Disposal Authority Report For Crown Research Institute Scion
←
→
Page content transcription
If your browser does not render page correctly, please read the page content below
Disposal Authority Report
For
Crown Research Institute Scion
Prepared By: [Name removed]
Date: 12 December 2011
Version: V1.4
Status: Final Draft
1Table of Contents
1.0 Document Version History ................................................................................................ 3
2.0 Approvals and Sign-Off ..................................................................................................... 4
3.0 Executive Summary ........................................................................................................... 5
3.1 About Scion .................................................................................................................. 5
3.2 Schedule Overview....................................................................................................... 6
4.0 Appraisal Circumstances .................................................................................................. 8
5.0 Agency Information............................................................................................................ 9
5.1 Agency Functions ......................................................................................................... 9
6.0 Recordkeeping Environment........................................................................................... 11
6.0.1 Paper Environment ..................................................................................................... 11
6.0.2 Electronic Environment ............................................................................................... 11
6.1 Classification .............................................................................................................. 12
6.2 Format and Quantity ................................................................................................... 12
6.2.1 Business Development and Investment ...................................................................... 13
6.2.2 Science Delivery ......................................................................................................... 13
6.2.3 Contracts .................................................................................................................... 14
6.2.4 Science Services and Consultancy ............................................................................. 15
6.2.5 Commercialisation ...................................................................................................... 16
6.2.6 Database/Data Repository Management .................................................................... 16
6.2.7 Software Application Management ............................................................................. 17
6.2.8 Collection Management .............................................................................................. 17
6.2.9 Quality Assurance, Compliance and Accreditation...................................................... 19
6.2.10 Intellectual Property and Patents ................................................................................ 19
6.2.11 Leading the Business ................................................................................................. 20
6.2.12 Managing Relationships.............................................................................................. 20
7.0 Methodology..................................................................................................................... 21
7.1 Approach .................................................................................................................... 21
7.1.1 Examination of Existing Schedules and Authorities..................................................... 21
7.1.2 Internal Consultation................................................................................................... 22
7.1.3 External Consultation.................................................................................................. 22
7.1.4 Draft Review by Archives New Zealand ...................................................................... 22
7.2 Scope of Schedule...................................................................................................... 22
7.2.1 Inclusions.................................................................................................................... 22
7.2.2 Exclusions .................................................................................................................. 22
8.0 Relevant Precedent .......................................................................................................... 23
8.1 Existing Scion Schedule ............................................................................................. 23
8.2 Existing Crown Research Institute Retention and Disposal Schedules ....................... 23
9.0 Disposal Criteria............................................................................................................... 24
10.0 Classes of Records and Recommendations .................................................................. 26
10.1 Business Development and Investment ...................................................................... 26
10.2 Science Delivery ......................................................................................................... 27
10.3 Contracts .................................................................................................................... 29
10.4 Science Services and Consultancy ............................................................................. 31
10.5 Commercialisation ...................................................................................................... 32
10.6 Database/Data Repository Management .................................................................... 32
10.7 Software Application Management ............................................................................. 33
10.8 Collection Management .............................................................................................. 34
10.9 Quality Assurance, Compliance and Accreditation...................................................... 35
10.10 Intellectual Property & Patents.................................................................................... 35
10.11 Leading the Business ................................................................................................. 37
10.12 Managing Relationships.............................................................................................. 38
11.0 Access Recommendations .............................................................................................. 39
12.0 Transfer Arrangements.................................................................................................... 40
12.0 Appendix One – List of Stakeholders Contacted for Feedback .................................... 41
21.0 Document Version History
Modification history for this document is below and records both minor and major version updates.
Name Release Date Modification Details New Version
[Name removed] 23/06/2011 Initial draft created v1.0
[Name removed] 24/06/2011 Internal review editing v1.1
[Name removed] 31/10/2011 Changes based on: v1.2
- First draft feedback received from
Archives New Zealand
- Feedback received through the additional
internal consultation process
- Feedback received through the external
consultation process
[Name removed] 15/11/2011 Section 6.2.2 – Addition v1.3
[Name removed] 16/11/2011 Minor alterations as per recommendations v1.4
by Archives New Zealand:
- Removal of personal details
- Formatting changes for classes 8.1 and
8.5
- Section 10.4 additional explanatory
sentence with regards to the
recommended retention period.
32.0 Approvals and Sign-Off
Signoff signifies authorisation for submission to Archives New Zealand in order to commence the
next phase of the reviewing process before its final approval by the Chief Archivist.
Name Title Signature Date
[Name removed] Scion Signed 30/05/2011
Knowledge Centre
Manager
[Name removed] Scion Signed 30/05/2011
Records & Information
Management Officer
[Name removed] Scion Signed 30/05/2011
Archivist
[Name removed] (CEO)
[Name removed] (GM Corporate Services)
[Name removed]
[Name removed] Scion
[Name removed] Executive Management Signed 20/06/2011
[Name removed] Team
[Name removed]
[Name removed]
[Name removed]
4Public Office: New Zealand Forest Research Institute Limited, trading as Scion
Date: 31 October 2011
Contact: [Name removed]
Author: [Name removed]
Disposal Type: Continuing class based schedule
Coverage: All inherited records from the State Forest Service and New Zealand Forest
Service (pre 1992 when Crown Research Institute Scion was established),
Scion, ATLAS Technologies, Veritec records.
