Recordkeeping Capability: Public Records Act Audit Programme

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Recordkeeping Capability Public Records Act
Audit Programme

• Darrin Goulding, Project Manager, Public Records
  Act Audit Strategy
• Kate Jones, Senior Advisor, Government
  Recordkeeping Programme

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Overview

• PRA Compliance Framework
• Background
• Audit Concept
• Audit Methodology
• Audit Reporting
• Next Steps

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Public Records Act Compliance Framework
Archives New Zealand must undertake independent
audits of recordkeeping in public offices from
2010 (PRA s33)
Audit
The Chief Archivist may issue standards in
relation to public records. It must be stated who
they apply to and if they are mandatory or
discretionary. Consultation must be undertaken
before issue (PRA s27)
Standards
Archives New Zealand has the right to inspect the
archives and records of public offices and local
authorities (PRA s29)
Inspection
Direction to report
Public offices can be directed to report on any
aspect of recordkeeping or on the records they
control (PRA s31)
The Chief Archivist must report annually to
Parliament on the state of recordkeeping in
public offices (PRA s32)
Annual report to Parliament
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PRA Audit Fundamentals

• The Public Records Act (s33 and s35) requires
  Archives New Zealand to commission audits of
  recordkeeping in public offices
• Audits to begin 2010/2011
• Audits to cover 2700 entities
• 200 public offices (approx)
• 2500 public schools (approx)
• Audits occur on a 5 year cycle
• Audits based on key requirements of the Public
  Records Act
• Create and maintain public records (s 17)
• Dispose (destroy and transfer etc) of public
  records legally (s 18)

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PRA Audit Outcomes

• The audits are designed to support desired
  outcomes
• Information management that supports good
  business practice
• 2. Public confidence in government accountability
  and operational integrity
• 3. Assurance to the Chief Archivist and public
  office Chief Executives regarding organisational
  recordkeeping practices

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Development of PRA Audit Programme

• PRA Audit Programme has three key enablers
• Development of audit concept (tool)
• Recruitment and procurement of audit capability
  (December 2008 June 2009)
• Development of audit process (public office
  engagement and testing process)

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Audit Concept (Tool)

• Audit Delivery
• Key focus of post 2010 Audit Programme is on
  providing recognition for recordkeeping
  operations and promoting forward focused
  continuous improvement momentum
• Reflect and represent fundamental framework
  requirements of the Public Records Act and
  related standards (i.e. avoid short-term focus on
  functional requirements)
• Facilitate ongoing constructive self assessment
  process (i.e. the PRA audit process should not be
  a mystery or a surprise!)

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Audit Concept Development Process

• Development of audit concept (tool) currently
  underway
• Road tests held in October 2008
• Public office workshops November 2008
• 6 sector based workshops
• 2 senior management workshops
• Not exhaustive coverage
• Consultants workshop 17 December 2008
• Full public consultation late January/February
  2009
• Exposure draft
• Workshops around country

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Structure of Audit Concept
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Initial Workshop Feedback

• Greater consolidation of attributes into the
  respective functional areas - providing greater
  consistency / less duplication (e.g. planning,
  training, reporting)
• Re-ordering (down / up) of some attributes across
  the levels to better reflect capability
  development (e.g. personal responsibility for
  recordkeeping)
• Repositioning of some functional areas (Access
  and Security) and split out of Disposal as a
  separate functional area
• Re-wording and/or greater elaboration of some
  attributes or evidence to improve clarity or fit
  with operational practices
• Grouping together of similar attributes (e.g.
  metadata, storage)
• Explanatory level descriptions (i.e. initiation,
  establishment and good practice)

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Audit Methodology

• Audit concept (tool) will be calibrated for each
  particular public office 
• Testing will range from 100 (source document) to
  sample tests (system test)
• Audit testing of larger multi-site public offices
  will be practically orientated and determined in
  discussion with the public office concerned.  For
  example, core functions reviewed and a small
  sample of pre-determined remote sites reviewed
  with a view of providing a perspective of the
  spread of recordkeeping

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Audit Reporting

• Multi level reporting structure involving
• Straightforward audit assessment matrix showing
  current position and development / planned
  direction
• Supporting report based on audit concept with
  section commentary
• Annual parliamentary report

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Audit Reporting Matrix Concept
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Audit Reporting Lifecycle

• Audit expectations will change over time (10 -15
  years) once recordkeeping capability becomes well
  established and public offices integrate
  recordkeeping requirements within timetabled
  business system redevelopment

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Next Steps

• December 2009 consultant/vendors workshops
• December January recruitment of Audit Manager
• January 2009 formal audit tool consultation
• May 2009 audit tool release
• June 2009 pilot audit programme
• April 2010 initiation of formal PRA audits

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See the Continuum website for more
information http//continuum.archives.govt.nz/p
ublic-records-act-audit-strategy.html