john roberts, acting group manager, government recordkeeping november 30 2009
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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 - PowerPoint PPT PresentationTRANSCRIPT
Public Records Act 2005 Audit Programme
Update presented toGovernment 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 recordkeeping1. Failure to meet legislative and regulatory requirements 2. Unlawful disposal of records 3. Inability to provide assurance of legislative compliance
Compliance
4. Inability to produce records or provide evidence 5. Inability to transfer data across organisational systems 6. Inability to deliver services due to the loss of information 7. Inability to retrieve and interpret records in obsolete formats or systems 8. Information is inaccessible or unsuitable for the conduct of business 9. Inability to provide a record of specific transactions
Operational
10. Inconsistent, ineffective and inefficient conduct of business 11. Inability to provide reliable evidence summarising activities or undertakings 12. Reduced capability to demonstrate good performance
Reporting
13. Misleading the minister or other key stakeholders 14. Embarrassment to the chief executive, minister, the government and individuals Reputation
15. Damage to reputation, loss of credibility, lowered public confidence 16. Loss of records which support New Zealand’s cultural and national identity 17. Poor strategic planning and poor decisions made on inaccurate information 18. Inability to use organisational information and knowledge to full potential 19. Constrained business and information management strategies
Strategic
20. 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
Incorporation of Consultation
Feedback into an updated Audit
Tool
Emerging consultation themes:
Audit scheduling
Audit reporting
Audit methodology
Development of methods and procedures
Team recruitment
Refinement of Public Office
self-assessment version of Audit
Tool
Commencement of full-scale PRA Audit Programme
Approx 40 Public Office
Audits per annum
June 2009 January 2010 January 2011
6 months lead time notice of Annual PRA
Audit Schedule
Commence pilot audits (approx.
15 Public Offices)
September 2009
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 lead-time 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