Scope: Hard copy and electronic records inherited from the State Forest Service
the New Zealand Forest Service, hard copy and electronic records created
by Scion, ATLAS Technologies, Veritec in carrying out its core functions.
Administrative (includes financials, HR and corporate) records will be
sentenced under the relevant GDAs 1, 2, 3, 4.
3.0 Executive Summary
3.1 About Scion
Firstly, a brief historical timeline leading up to the establishment of the New Zealand Forest
Institute Limited (trading as Scion):
1. 1920-46: The period before the setting up of the Forest Research Institute. During this
time, a considerable amount of research was initiated by the Forest Service, but the work
was done mainly by other agencies. A number of ad hoc Experiments Stations were set
up to study aspects of the management of natural forest, and progress was made in
understanding its ecology. Comprehensive pulp and papermaking trials were carried out
in the United States and considerable progress was made in establishing the properties
and suitable uses of both indigenous and exotic timbers. The Depression of the late
1920s to early 1930s caused great disruption to government programmes, and research
thereafter was restricted until after World War II.
2. 1947-84: This was a period of centralisation of research, firstly at the Experiment Station
in Rotorua. The Experiment Station was re-named the Forest Research Institute, and
later expanded to include a Forest and Range Experiment Station (FRES) at Rangiora in
the South Island. This was an era of rapid expansion, not only staff numbers, but also in
the diversity and depth of research, with coverage across the whole field of forestry –
growing, utilisation, and protection.
3. 1984-92: The era of intensive science (and overall economic) reform in New Zealand.
This period was characterised by a reduction in Government funding of research, and the
introduction of a ‘user pays’ system. Several reviews of Government funding culminated
in a new, contestable funding mechanism and these changes had a great impact on all
the research establishments, including FRI.
4. 1992 on: This period has brought the final step in the reform process with the
reorganisation of Government Science into ten, stand-alone Crown Research Institutes.
For Forest Research Institute, this involved the splitting away of most of the Protection
5Forestry research group which became part of the Manaaki Whenua-Landcare Research
Crown Research Institute1. In 2006 the Forest Research Institute Divisions covering
commercial forest growing and utilisation research were reconstituted as the Crown
Research Institute, New Zealand Forest Research Institute Ltd.
Note: All inherited records relating to these time periods are covered under this disposal
authority.
This leads up today. New Zealand Forest Research Institute Limited (trading as Scion), is a
Crown Research Institute.
Scion is dedicated to building the international competitiveness of the New Zealand forest
industry and building a stronger biobased economy.
Scion’s head office is located in Rotorua, with a staff of approximately 340 staff and where
the National Forestry Library is located. A second office is located in Christchurch, on the
University of Canterbury campus; with a staff of 22. Scion has two further offices that are
located in Wellington and Auckland, with teams of specialised staff2.
Note: Scion will be the organisational name mentioned in this document, except when
quoting sections from Scion’s website.
3.2 Schedule Overview
The Public Records Act 2005 clarified the position of records in terms of Crown Research
Institutes and now formally covers all records created by Crown Research Institutes.
To ensure consistency between Scion’s ‘sister Crown Research Institutes’, AgResearch
(DA449), Landcare Research (DA390) and Environmental Science and Research (ESR)
(DA346), disposal authorities were considered in the development of Scion’s Retention and
Disposal schedule and associated Appraisal Report.
Although it is important to have commonality between each Crown Research Institute in
terms of agency retention periods and disposal actions especially on common record
sets/classes, it is important to remember that Scion is an entity/organisation with its own
identity, culture and business practices and ask such we have ensured the retention
schedule and appraisal report meets Scion’s business, and record management needs.
The records covered in this disposal authority encompass all hardcopy and electronic
records inherited, created and received by Scion with the exception records which are
covered by General Disposal Authorities 1, 2, 3 and 4.
In addition, Scion’s Authority covers both science and some non-science records of all
formats and age that are created and received by Scion, and all records created by
predecessor agencies where those functions have been transferred to Scion but are not
currently covered by any existing schedule or appraisal report. The disposal criteria in the
Archives New Zealand Appraisal Standard were applied in the creation of this report.
• Quantity of paper files currently held:
2.5km linear metres unoccupied rooms (includes Scion’s Christchurch office)
2.5km linear metres in occupied offices
• Estimated quantity of files recommended as Public Archives:
1
Taken from ‘A History of Forestry Research In New Zealand’, John A. Kininmonth
2
Taken Scion’s website: http://www.scionresearch.com/
6Approximately 2km, though this can only be a best estimation at this point of time
• Estimated percentage of paper records recommended as Public Archives:
33%, this has been estimated based on what has been received from scientists so far
• Estimated percentage of electronic records recommended as Public Archives 25%.
This can only be a best estimation at this point of time due to the current set up of
Scion’s shared network drive.
• Furthermore, Scion has identified its library, herbarium and germplasm collections as
heritage assets and as such are covered by this disposal authority3 .
