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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 ... – PowerPoint PPT presentation

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Title: Recordkeeping Capability: Public Records Act Audit Programme


1
Recordkeeping Capability Public Records Act
Audit Programme
  • Darrin Goulding, Project Manager, Public Records
    Act Audit Strategy
  • Kate Jones, Senior Advisor, Government
    Recordkeeping Programme

2
Overview
  • PRA Compliance Framework
  • Background
  • Audit Concept
  • Audit Methodology
  • Audit Reporting
  • Next Steps

3
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
4
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)

5
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

6
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)

7
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!)

8
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

9
Structure of Audit Concept
PRA Mandatory Standards Business Themes Attributes Evidence
Requirements are vertically represented (not horizontal / immediate compliance approach) 8 Areas Planning Resourcing Training Reporting Create / Capture Access / Security Maintain / Storage Disposal 3 Levels Reflecting increasing capability (consistent with good business practices) Broadly describe applicable operational recordkeeping practice Representative or indicative (not exclusive!) Audit process essentially testing either 100 (policy) or sampling (process)
10
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)

11
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

12
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

13
Audit Reporting Matrix Concept
Level Business Area One Two Three
Planning ??
Resourcing ??
Training ??
Reporting / Review ?
Create and Capture ??
Access and Security ??
Maintain and Storage ??
Disposal ??
14
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

15
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

16
See the Continuum website for more
information http//continuum.archives.govt.nz/p
ublic-records-act-audit-strategy.html
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