Transcript Document

29 May 2012 ▌ Record Managers Forum
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Record keeping, freedom of
information and VAGO
investigations
Des Pearson
Auditor-General
29 May 2012 ▌ Record Managers Forum
Audit and accountability
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What is accountability? ‘Reporting back to those who charged
you with a responsibility’ (Pat Barrett, Australian A-G)
Important in both private and public sectors
• Private → Reporting to governing body (boards, trustees)
and shareholders
• Public → Government reports to public, via Parliament.
Why make the public sector accountable?
• Probity/integrity
• Performance management
• Democracy – Inform Parliament/citizens so they can
exercise powers
29 May 2012 ▌ Record Managers Forum
Accountability framework
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Parliament
The public
Executive
Government
Agencies
Auditor-General
Independent
officer of Parliament
29 May 2012 ▌ Record Managers Forum
Purpose and independence
To provide assurance to Parliament on the accountability and
performance of the Victorian public sector.
‘Independent office of Parliament’ – Constitution Act 1975
s94B
• ‘has complete discretion in the performance or exercise of
his or her functions or powers and, in particular, is not
subject to direction from anyone’.
• Balanced by accountability requirements for the office.
Important to note that the Auditor-General has no executive
authority and cannot direct the public sector
→ but our findings can have a catalytic effect.
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29 May 2012 ▌ Record Managers Forum
Records Management in the Victorian Public Sector
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Tabled March 2008
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Audit objective – to determine whether:
• Public sector agencies are managing records in
accordance with the Public Records Act 1973
• The Public Record Office Victoria is operating efficiently
and effectively in facilitating sound records
management in the public sector.
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Scope:
• Survey of 100 agencies
• Detailed review of 8 agencies.
29 May 2012 ▌ Record Managers Forum
Findings – public sector agencies
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Senior management don’t do enough to promote and
support sound records management in agencies.
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Agencies have not adopted a strategic approach to
managing their records.
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Agencies do not adequately monitor their records
management activities.
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Agencies are not adequately managing their electronic
records i.e. email and website information.
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Agencies do not ensure contractors are aware of, and
comply with, the agency’s recordkeeping practices.
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29 May 2012 ▌ Record Managers Forum
Findings – Public Records Office Victoria
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The Public Records Act 1973 is out-of-date and no longer
relevant to today’s business environment.
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PROV has made some significant achievements with
limited resources.
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Records management standards have not been reviewed
for ten years and do not meet agency needs.
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Provision of PROV’s products and services is not
strategically managed.
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A third to half of government agencies are unaware of
PROV’s services and PROV does not engage with all
agencies.
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29 May 2012 ▌ Record Managers Forum
Records Management Checklist (July 2008)
Designed by VAGO to assist agencies fulfil their obligations
under the Public Records Act 1973 and improve the
management of their records.
Seven principles of sound records management:
1. Records management objectives and policy
2. Management and oversight
3. Strategic planning and resource allocation
4. Operational procedures, practices and systems
5. Staff with records management responsibilities
6. Communications
7. Monitoring and reporting
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29 May 2012 ▌ Record Managers Forum
Recent performance audits
Recent audits revealed examples of general poor record
keeping:
Effectiveness of Victims of Crime Programs (February 2011)
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At those third-party services providers where the
importance of record keeping was emphasised, case
workers kept better records.
Allocation of Electronic Gaming Machine Entitlements (June
2011)
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There were inconsistencies in information held about
venue operators. Accurate data on venue operators is
critical for monitoring compliance with the regulatory
framework.
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29 May 2012 ▌ Record Managers Forum
Recent performance audits
Audits revealed privacy concerns as a result of poor record
keeping:
Maintaining the Integrity and Confidentiality of Personal
Information (November 2009)
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Departments could not provide assurance that their
information assets were secure.
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Personal information from databases was stored in places
that were not secure, or exchanged in formats that were
not secure.
→ These audits suggest there are still areas for improvement
in relation to record keeping in the VPS.
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29 May 2012 ▌ Record Managers Forum
Freedom of Information
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•
Tabled April 2012
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Audit objective – to determine the extent to which:
• Departments and agencies comply with the Freedom of
Information 1982 and the FOI Guidelines
• FOI is administered effectively and efficiently in
selected agencies.
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Scope
• High level review of the 11 departments and Victoria
Police
• In depth examination of Department of Human Services
and Victoria Police
29 May 2012 ▌ Record Managers Forum
Overall conclusion
• Apathy and resistance to scrutiny have restricted
the amount of information being released.
• Principal officers are not being held to account for
their agency’s underperformance and
non-compliance in relation to FOI.
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29 May 2012 ▌ Record Managers Forum
Findings – high level review
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The Department of Justice (DOJ) has not adequately
championed the proactive release of information.
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The annual report to Parliament on agencies’ FOI
performance does not fulfil the letter or intent of the Act.
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Training for FOI officers is inconsistent and focuses on the
technical application of the Act, rather than the outcomes
sought by the legislation.
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29 May 2012 ▌ Record Managers Forum
Findings – high level review
Average time to complete FOI requests by agency 2010–11.
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29 May 2012 ▌ Record Managers Forum
Findings – high level review
Poor records management is having a negative impact on the
processing of FOI requests and subsequent release of
information to applicants.
Files at the Department of Human Services
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29 May 2012 ▌ Record Managers Forum
Findings – in depth review
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DHS is inappropriately excluding records held by its
community service organisations from the FOI process.
DHS is inappropriately offering to waive processing
charges. This practice affects some of the most vulnerable
members of society.
Victoria Police has not met the FOI statutory time limit
between 2006–07 and 2010–11.
Victoria Police does not adequately store official records.
Victoria Police is inappropriately narrowing searches for
documents.
Victoria Police does not adequately communicate
applicants’ appeal rights.
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29 May 2012 ▌ Record Managers Forum
Overall reflections
Records management is fundamentally important.
Challenge is to align it with business needs
• Resource constraints versus external imperatives (i.e.
responding to FOI requests).
VPS is using public money in trust, so we need to:
• Do the right thing, and
• Show we’re doing the right thing → records management.
Record managers should embrace FOI – it is imperative that
records be well kept for the sake of the FOI process.
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29 May 2012 ▌ Record Managers Forum
Questions?
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29 May 2012 ▌ Record Managers Forum
More information
All our tabled audits and information on upcoming
audits is available at www.audit.vic.gov.au
Level 24, 35 Collins Street Melbourne
Victoria 3000
Australia
+61 3 8601 7000
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