible form, and transfer those that need to be kept long term to an approved repository. They include over 2000 schools plus tertiary education institutions, local government authorities, health boards, State Owned Enterprises, Crown Research Institutes as well as core public sector organisations. * Archives NZ, a part of the Department of Internal Affairs, already holds a significant amount of public records of long term importance…and has for some time been working with the NZ public sector on how to ensure digital records of importance are not lost to future generations
  • In July 2009 Cabinet approved the Digital Continuity Action Plan, which set out an agenda for the public sector to ensure our digital public records were secured now, and for the long term where appropriate. Implementing the Government Digital Archive is just one initiative within this overall plan.
  • However, like most public servants around the world, we are managing in challenging times, as our government responds to the world wide financial crisis by making tough decisions that are reducing the size of the public sector and requiring very strong focus on cost management and efficiency. At the same time there continues to be strong emphasis on meeting citizen’s expectations, including increasingly doing that online – with themes of data reuse, 24x7 availability and self service amongst others commonly mentioned. Of course this affects not only how we are approaching the programme, but also the way in which government agencies are willing and interested in participating. Through it all though is a strong recognition that attending to the potential future digital black hole will not wait.
  • So what is GDAP ? Well it is essentially a programme of work to transform the capability of Archives NZ, so that we can support and manage digital alongside our ongoing non-digital archival responsibilities. This includes being ready to provide the necessary advice, support and services to our agencies (as both suppliers and users of this information) and also public consumers of digital archives long term. * What does that mean ? A GDA is often thought of as basically a giant data warehouse for putting records in, and it is true that there is a strong technical systems component…some of the key elements are shown in this diagram. * On the left there are producers of government information; only some of this information will be identified as having long term archival value. That will be packaged for transfer, checked on reception, and placed into a specialist repository. Metadata that allows us to manage that content long term, and to make it discoverable to users allowed to see it will be extracted and stored. Discovery and display tools for both individuals and applications will be required, along with secure access that allows appropriate people to access restricted material. Over time as digital formats become obsolete, digital content will need to be migrated, placed in an emulated environment or have other actions taken to ensure it continues to be accessible and usable over the decades. And of course the large volumes involved require significant server and storage infrastructure. Some of these are things we have in common with the National Library and will be jointly doing together. *
  • But it includes far more than that. At each step we need to think through the policy and processes required, the advice we need to give, how people will learn about the new approaches. For example: What is the minimum metadata that agencies must collect at time of creation to ensure this information can be found and understood by future generations if required ? How do we go about the process of appraising digital records ? What format will digital transfers need to be in ? How will agencies manage digital records after they have been transferred ? What new metadata do we need to describe digital archives ? How do we manage access to confidential or classified material so those (and only those) that are allowed to see it can
  • *
  • In setting up the GDAP we adopted right from the start the approach of being benefits led. Knowing who the key interested parties are, identifying what is important for them to get out of this work, and ensuring we remain focussed on those outcomes in all our decision making and activity is fundamental to programme. * [pause] These original outcomes came from the Business case to Cabinet; we have then worked with the various stakeholder groups to further refine these, including how we would measure success. This benefits/outcomes focus has ensured that, as much as possible within constraints of our environment, we have taken a highly collaborative approach with stakeholders within and outside Archives. [Michael]
  • Within Archives NZ The changes we’re seeking need to be agreed upon and embedded right through how Archives operates. Learn from business what we need to deliver They can learn from us about specialist knowledge needed to be capable to deliver Plus we learn from each other how to make the changes needed Within our government department, Internal Affairs. Leveraging existing infrastructure, sharing the digital repository software Rosetta Learning from previous experience, from existing expertise IT services - not just archive, transfer mechanisms too Agencies Should be obvious, but in order to keep the focus on what the benefits will be to public sector, need to engage a lot with agencies. Many formal and informal mechanisms, at least one of which I’ll give some detail on later. Researchers / public One of our client groups is the public who access what will be in the archive Peer organisations other archives, international peer review, digital preservation research community, universities Being here!
  • One of the big benefits of collaboration, is that people actually talk to you. And if you’re lucky you get to hear about all the things they’re concerned about, which has the abvious flow on lack of knowledge/understanding (continual questions re why we need this, why can’t agencies just keep their own stuff, haven’t we got enough databases already) agencies of different sizes / sophistication / resources have different priorities and needs pressures on agencies and Archives from amalgamations
  • libraries and archives do not think or act the same way lack of specialist DP understanding, in both agencies & ANZ (and even internationally everyone still feeling their way) So collaboration helps us not only identify these risks & challenges but work to address them as much as we can. Let’s look at a specific example of one kind of collaboration.