3
Taken Scion’s 2011 Annual Report
74.0 Appraisal Circumstances
The development of this retention and disposal schedule is part of an on-going programme of
Records Management work within Scion. We envisage that this work will result in compliance with
the Public Records Act 2005. This programme of work is well underway and has seen the
following delivered:
1. Development and sign off of archives and records management policies and procedures.
2. Development of a function based classification scheme which is being rolled out
incrementally across Scion’s shared network drive. The shared network drive will act as
the corporate recordkeeping system until a suitable replacement is sourced.
3. Attainment of Deferral of Transfer on records that are over 25 years old. In essence this
deferral means that any records over 25 years old and deemed to be of archival value may
be retained by Scion until 2015.
It is worthy of note that Scion is looking to shift away from its Lotus Notes platform. Work is well
underway to identify databases, data repositories, etc, which are ‘active’ and ‘inactive’. Those
deemed ‘inactive’ will require retention or disposal activities to be carried out on them. Scion’s
schedule in addition to Archives New Zealand’s GDAs 1, 2, 3 and 4, will become key documents
for such activities.
Scion’s retention schedule and appraisal report will become the authoritative source when looking
to commence retention and disposal activities and will become a tool to mitigate any risks.
85.0 Agency Information
Agency Name: New Zealand Forest Research Institute Limited, trading as
Scion
Physical Location(s): Head office at Te Papa Tipu Innovation Park, Rotorua.
Additional centres currently located in Auckland (Massey
University Campus), Wellington (Equinox House) and Ilam
(School for Forestry).
Year Established: Founded 1947, as part of the New Zealand Forest Service
Current Status: A Crown Research Institute since 1992
Year Disestablished: -
5.1 Agency Functions
Formed in 1992 as a Crown Research Institute, Scion is one of eight Crown Research Institutes.
These are Government-owned but function as independent companies, and must comply with
Government expectations set out in the Crown Research Institute Act (1992) as well as with all
other relevant legislation.
Scion is dedicated to building the international competitiveness of the New Zealand forest industry
and building a stronger biobased economy. Scion’s major research areas include:
• Sustainable design: Providing new knowledge and technologies needed to achieve
positive economic outcomes, resulting in the lowest environmental footprint and
maximising social and cultural outcomes.
• New forests and forest science: Driving innovation through diversification by developing
ways to value, capture and enhance the benefits of existing and new forests.
• Bioproduct development: Providing leadership in the delivery of research, science and
technology that supports the establishment of new bioprocesses and bioproducts from
renewable resources4.
Scion’s commercial businesses include:
• ATLAS Technology: ALTAS technology enjoys the leading position in the provision of
forestry software mainly within New Zealand and Australia.
ALTAS Technology has the vision and the capability to develop software tools spanning the
entire forestry value chain. With the support of the parent company (Scion), new
technologies and innovations with flow through to our product line5.
• Veritec Laboratories: Veritec is an analytical chemistry laboratory specialising in forestry
and biomaterial related activities. Veritec provides a variety of component level tests
focused on soil, foliage, waste, water, wood and wood preservations.
Veritec has an in-depth knowledge of the forestry sector through the specific expertise of its
staff, their institutional forestry knowledge and sample databases. Veritec have archived 30
4
Taken from Scion’s Website - About Us: http://www.scionresearch.com/general/about-us
5
Taken Scion’s website - ATLAS About Us: http://www.atlastech.co.nz/about-us
9years worth of forestry samples and so can draw on the knowledge and sample library
when modifying and developing new tests.
Veritec’s tests and services include:
Forestry Nutrition Laboratory
- Foliage Analysis
- Soil Analysis
- Water Nutrient Analysis
Analytical Laboratory
- Wood Preservation
- Carbohydrate and Lignin Analysis
- Wood Waste and Wood Pellet Analysis6
Note: All records associated with each of the “functions” listed above are covered by this appraisal
report.
Scion has approximately 340 staff in total across its four locations.
6
Taken Scion’s website - Veritec Laboratories: http://www.scionresearch.com/general/facilities-and-
collections/veritec-laboratories
106.0 Recordkeeping Environment
The direction and processes around records management for Scion is managed by the Records
Management team located in Rotorua. This team (which is part of the Knowledge Centre function)
consists of a Records and Information Management Officer (focus is on electronic records), and an
Archivist (focus on ‘inactive’ paper records).
6.0.1 Paper Environment
Scion commenced work on establishing its archives in May 2008. Prior to this time, when staff
members left the organisation, any paper records (in filing cabinet, boxes, or manila folders, etc)
were either left for the next office occupier to inherit, or shifted into one of the unoccupied rooms in
the basement. However since then, more formal archival policies and procedures have been
introduced through our Archivist which has resulted in the cessation of this type of scenario.
Unfortunately, for Scion’s Archivist there is sill a vast amount of records to sort through in the
basement (though the Archivist does have a fair idea of what is there). Not forgetting the
substantial quantity of records kept within the offices of employees.
Though Scion’s Archivist has made tremendous progress in a short period of time, there is a still lot
of sorting and listing work to be carried out. In terms of estimating how many years it will take to
complete sorting and listing of records, it currently stands at 15-20 years.
6.0.2 Electronic Environment
Although computerisation started around 1959, in more recent years there has been a noticeable
shift in how many electronic records are created.
