Monitoring public sector information and records management is a shared responsibility between us and each organisation, under the Public Records Act 2005 and the mandatory Information and records management standard.
The organisations we regulate have told us that they want clearer guidance, advice, and benefits from our monitoring. We’ve designed our new monitoring framework (the Framework) to help us focus our work as regulator of the performance of public sector information and records management. We’ll use what we learn from monitoring to support the sector more effectively to improve information and records management practice and performance.
Two key components form the Framework. Together these will provide a comprehensive view of the performance of information and records management in the public sector:
Annual survey of public offices and local authorities’ information and records management
Audit of public offices information and records management
The Framework is part of a larger work programme to implement our long term strategy, Archives 2057 , and feeds directly into our strategic focus areas of upholding transparency and building systems together. These focus areas demonstrate our intention to support open government principles and shape the processes and systems of public sector information and records management.
The Framework also directly contributes to the Open Government Partnership Third National Action Plan . We are leading Commitment 10, supporting transparency in government by developing and implementing our new approach to monitoring and openly reporting the findings.
Through the Framework, we will:
form a complete picture of the information and records management performance of public sector organisations
track improvement in performance over time
identify and respond to risks, challenges, and opportunities in the management of information and records
identify emerging trends in public sector information and records management
provide visibility of regulated organisations’ performance
provide recommendations and insights on how to improve performance
inform our improvement of our regulatory activity such as education, advice and future monitoring
identify ways we can improve our relationship management and leadership of public sector information and records management
support the work of other regulators and leaders in related fields, including official information, privacy, security and public sector data.
From 2019, the survey of public sector information management will be delivered annually. Survey findings are reported upon and will inform the Chief Archivist's Report on the State of Government Recordkeeping . The survey raw data is also published on data.govt.nz.
Analysis of survey data helps us:
form and share a picture of the performance of public sector information and records management
track performance over time using key health indicators
gather insights on the challenges, risks and opportunities organisations are facing
inform reporting to the government and the public on the state of public sector information and records management
Most regulated organisations, including local authorities, received the 2019 survey. Although we sent the survey directly to Executive Sponsors, it is our expectation that information and records management staff will contribute to the response.
The results of the annual survey benefits organisations by:
providing the opportunity for benchmarking of your organisation’s information management performance
showing your organisation’s information and records management performance over time
The Survey of public sector information management 2019 was rolled out 17 June - 8 July 2019. Public Offices and Local Authorities were invited to respond through SurveyMonkey (online survey tool). Out of 254 organisations invited, 228 responded.
Survey of public sector information management (PDF 1.05 MB) [This PDF is for reference only. It does not show the skip logic as applied in the online version.]
The survey findings report (PDF 2.10 MB) was published on 29 November 2019.
One of our responsibilities under the PRA is to conduct a regular audit of information and records management of public offices. Local authorities are not subject to audit under the PRA.
Audit gives us a point in time picture of the public office’s information and records management. It provides a complementary picture to that gained through survey.
The second round of audit is intended to start during 2020/21.
You can expect to hear more from us as the audit programme develops.