Recordkeeping Capability: Public Records Act Audit Programme Darrin Goulding, Project Manager,...
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Transcript of Recordkeeping Capability: Public Records Act Audit Programme Darrin Goulding, Project Manager,...
Recordkeeping Capability: Public Records Act Audit Programme
Darrin Goulding, Project Manager, Public Records Act Audit Strategy
Kate Jones, Senior Advisor, Government Recordkeeping Programme
PRA Audit Programme 2
Overview
• PRA Compliance Framework
• Background• Audit Concept• Audit Methodology• Audit Reporting• Next Steps
PRA Audit Programme 3
Public Records Act Compliance Framework
Audit
Standards
Inspection
Direction to report
Annual report to Parliament
Archives New Zealand must undertake independent audits of recordkeeping in public offices from 2010(PRA s33)
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)
Archives New Zealand has the right to inspect the archives and records of public offices and local authorities (PRA s29)
The Chief Archivist must report annually to Parliament on the state of recordkeeping in public offices (PRA s32)
Public offices can be directed to report on any aspect of recordkeeping or on the records they control (PRA s31)
PRA Audit Programme 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)
PRA Audit Programme 5
PRA Audit Outcomes
The audits are designed to support desired outcomes
1. 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
PRA Audit Programme 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)
PRA Audit Programme 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!)
PRA Audit Programme 8
Audit Concept Development Process
Development of audit concept (tool) currently underway:
1. Road tests held in October 20082. Public office workshops November 2008
• 6 sector based workshops• 2 senior management workshops• Not exhaustive coverage
3. Consultants workshop 17 December 20084. Full public consultation late January/February 2009
• Exposure draft• Workshops around country
PRA Audit Programme 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)
PRA Audit Programme 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)
PRA Audit Programme 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
PRA Audit Programme 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
PRA Audit Programme 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
PRA Audit Programme 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
PRA Audit Programme 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
See the Continuum website for more information:
http://continuum.archives.govt.nz/public-records-act-audit-strategy.html