With this change and with the introduction of the Public Records Act 2005, more formal electronic
recordkeeping policies and procedures have been created. Although Scion has a number of
specialised database and data repositories in which electronic records are stored, the majority of
electronic borne records are stored in Scion’s shared network drive (Q:\ - approximate amount of
data: 3.2 TB).
A function based classification structure for Scion’s shared network drive is being developed with
rollout occurring incrementally to mitigate the risks associated with a “big bang” implementation
approach. Rollout trigger = a request is made for a re-organisation of an existing file structure, or a
request is made for a new file structure to be set up on the shared network drive. This approach
however does mean that much of the information stored on the shared network drive, though in
folders is stored in an ‘unstructured’ way. An alternative long-term solution to replace Scion’s
shared network drive is yet to be sourced.
Note: SharePoint 2010 is currently being trialled to assist with some reporting and collaboration
functions, i.e. Future Forest Research reporting, however at this stage a final decision in terms of
use and wider implementation is yet to be reached.
Some teams do have access to other servers, which often contain specialised software tools and
databases, e.g. SQL and Linux based. As to the ‘structure’ of those areas, it is unclear with work
initially concentrating on the shared network drive.
116.1 Classification
Scion is currently developing a classification structure for their shared network environment. A
“pilot” was established in which the ‘science’ portion of the structure was implemented. Though
initial focus was placed on Scion’s ‘science’ function, work has commenced on the development of
a ‘corporate’ structure starting with the Information Technology team.
The classification has been adjusted based on feedback received, from the users. However
consistency is paramount across all areas. The classification structure will be ‘living’ until such
time one is developed for the entire organisation.
In terms of the rollout strategy the classification structure, incremental rollout has been chosen
after analysing risks associated with each implementation option. Development work is triggered
when a request for a new file structure area has been received, or when a ‘tidy up current folder
structure’ request has been received.
Since work commenced on the development of a classification structure for Scion’s shared network
drive, 16 new structures have been developed.
6.2 Format and Quantity
Accurate assessment of the value of records requires an understanding of the recordkeeping
process that generated the record.
This section intends to provide descriptive information of the recordkeeping classes defined in our
schedule including the system and format records are held in, and quantity estimations. Where
possible, access recommendations have also been included.
Note:
1. Paper Files Estimates:
Due to the fact that sorting and listing of records commenced only from May 2008,
estimates can not be supplied for the majority of the record classes below. Listing
completion estimation stands at 15-20 years.
2. Electronic Estimates:
Scion has a large number of data and database repositories, and more than one server in
which staff use and store information on. Scion’s shared network drive is the predominant
location for electronic records, but as highlighted below, most of the information is stored in
an un-classified way. Though staff are being educated and reminded to store business
related records in the shared network drive, staff do still have access to other drives and do
store records on those locations. Naturally, we won’t be able to provide estimates for this
scenario.
The following tools where used to assist in the estimation process:
• TreeSize Professional (version 5.3.3) – analysing the shared network drive
• Lotus Notes, Information Discovery database (developed internally by/for an
Information Technology driven information discovery exercise in 2010)
• Lotus Notes, Notes Inventory database (developed internally by/for Information
Technology for the Lotus Notes migration project)
All tools assisted to identify where electronic records were, and size where possible. A
‘calculation sheet’ showing how figures were derived will be submitted to Archives New
Zealand with this report.
12Note: All inherited records relating to these time periods are covered under this disposal authority,
i.e. those records pre-1992 are covered under this disposal authority.
6.2.1 Business Development and Investment
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
The records within this class are held in both paper and electronic formats. Because records
within this class can result in a contract being created, quantities below are overall estimates and
‘may’ include records from another class.
Furthermore, funding and proposal records may be created within the Science Delivery class
therefore they will be counted for under 6.2.2 – Science Delivery.
Location Estimated Quantity/Volume
Shared Network Drive 17.0 GB
Database Repositories:
- New Zealand Opportunities and Proposals 200 records
- Scion Awards & Funding 850 records
Paper Files Unknown at this time
6.2.2 Science Delivery
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
The records within this class are held in both paper and electronic formats.
Although the majority of electronic Science Delivery records are located in the shared network
drive, and/or various science research related database repositories (including sample and trial
registers) there are staff members who will have Science Delivery related records stored on other
servers, Linux boxes or in database/data repositories. Records stored on these devices are
covered by this appraisal report however estimations on quantity/volume stored is unavailable at
this stage.
Scientists may gather/use physical samples, e.g. soil samples, during research activities. Physical
samples are not records, and fall outside the Public Records Act 2005 therefore are exempt from
this disposal authority, however records and/or register pertaining to these samples are records
under the Public Records Act 2005 and therefore covered under this disposal authority.
The databases listed in this section have been developed specifically for science delivery tasks,
and in some cases being updated on an ongoing basis, i.e. they in permanent ‘current’ use by
Scion. This being the case there will be instances in which the recommended retention period will
never be reached7.
7
Note: This has been discussed in detail with Archives New Zealand’s Appraisal team and based on this
they are now satisfied that this is acceptable.
13The estimate below will include records which fall under different classes, i.e. total will include
some 6.2.3 – Contracts’ records due to our current electronic recordkeeping environment.
