Public Records Act 2005 Audit Programme Update presented to Government Recordkeeping Forum

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Public Records Act 2005 Audit
ProgrammeUpdate presented toGovernment
Recordkeeping Forum

• Richard Hipgrave, Manager, PRA Audit Programme
• September 7th 2009

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Presentation Overview

• Overview of the Audit Programme
• The PRA Audit Tool
• Reporting
• Audit process roll-out timeframes, selection of
  public offices, etc

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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

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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

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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

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Audit Reporting

• Reporting to the public office client
• Summary of the public offices 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

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Business risk from poor recordkeeping
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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

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PRA Audit Programme Indicative Roll-out
Timeframes
June 2009
January 2010
January 2011
September 2009
Incorporation of Consultation Feedback into an
updated Audit Tool
Development of methods and procedures Team
recruitment
Commencement of full-scale PRA Audit Programme
Commence pilot audits (approx. 15 Public Offices)
Emerging consultation themes Audit
scheduling Audit reporting Audit methodology
Approx 40 Public Office Audits per annum
Refinement of Public Office self-assessment
version of Audit Tool
6 months lead time notice of Annual PRA Audit
Schedule
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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

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• See the Archives Continuum website for
  information on recordkeeping and the Public
  Records Act http//continuum.archives.govt.nz/
• Contact
• Richard Hipgrave
• richard.hipgrave_at_archives.govt.nz

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