record keeping, freedom of information and vago investigations

1

Record keeping, freedom of information and VAGO

investigations

Des PearsonAuditor-General

29 May 2012 ▌ Record Managers Forum

2Audit and accountability

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


3Accountability framework


Agencies

ExecutiveGovernment

Parliament

The public

Auditor-General

Independent officer of Parliament

4Purpose 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.


5Records Management in the Victorian Public Sector

• Tabled March 2008

• 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.

• Scope:• Survey of 100 agencies• Detailed review of 8 agencies.


6Findings – public sector agencies

• Senior management don’t do enough to promote and support sound records management in agencies.

• Agencies have not adopted a strategic approach to managing their records.

• Agencies do not adequately monitor their records management activities.

• Agencies are not adequately managing their electronic records i.e. email and website information.

• Agencies do not ensure contractors are aware of, and comply with, the agency’s recordkeeping practices.


7Findings – Public Records Office Victoria

• The Public Records Act 1973 is out-of-date and no longer relevant to today’s business environment.

• PROV has made some significant achievements with limited resources.

• Records management standards have not been reviewed for ten years and do not meet agency needs.

• Provision of PROV’s products and services is not strategically managed.

• A third to half of government agencies are unaware of PROV’s services and PROV does not engage with all agencies.


8Records 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 policy2. Management and oversight3. Strategic planning and resource allocation4. Operational procedures, practices and systems5. Staff with records management responsibilities6. Communications7. Monitoring and reporting


9Recent performance audits

Recent audits revealed examples of general poor record keeping:

Effectiveness of Victims of Crime Programs (February 2011)

• 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)

• There were inconsistencies in information held about venue operators. Accurate data on venue operators is critical for monitoring compliance with the regulatory framework.


10Recent performance audits

Audits revealed privacy concerns as a result of poor record keeping:

Maintaining the Integrity and Confidentiality of Personal Information (November 2009)

• Departments could not provide assurance that their information assets were secure.

• 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.


11Freedom of Information

• Tabled April 2012

• 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.

• Scope• High level review of the 11 departments and Victoria

Police• In depth examination of Department of Human Services

and Victoria Police


12Overall 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.


13Findings – high level review

• The Department of Justice (DOJ) has not adequately championed the proactive release of information.

• The annual report to Parliament on agencies’ FOI performance does not fulfil the letter or intent of the Act.

• Training for FOI officers is inconsistent and focuses on the technical application of the Act, rather than the outcomes sought by the legislation.



Average time to complete FOI requests by agency 2010–11.



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

16Findings – in depth review

• 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.


17Overall 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.


18Questions?


19More information

All our tabled audits and information on upcoming audits is available at www.audit.vic.gov.au

Level 24, 35 Collins Street MelbourneVictoria 3000

Australia +61 3 8601 7000


http://www.audit.vic.gov.au/

record keeping, freedom of information and vago investigations

Documents

records management objectives

records management standards

records management activities

victorian public sector

electronic records

public sector accountable

public record office

record managers forumaudit