1. Public Records Act 2005 Audit Programme Update presented to Government Recordkeeping Forum, Auckland John Roberts, Acting Group Manager, Government Recordkeeping November 30 2009

2. Presentation Overview Overview of the Audit Programme The PRA Audit Tool Reporting Audit process – roll-out timeframes, selection of public offices, etc

3. 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

4. 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

5. 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

6. 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

7. Business risk from poor recordkeeping

8. 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

9. 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 2009January 2010January 2011 6 months lead time notice of Annual PRA Audit Schedule Commence pilot audits (approx. 15 Public Offices) September 2009

10. 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

11. See the Archives NZ website for information on recordkeeping and the Public Records Act http://www.archives.govt.nz/ http://www.archives.govt.nz/ Contact: Richard Hipgrave PRA Audit Programme Manager richard.hipgrave@archives.govt.nz@archives.govt.nz