  • We’ve identified 5 agencies to take part in pilot transfers to the digital archive. They are not sending random junk – these are real transfers, in the sense that we are following the new, draft, transfer processes through from appraisal and access restrictions, through the technical issues of getting content to Archives New Zealand, past ingest to application of access restrictions. So when I say “pilot” it’s not in the sense of solely technical testing, but of all that end-to-end, bigger picture stuff that Alison touched on in her earlier slides. How easy is the transfer process? How flexible is it? Who has the ultimate responsibility at various points in the process? I mentioned the challenge presented by organisations dissolving or merging. In the case of the two Royal Commissions of Inquiry, they are finite entities. They exist due to some wider or quite deep public interest in the subjects of each Inquiry. There are obvious, easy to articulate risks here. What if we cannot take their records? What if we can’t serve up the records we have taken to interested parties? What if we make restricted access material available to the whole universe? Harrowing scenes of those killed in the earthquakes, or material that could prejudice ongoing legal action? So the pilot transfers give us an opportunity to invest some effort into tackling these risks as soon as we can. How do we ensure we can take their records? The developers need to do their bit, but we also need to work with those pilot agencies as closely as possible – we need to understand what they have, their systems, their capability. We need to communicate to them clear steps and requirements. If there are obstacles
  • Metadata exports for transfer Consistent digital & physical processes Regular, routine transfers IT & records management working together More detailed, flexible description Agency access to their archived records Open access digital records a click away Ongoing digital preservation
  • It’s not always easy But we have come a long way already There will hopefully be some good moments along the way (those are grapevines and vineyards on each side!) And best of all, we are not alone on this journey ! There are lots of keen, capable, fit people involved.
  • Alison Fleming Michael Upton Collaborating for Success

    1. 1. Collaborating for Success– the New ZealandGovernment Digital ArchiveexperienceAlison Fleming, Michael UptonArchives New ZealandFuture Perfect Conference26-27 March 2012Wellington, NZ
    2. 2. New Zealand Public Sector - archiving context 2 0 p b ica e c sw h 5 0 u l g n ie it o l a io su d rt e b ig t n n e h P b icR c r sA t 0 5 ul eo d c 2 0 Archives New Zealand today 9 k o e r so p p ra c iv s 6 il m t e f a e r h e 2 m l np o o r p icn g t e .4 il io h t g a h e a iv s a dp in s n r t 5 2 0 m p , b u p in sa dp a s 5 ,0 0 a s l e r t n l n 2 ,5 0r e so f m 1 0 e l f il 1 4 w r so a t ,5 5 o k f r 1 0 v e tps ,0 0 id o a e 4r g n l e o it r s o f e e io a r p s o ie / f ic s 33 Tbs of digitised records 1 digital repository
    3. 3. New Zealand Public Sector – digital continuitycontext Goal 3: Infrastructure • Iv s ig t s a e n e t ae h r d s r ic f rs o a eo ev e o trg f d it l f r a io ig a in o m t n • E s r Ne Z a a d n u e w eln g v r mn h s o en et a c m r h n iv d it l o p e e s e ig a a c iv gc p b it r h in a a il y
    4. 4. New Zealand Public Sector - operating context• Agency amalgamations• Down-sizing, staff ceilings• Budget cuts• Shared services to achieve greater efficiency• Meeting citizen’s expectations• New Chief Archivist, National Librarian• Amalgamation into Department of Internal Affairs
    5. 5. Government Digital Archive – technical systems AGENCIES s lc e ee td d it l ig a WEB APPS in o m t n f r a io ARCHWAY u r sr td n e t ic e Agency tools it m es sa d r tn a d Search & display ta se r n fr in e l c t le t CONTENT fra fe o m t il ul a AGGREGATORS mt d t ea aa tools Archives’ transfer / ingest d it l ig a processes Identity/ Access c ne o tn r sr td t& Digital e t ic e it m tc n e h ic Repository AGENCIES es al mt d ea a s lc e ee td ta d it e c p s ig is d o ie P eevt r s r ai on po ess r cse sc r eue lg n o o ; Data storage & server aec gn y PUBLIC infrastructure l k t in s o USERSAGENCIES or “t e ” h ir rc r eo d ARCHIVES s a e w hNDH ( t n l s h r d it A Na io a L r r ) s p o t db GT ib a y, u p r e y S
    6. 6. But a GDA is much more … Digital RK AGENCIES processes, Archives control s lc e ee td advice d it l ig a / description WEB APPS in o m t n f r a io ARCHWAY standards and u r sr td n e t ic e Agency tools processes Online it m es sa d r tn a d services Search & display ta se r n fr in e l c t le t CONTENT and ingest strategy – processes ul a policy and processes fra fe o m t il AGGREGATORS Transfer Appraisal policies and mt d t ea aa processes public users tools Archives’ Access transfer / ingest d it l ig a processes Identity/ Access c ne o tn r sr td t& Digital e t ic e it m tc n e h ic Repository AGENCIES es al mt d ea a s lc e ee td ta d it e c p s ig is d o ie Digital P eevt r s r ai preservation Digitisation on Online strategy & policies e r c s and po ess sc r eue lg n o o ; services processes processes PUBLIC Data storage & server aec gn y strategy - infrastructure l k t in s o USERSAGENCIES or “t e ” h ir agencies rc r eo d ARCHIVES s a e w hNDH ( t n l s h r d it A Na io a L r r ) s p o t db GT ib a y, u p r e y S
    7. 7. GDAP delivery phases (approximate!) Phase 1 May 2012 Phase 2 late 2012 Phase 3 mid 2013• B s d it l a e ig a • A e c d it l g n y ig a • A ec acs t g n y c es or p s o y it e o it r w h t a s e s in l d g r n f r , c u in o nr s r t d w e t ic ein e t r c s e g s po ess t o s&s p o t o l u p r. it m . esf rd it e o ig is d • B s A ec a ic g n yrc r s eo d. • Dig a r p s o y it l e o it r w rbn h o kec . w hc m l xin e t • Ie t y c e s it o p e g s d n it a c s• A c iv s rh e po ess r cse m n g mn . aaeetp o e s&d t r cs aa f rt a s e s o r n fr . • Dig a it lm d l e e ig . o e rds n peevt n r s r a io • P b ica c s t u l c es o c p b it . a a il y ta serd r n fr e Ongoing agency conversations &e d it l process transformation u r s r t d ig a n e t ic Archives NZ a c iv s r h e.