Location Estimated Quantity/Volume
Shared Network Drive 1.4 TB
* Other Servers – Bioinformatics Linux 1.3 TB
Database Repositories:
- Foundation for Research, Science and Technology Reporting 30 records
- Future Forest Research Milestone & Reporting 800 records
- BUGS Database 10,000 records
- Contracts Register 5.350 records
- Forest Health Database 160,000 records
- Forest Research Code Table (index) 205 records
- Image Management System 45,000 records
- LabBook Database 800 records
- National Forestry Herbarium Database 27,000 records
- * Plant Names 5,820 records
* Note: This database is a copy of the plant names from the
National Forestry Herbarium database, created specifically to
make the information accessible to staff and is not the
authoritative source.
- Permanent Sample Plot Database 11.5 m records (covers
approx. 30,000 trial plots)
- Quarantine Database 4,000 records
- SIDNEY Database 40,000 records
- Soils Database 571,000 records
- Trial Register 11,000 records
- Wood Samples Database (Xylarium related) 6,000 records
* Note: There is another server (rot-wq-suse), which contains a total of 3.4 TB of data; it is
believed that this server isn’t being used anymore with information copied to a different location.
6.2.3 Contracts
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
The records within this class are held in both paper and electronic formats.
Electronic contract copies and draft versions are saved within the shared network drive, however
all contracts are electronically registered and entered into the ‘contracts database’ (QuikTrak)
which is covered and noted in 6.2.6 – Database/Data Repository Management. Final signed
contract is paper and stored in Scion’s archives.
14The estimation provided for below in terms of the shared network drive are conservative due to the
fact the class ‘Contracts’ overlap many areas, and difficult to isolate.
Location Estimated Quantity/Volume
Shared Network Drive 3.4 GB
In Database Repositories
- QuikTrak (archive) 375 records
- QuikTrak (current) 120 records
Paper Files 36 linear metres
6.2.4 Science Services and Consultancy
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
The records within this class are held in both paper and electronic formats.
Though most are known as being in electronic format, there will be some paper records located
with staff members which are yet to go through the archival process.
Estimations have been difficult to determine for this category, as many science areas do have
records related to this class, and are not easily identified in the current shared network drive
environment. For the purposes of this section, Veritec (laboratory testing services for soil, foliage,
wastewater and wood) and Nursery have been used to estimate figures (this is in addition to
another section of the shared network drive which ‘looks’ to be service/consultancy related).
Scion’s National Forestry Herbarium shared network drive folder has been counted under 6.2.8 –
Collection Management.
Location Estimated Quantity/Volume
Shared Network Drive 10.0 GB
In Database Repositories:
- Biorefinery Call Centre 300 records
- Enquiries 790 records
156.2.5 Commercialisation
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
The records within this class are held in both paper and electronic formats.
Electronically speaking, pre contract, licensing records are spread across various areas of the
shared network drive (including under Research Office which has been counted under 6.2.1 –
Business Development and Investment). If an external party has been used in the set up of
commercialisation interests, then those records will generally reside with those people. Copies of
relevant records are sent to Scion and saved in appropriate areas.
Summaries may be registered in Scion’s TechMate stage-gating repositories, with final
commercialisation contracts registered in Scion’s QuickTrak contracts repository (accounted for
under 6.2.6 - Database/Data Repository Management).
Location Estimated Quantity/Volume
Shared Network Drive 748.2 MB
Paper Files Unknown at this time
6.2.6 Database/Data Repository Management
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
Scion has number databases and data repositories which are used on a daily basis. Many of them
have been designed and are maintained by Scion staff to best practice standards.
This record class is addressing database/repository planning and system documentation only. The
majority of Scion’s databases/repositories are used during the 6.2.2 Science Delivery function,
therefore are listed under that function. There are some database/data repositories which may be
classed as a ‘collection’, however as they are also linked to the 6.2.2 Science Delivery function,
they have been listed there too. Note: Archives New Zealand recommended this approach during
the initial review of Scion’s appraisal report.
Regarding the “Shared Network Drive” total, this is looking at folders which relate to the planning of
and setting up of database/data repositories. Such folders may also include a copy of the actual
database. Where possible, database figures have been excluded, but due to the current structure
of the shared network drive it has been difficult to achieve this for all cases.
Location Estimated Quantity/Volume
Shared Network Drive 266.8 GB
Paper Files Unknown at this time
166.2.7 Software Application Management
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
The estimate below encompasses all ‘archived’ software application installation packs and
accompanying training manuals which are physically sitting in Scion’s basement area. The
retention of these items has been specifically setup to support Archives New Zealand’s Digital
Continuity programme.
There will be items fitting this class which are retained with staff members in their offices. A mini-
project may be initiated in the new financial year to locate such items and relocate into Scion’s
archive.
Location Estimated Quantity/Volume
All physical items – to date (more yet to be identified) 3 metres
6.2.8 Collection Management
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
In the process of conducting research collections are created of soil, plant/tree material and
insects. These collections are created for the express purpose of research and as such should be
considered as “special collections”. Under the scope of this record class, the management of
these special collections are covered but the collections themselves are exempt as they will be
permanently retained by Scion.
Any databases/repositories created in conjunction with the collection are listed under 6.2.2 Science
Delivery as they are often used during the execution of this function.
