Public Records Act 2005
Audit Programme
Update presented to
Government Recordkeeping Forum, Auckland
John Roberts,
Acting Group Manager, Government Recordkeeping
November 30 2009
Presentation Overview
• Overview of the Audit Programme
• The PRA Audit Tool
• Reporting
• Audit process – roll-out timeframes, selection of public offices, etc
Overview of the PRA Audit Programme
• The Public Records Act requires Archives New Zealand to
commission audits of recordkeeping in public offices
• Audits begin in 2010
• Audits occur on a 5 year cycle
• Audits based on key requirements of the Public Records Act
• Creation and maintenance of full and accurate public records
• Provision for preservation and access
• Managed disposal (destroy and transfer, etc)
• 200 core state sector entities will be audited
• Local authorities are not covered
• State schools are not subject to the mandatory standards. Approach
to auditing schools is yet to be determined
Audit Programme Focus Areas
• Three Mandatory Standards
• Create and Maintain
• Storage
• Metadata
•
•
•
•
Current position
Direction and planned outcomes
Likelihood of achieving outcomes
Recommendations for capability
development
• Business Risk and Productivity
Audit Process Overview
• Audit client CEs notified six months prior to commencement of audit
• Engagement is with a designated Senior Responsible Officer (SRO)
• Kick-off meeting in January/February to agree process/timings
• Clients use an audit self-assessment tool to profile their capability
• Archives reviews profile and, using intelligence sources, develops
programme for field audit which –
– Validates client self-assessments
– Examines high probability/high impact business risk areas
– Examines productivity monitoring
• Reports benchmark client against other (c.40) public offices audited
• Draft report findings and recommendations discussed with SRO
• Final report delivered
Audit Reporting
Reporting to the public office client:
•
•
•
•
Summary of the public office’s current position and planned
direction
Benchmarking of current position with other organisations audited
Assessment of management of high probability-high impact risk
Assessment of business performance improvement (productivity)
opportunities
Reporting to Parliament (via Minister):
•
•
•
Annual Parliamentary Report providing an overview of audit
findings
Commentary on trends
Identification of common themes and issues
Business risk from poor recordkeeping
Compliance
1.
2.
3.
4.
Failure to meet legislative and regulatory requirements
Unlawful disposal of records
Inability to provide assurance of legislative compliance
Inability to produce records or provide evidence
Operational
5.
6.
7.
8.
9.
10.
Inability to transfer data across organisational systems
Inability to deliver services due to the loss of information
Inability to retrieve and interpret records in obsolete formats or systems
Information is inaccessible or unsuitable for the conduct of business
Inability to provide a record of specific transactions
Inconsistent, ineffective and inefficient conduct of business
Reporting
11. Inability to provide reliable evidence summarising activities or undertakings
12. Reduced capability to demonstrate good performance
13. Misleading the minister or other key stakeholders
Reputation
14. Embarrassment to the chief executive, minister, the government and individuals
15. Damage to reputation, loss of credibility, lowered public confidence
Strategic
16.
17.
18.
19.
20.
Loss of records which support New Zealand’s cultural and national identity
Poor strategic planning and poor decisions made on inaccurate information
Inability to use organisational information and knowledge to full potential
Constrained business and information management strategies
Inability to automate processes and to secure efficiency benefits
Selection of public offices for audit
•
The audit schedule will be
announced on an annual basis
with a lead-time of around six
months
•
All entity types will be covered
each year
•
Sampling within entity type will
be random
Typical year -
•
•
•
•
•
•
•
•
•
•
•
•
•
5 Autonomous Crown Entities
6 Crown Agents
3 Crown Research Institutes
5 District Health Boards
3 Independent Crown Entities
1 Non Public Service Department
1 Office of Parliament
1 Crown Entity Company
5 Polytechnics
8 Public Service Departments
4 SOEs
1 Trust
3 Universities
PRA Audit Programme – Indicative Roll-out Timeframes
June 2009
Incorporation of
Consultation
Feedback into
an updated Audit
Tool
Emerging
consultation themes:
Audit scheduling
Audit reporting
Audit methodology
September 2009
January 2010
January 2011
Development of
methods and
procedures
Commence pilot
audits (approx.
15 Public
Offices)
Commencement
of full-scale PRA
Audit Programme
6 months lead
time notice of
Annual PRA
Audit Schedule
Approx 40
Public Office
Audits per
annum
Team recruitment
Refinement of
Public Office
self-assessment
version of Audit
Tool
Summary
• The audit tool will be developed
as a web-based self profiling tool
• Reports benchmark client
against other (c.40) public offices
audited
• Reporting to Parliament and CEs
will focus on business risk and
productivity
• The schedule will be announced
on an annual basis, with a leadtime of six months
• All entity types will be covered
each year - sampling within
entity type will be random
• See the Archives NZ website for information on recordkeeping
and the Public Records Act
http://www.archives.govt.nz/
• Contact:
Richard Hipgrave
PRA Audit Programme Manager
richard.hipgrave@archives.govt.nz