    8. 8. The GDAP approach – benefits led Citizens Public Sector Archives / National Agencies Library• Ic e s d n rae • R d c dl s o eu e o s f • A il y om e b it t e t es o a c s ae f c es im o t n p ra t sauo y ttt r in o m t n f r a io o l a io s b ig t n• Co f e c in n id n e g v r mn o en et • R d c dc s o eu e o t f • R d c din iv u l e u e d id a m in a e a t in d p o id ga c s r v in c e s c ss ot• P t n ia f r oet l o • R d c dc s o eu e o t f • L v r g o NDHA eea e f h r o is d amn e l n tr p p r o g em ae k o l d ea d n we g n acs c es so a e trg epr n e x e ie c• Ic e s d n rae • A e c c n id n e gn y o f ec • A il y o b it t a il y o b it t f rp a n gd it l o l n in ig a in l e c fu n e rue es ta ses r n fr s fw r o t ae •Rdcd eu e d vl p e t e e o mn d p ic t no u l a io f • R d c dl n t r eu e o g em g v r mn o en et e p n io o p p r xa s n f a e in e t e t v s mn s o a ef c it s t r g a il ie
    9. 9. Collaboration AgenciesNational Library NZ, Government R f r n eg o p ee e c r u ,Technology Services Dig a Co t u y it l n in it A t nP a , c io l n ta se po es r n fr r c s ds n e ig , R s ta o et, t o sa ds p o t o l n u p r,in r s r c u e fatu tr Archives New Zealand p o ta ses il t r n f r , , md m l n t r e iu / o g e m I s r ic s T ev e D it l ig a t a s e pa n g r n f r l n in A c iv rh e P o rm rgam e Researchers / Public PeersR f r n eg o p , eee c r u ss a c p o t ia , e r h il t r l It r a io a nen t n l fe b c ed a k rsac eer h c m u it , o mn y o h ra c iv s te r h e, pe rv w e r e ie , u iv r it s n e s ie
    10. 10. Risks and challenges“W a ’st ep in ? y g n y a l o ht h o tM aec cn o k a t rit f e .” “B t y g n y a 1 s a f u m a e c h s 0 t f !” v. s “B t y g n y a 1 ,0 0s a f u m a e c h s 0 0 t f !” “M o g n a io w n e is a t r y r a is t n o ’t x t f e J n . He p ue l !”
    11. 11. Risks and challenges “P o l h v ar h t s e e p e a e ig t o e e e y h gw h v .” v r t in e ae v.s “W m s m n g r s r t da c s e u t a a e e t ic e c e s a c iv sf rd c d s r h e o e a e .” “T o eg l CDsd n w r . Cl u h s od id ’t o k od s o a e” trg?
    12. 12. Pilot transfers The Private Office of the Prime Minister Royal Commission on the Pike River Coal Mine Tragedy
    13. 13. What’s going to be different?It g a e d it l n p y ic l r c s en e r t d ig a a d h s a p o e s sM t d t e p r sf rt a s e ea aa xo t o r n f rR g l r r u in t a s e s e ua , o t e r n frI a dr c r sm n g m n w r in t g t eT n e o d a a e e t o k g o eh rM r d t il d f e ib ed s r t n o e e a e , l x l e c ip ioA e c a c s t t e a c iv dr c r s g n y c e s o h ir r h e e o dOp na c s d it l e o d ac ic a a e c e s ig a r c r s l k w yOn o g a t ed it l r s r a io g in , c iv ig a p e e v t n
    14. 14. This truly is a journey Co l b r t nisa o t c ie in l a o a io bu ah v g s m t in t g t e , f rt eb n f o o e h g o e h r o h e e it f al tkh l e s l sa e o d r .
    15. 15. Where can I find out more?