Note: The term “management” covers in context to above covers collection:
• Strategy
• Delivery
• Curation
• Development
• Containment
• Conservation and preservation (prevention and treatment)
Collection management documents are mostly electronic documents and stored on Scion’s shared
network drive.
The “Shared Network Drive” figure will include records which fall under 6.2.4 – Science Services &
Consultancy, and 6.2.9 – Quality Assurance, Compliance and Accreditation. In addition to note,
the figure provided is very conservative due to the fact a lot of “Collection Management” classed
records are scattered across different areas of the shared network drive, and because there is no
classification applied to it, isolation and identification of such records is impossible.
17Location Estimated Quantity/Volume
Shared Network Drive: Update Figure On This 19.4 GB
Paper Records Unknown at this time
Though the collections themselves are exempt from this record class, it is important to understand
the context in which the estimates above have been derived therefore we have listed the various
research and nationally significant collection below, including estimated specimen totals.
Location Estimated Quantity/Volume
Physical Collections:
- Forest Research Mycological Collection 6,000 specimens
- Forest Research Culture Collection 3,000 specimens
- National Forestry Insect Collection 200,000 specimens
- National Forestry Herbarium Collection 27,000 specimens
Paper Records Unknown at this time
In addition to this, we have xylarium and microscopy collections. In summary:
1. Xylarium
The entire wood collection contains around 6,000 samples. The xylarium is divided into two
collections, the general collection and the George Day collection. The xylarium is a
registered collection. The George Day collection in turn contains an exotic timber collection
and in indigenous collection. The indigenous collection contains about 300 samples, the
exotic collection is around five times that, so about 1,500 samples at a rough estimate.
There are plans to scan the indigenous to images at present.
2. Microscopy
Microscopy records are in various formats. Scion has a large collection of various film
formats including glass plates going back to the 1960s. There are lab books containing
records of these films. All of this is stored within the basement laboratory. There is a film
scanner too, in the event there is a need to cover any of this data.
More recently, we have digital data starting from the mid 1990s on CD and DVD.
Theoretically there should be many other CDs with current or past employees somewhere.
The important point is that we do have more or less full records for some of the newer
instruments where data has been stored on the network, and then archived to DVD. These
DVDs are located with an associated staff member.
The staff member’s work is recorded in a digital database that records the directory listings
of the CDs and DVDs by year and archive number. This currently extends from 2004. It is
interesting to note that some of the older CDs may be in a strange format but they ‘seem’ to
be readable.
Overall, the ‘owner’ of this area estimates they might have more than 1 million records, and
several TBs of digital data. There are plans to upload some images into Scion’s Image
Management System (next financial year).
186.2.9 Quality Assurance, Compliance and Accreditation
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
The records within this class are held in both paper and electronic formats.
In terms of electronic records, identification of records within this class has been difficult to
achieve. Some records which would be classified under here will have been counted elsewhere
due to the current setup of Scion’s shared network drive. Obvious records under this class have
been used in the estimation below – though it is conservative.
Location Estimated Quantity/Volume
Shared Network Drive 5.3 GB
Paper Files Unknown at this time
6.2.10 Intellectual Property and Patents
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
The records within this class are held in both paper and electronic formats.
In terms of electronic records, successful Intellectual Property and Patents applications will
generally result in a contract being created, which is registered and entered into Scion’s contracts
database (QuikTrak). Final contracts are printed off and filed eventually in the archives.
Intellectual Property and Patents will also be circulated to external parties (patent office and
government department for entry into the appropriate register). Unsuccessful bids do are not
entered into Scion’s contracts database.
Scion’s Intellectual Property Executive has paper files (generally contained in manila folders) which
are predominately copies of electronic versions (80-100 folders with > 1 document contained within
it).
Because of the overlap (electronically) with in terms of record classification, an electronic
estimation has not been provided below.
Location Estimated Quantity/Volume
Paper Files – Manila Folders in IP Executive’s Office 80-100 folders
Paper Files – Archives (stored with the contracts) Unknown at this time
196.2.11 Leading the Business
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
Note: During Archives New Zealand’s initial review Scion’s draft retention and disposal schedule
and appraisal report, there was discussion between both parties around the possibility of merging
6.2.11 Leading the Business and 6.2.12 Managing Relations into one. However based on the
outcome of that discussion, it was agreed by Archives New Zealand that in Scion’s context in made
sense to keep these two separate.
The records within this class are held in both paper and electronic formats.
In terms of electronic records, the estimate provided below, will include records which would
traditionally be classed a “Managing Relationships”. However with the current set up of the shared
network drive, isolation of the two different record sets has been difficult to achieve.
Location Estimated Quantity/Volume
Shared Network Drive 6.0 GB
Paper Files Unknown at this time
6.2.12 Managing Relationships
Start Date: 1992
End Date: Ongoing
Legislation: Crown Research Institutes Act (1992)
Note: During Archives New Zealand’s initial review Scion’s draft retention and disposal schedule
and appraisal report, there was discussion between both parties around the possibility of merging
6.2.11 Leading the Business and 6.2.12 Managing Relations into one. However based on the
outcome of that discussion, it was agreed by Archives New Zealand that in Scion’s context in made
sense to keep these two separate.
The records in this class are held in both paper and electronic formats.
Identification and isolation of electronic records under this category has been difficult as many are
contained within “Leading the Business” areas, therefore the estimations below are highly
conservative.
Location Estimated Quantity/Volume
Shared Network Drive 675.8 MB
Database Repositories
- Client Interactions Report 240 records
Paper Files Unknown at this time
207.0 Methodology
7.1 Approach
The retention and disposal authority was developed in close consultation with Scion staff.
Furthermore, a team with knowledge of archive and records and information management were
used to develop Scion’s retention and disposal schedule and the accompanying appraisal report.
It is important to note the following. Scion:
1. Does not have a formal electronic documents and records management system for
electronic records. All electronic records are stored in the Q:\ shared network drive.
Though staff members are known to store business related records elsewhere.
Because of this, TreeSize Professional will be used across the Q:\ only (as it is our
main electronic ‘repository’), and existing data inventory databases too will be used.
Best derived estimates have been provided in Section 6.0 – Recordkeeping
Environment.
2. Paper records are predominately ‘historic’. They are only ‘transferred’ to our
archives when an employee leaves the organisation, or has no further requirement
for said records.
3. Listing of archived paper borne records started in May 2008 with estimation on
completed standing at 15-20 years.
7.1.1 Examination of Existing Schedules and Authorities
From the onset of disposal schedule and appraisal report development, a focus was placed on
ensuring there was consistency between us and Scion’s ‘sister Crown Research Institutes in terms
of terminology and layout. This said disposal schedules and appraisal reports from ‘sister CRIs’
were examined, especially those which comprise similar activities and records. In particular the
following:
•DA449: New Zealand Pastoral Agriculture Research Institute Ltd (AgResearch), Corporate
Office
•DA390: Landcare Research Ltd
•DA346: Institute of Environmental Science and Research (ESR) Ltd
•DA100, DA101, DA102 and DA169: Archives New Zealand
Although it is important to have commonality between each Crown Research Institute in terms of
agency retention periods and disposal actions especially on common record sets/classes, it is
equally important to remember that Scion is an entity and organisation with its own identity, culture
and business practices. This said, where appropriate justification comments have been provided
in “Section 10 – Classes of Records and Recommendations” for some record classes, i.e. when
Scion has made a recommendation which is different to that which may be prescribed in existing
retention and disposal schedules or appraisal reports.
217.1.2 Internal Consultation
Key internal stakeholders were identified and consulted in the development of the retention and
disposal schedule and appraisal reports. Appropriate changes were made as a result of this
consultation process. Furthermore, staff members (identified as the ‘owners’ of file structure areas
and/or database/data repositories) were contacted and asked for advice when determining
estimations in section 6.0 – Recordkeeping Environment.
In addition and prior to the draft being submitted to Archives New Zealand for review, the disposal
schedule has been submitted to Scion’s Executive Management Team for review and sign-off,
which was achieved 20 June 2011. This sign-off signals approval to present to Archives New
Zealand our retention and disposal schedule, and the associated appraisal report for their review
and ultimate sign-off.
Note: Since the original creation of this appraisal report, Scion has submitted its retention and
disposal schedule and appraisal report to Archives New Zealand’s Appraisal team. Further
extensive internal consultation has ensued especially around ‘common’ record classes where a
difference in agency retention period and disposal action has been highlighted, with appropriate
justification comments included in Section 10 – Classes of Records and Recommendations – see
appropriate record class and comments in the “Value” column.
7.1.3 External Consultation
A number of organisations have been identified as those having a strong interest in the outcome of
any disposal action undertaken by Scion. They were all contacted by post and invited to provide
comment on Scion’s drafted schedule and appraisal report. External stakeholders contacted can
be found in Appendix One.
Any feedback received was discussed with appropriate changes made.
7.1.4 Draft Review by Archives New Zealand
The preliminary draft of Scion’s retention and disposal schedule and appraisal report was reviewed
by [name removed]. Feedback received was discussed with [name removed]. A further meeting
was requested and arranged between Scion and Archives New Zealand to discuss feedback
received. Since this meeting, appropriate changes have been made to both documents with
Archives New Zealand now satisfied with Scion’s final draft Retention and Disposal schedule and
Appraisal Report.
7.2 Scope of Schedule
7.2.1 Inclusions
• Existing and future hardcopy and electronic records which cover Scion’s core functions which
are not covered by GDAs 1, 2, 3, 4
• Existing and future hardcopy and electronic records which cover ATLAS Technologies core
functions which are not covered by GDAs 1, 2, 3, 4
7.2.2 Exclusions
• Records covered by GDAs 1, 2, 3, 4
228.0 Relevant Precedent
8.1 Existing Scion Schedule
There is no existing schedule for Scion.
8.2 Existing Crown Research Institute Retention and Disposal Schedules
There are three key schedules which provide a precedent:
•New Zealand Pastoral Agriculture Research Institute Ltd (AgResearch), Corporate Office
(DA449) – November 2010: The records covered in this retention and disposal schedule
encompass all hardcopy and electronic records created and received in AgResearch
except for administrative records covered by GDAs 1, 2, 3 and 4.
•Landcare Research Ltd (DA390) – June 2009: The records covered in this disposal authority
encompass all hardcopy and electronic records created and received by Landcare
Research New Zealand Ltd except for administrative records covered by GDAs 1, 2, 3 and
4. This disposal authority covers both science and non-science records of all formats and
age that are created and received by Landcare Research New Zealand Ltd, and all
records created by predecessor agencies where those functions have been transferred to
Landcare Research New Zealand Ltd but are not currently covered by any existing
schedule or appraisal.
•Institute of Environmental Science and Research (ESR) Ltd (DA346) – June 2008: This
disposal authority covers records created and received by the Institute of Environmental
Science and Research Ltd (ESR) that are not covered by Archives New Zealand GDAs.
The authority covers both science and non-science records of all formats and ages that
are created and received by ESR, and all records created by predecessor agencies where
those functions have been transferred to ESR but are not currently covered by any
existing schedule or appraisal.
Note: Although it is important to have commonality between each Crown Research Institute in
terms of agency retention periods and disposal actions especially on common record sets/classes,
it is equally important to remember that Scion is an entity and organisation with its own identity,
culture and business practices. This said, where appropriate justification comments have been
provided in “Section 10 – Classes of Records and Recommendations” for some record classes, i.e.
when Scion has made a recommendation which is different to that which may be prescribed in
existing retention and disposal schedules or appraisal reports.
239.0 Disposal Criteria
The disposal criteria in the Archives New Zealand Appraisal Standard Recommendations were
used to develop the retention and disposal schedule. The criteria used and its relevance are listed
below:
The criteria for recommending the permanent retention of records as Criteria Number
public archives are:
Provide evidence of the structure, organisation, administration and planning of A1
Scion.
High level records that document the establishment/maintenance of capital or A2
significant projects that either have a key or wide ranging effect on Scion
operations, or have key and ongoing relevance to Scion business.
Science master records resulting from projects, such as (but not limited to): A3
• Final/summarised research records (created or sponsored by Scion) or
key/significant Scion areas of activity, functions or issues, the delivery of
products and services.
• Master records. Significant original master records of conference,
seminars, workshops etc that summarise the deliberations, discussion,
proceedings and presentations relevant to key Scion functions and/or
mandates.
• Research potential. Records which are of high research potential to
scientists and historian, professionals, individuals and organisations with
specific areas of interest.
Records providing significant environmental information required for long term A4
research purposes.
Provides evidence of Scion’s interactions with outside groups and their influence A5
on the development of research.
Records documenting the deliberations and decisions of ethical approval A6
bodies.
Records providing proof of an event or agreement that documents the A7
rights/legal interests/obligations of the organisation or permits the settlement of
legal claims.
Records that provide summarised versions of funding contracts (provide funding A8
for the core functions of Scion) covering information held elsewhere in a less
consolidated form.
Records that have significant informational and evidential value due to the fact A9
that they document the safe and legal practices of Scion’s laboratories, plant
and equipment.
The criteria for recommending for retention by Scion for the life of the of the collection are:
Records relating to the management of a special collection that are integral to B1
the collection itself. This will require a deferred transfer agreement for those
records to be retained beyond 25 years.
The criteria for recommending the destruction of records are: Criteria Number
Concern routine administrative matters only. D1
Concern routine operational matters only. D2
24Records documenting the facilitation and administration of internal or external D3
research and science trials and laboratory processes.
Records summarised or available elsewhere. D4
2510.0 Classes of Records and Recommendations
The records offered for approval in the disposal authority have been broken down into 12 classes.
Class descriptions and evaluations are outlined below.
10.1 Business Development and Investment
Class Title: Business Development and Investment
Class Number: 1.0
Start / End Date: 1992 – ongoing
Legislation: Crown Research Institutes Act (1992), Commerce Act (1986), Finance Act
(1993), Financial Reporting Act (1993)
Class Description: The records in this class describe the arrangements in place to fund the
research undertaken by Scion.
Value: The contract files provide context to the science records and describe the
contractual arrangement that was established in order to fund research.
All funding contracts are of equal value to the organisation and are of
long-term evidential value as they establish the agreement with the funder
in regards to how the outcomes of the research can be utilised in the
future. The client files support the contract files.
In terms of record class “1.1 – Funding & Contracts – indexes, contract
registries and proposal summaries”, Scion has indexes, contract registers,
and proposal summaries for both funding related contracts and standard
contracts. These records are of ongoing value and are actively used by
Scion’s Legal and Intellectual Property teams, i.e. as a resource used for
extended time periods even when a contract is finished. Therefore Scion
will need to apply for a deferral of transfer for those records required
onsite longer than the recommended retention period.
In terms of record class “1.4 – Proposals – successful”, Scion
recommends that these records be retained for 10 years after completion
of funded contract, and be retained as a public archive. The reason for
the 10 year retention period is because for Scion, the proposal themselves
have limited value for future internal reference especially when the
publications/technologies, etc that result from work would be held by Scion
in some other form. In terms of the disposal action being “retain as public
archive”, the reason for this is because it is a good record of science
direction. Aspects are likely to be duplicated, e.g. in project plans in
funding contracts, etc, but often not to the same level of detail or with the
science strategy captures – project plans usually only describe specific
targets or experiments, etc; details documented in this record class go to a
deeper level and provide better evidence as to what Scion has done.
26You can also read
