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RECORDS MANAGEMENT DEVELOPMENT IN LIMPOPO

SOUTH AFRICAN RECORDS MANAGERS’ FORUM

15-16 NOVEMBER 2007

REGINA MAKHUVELETRANSVERSAL RECORDS MANAGEMENT

OFFICE OF THE PREMIER

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RECORDS MANAGEMENT DEVELOPMENT IN LIMPOPO

PRESENTATION OUTLINE

• Background• Challenges• Interventions• Achievements• Lessons Learnt• Way forward

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Background

Limpopo is one of the nine provinces in South Africa.

Geographically Limpopo is situated in the northern eastern part of our

country, sharing International boarders with Botswana, Zimbabwe and Mozambique and national boarders with the North West, Gauteng and Mpumalanga Provinces.

It has the population of about 5.27million which translate into 12%

of the countries population, with the number of public servants currently

standing at 112 900.

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Background

• Amalgamation of 4 former administrations– Comprises

• 11 Eleven Provincial Departments- Districts, Sub-Districts and 41 hospitals

• The Office of the Premier– Centre for coordination and planning

• Transversal Records Management Unit– Coordinate the management of Records

across departments

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Background

As a result of the amalgamation

Functions and staff were transferred to newly established departments

There were policies and plans to guide the transfer of functions and staff

No plan/guidance to determine responsibility for records management

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Challenges

Registry Function was in a state of collapse

• Records were in disarray -–Huge backlog accumulated–Information incomplete and outdated –Files misplaced- could not be located

• Insufficient resources–Inadequate staff to manage records –Lack of records offices –Dilapidated records storages–Insufficient budget[District offices and institutions were hard hit]

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Challenges

Records Management Challenges

• Service delivery compromised– Delay in processing of employee benefits

[pension, leave gratuity]– Insufficient institution memory

• Non-Compliance– Lack of records to serve as evidence– Audit queries– Non-adherence to National Minimum Information

Requirements

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Interventions

The Provincial Administration developed and approved aStrategy to Restore the Integrity of Records : November2000.Strategy recommended the following solutions:

• Establishment of a project to immediately respond to challenges of records management.

• Establishment Records Management Function• Automation of records management systems through

the implementation of IDRMS [ECM]

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InterventionsProject to Update Manual Records

Project to Update Manual RecordsAims• Improve the status of paper-based records

Objective• Establish basic registry function in each department• Address loose filing

Scope• Human Resource Records • Extended to cover general records

Project Sponsors • Integrated Provincial Support Programme [foreign funding] and the • Office of the Premier

Management• Transversal Records Management and Departments

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InterventionsProject to Update Manual Records

Project Implementation [2001-2006]

Project piloted in two Districts [Departments: Education, Public Works, Agriculture and Health and Social Development]

Piloting done with the assistant of Consultants, the DPSA [2001] and 145 temporary staff.

Best practices were documented with the aim of developing a best practice guide to be utlised during the Project roll-out

Project roll-out to all departments and covered all records during 2002-2006 [done without consultants] with assistance of 380 temporary employees

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Interventions Establishment of RM Units

1Snr ManagerRecords Management

& PAIA

Records ManagerGeneral Records a& PAIA

Records ManagerHR Records

Records Manager ECM

The structure of the Transversal Records Management Unit:

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Interventions Establishment of RM Units

Senior ManagerRecords ManagementManage RM & PAIA

Deputy Manager Deputy Manager Deputy Manager Deputy Manager

Manager: General Records

Manager: HR records

Model : Departmental Records Management Structure

Below Deputy Manager level- are various posts at operational levels

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Achievements

Project to Update Manual Records: [2001-2006]Backlog on loose filing addressedFunctional registries [HR, General and Patients Records] established.Records storage facilities improved

• Spacious registry space• Moveable bulk filing cabinets supplied, including versatile

boxes and file plastic containers

Best Practice Model developed and implemented

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Achievements Establishment of Records Management Units

HOD Resolution: 2003 to establish records management units in

Departments. Resolution implemented as follows:

• RM Units created during 2003-2006 in all departments– 8 Departments have Records Managers at level 13– 3 Departments – Records Managers at level 11/12RM Units also created at districts offices and hospitals [level 9-12]

• All departments appointed Records Managers

• The process of filling the posts is on-going [about 60% of 950 posts are filled]

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Achievements

• Policy, Procedure and Record Keeping SystemsStrategic Plans All Departments prioritised RM in strategic plans

Policy 8 Departments are implementing approved policies

3 Departments submitted for approval

Procedures 6 Department are implementing

5 Departments submitted for approval

File Plans General File Plans = 11 Depts. are implementing

Staff File Plans = 11 Depts. are implementing

Ministerial File Plans= 10 Depts. are implementing

Training All Depts. implement RM training programmes

Budget Centralised budget 2001-2006

From 2006/07 departments have own budget

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AchievementsPromotion of Access to Information–PAIA implementation with effect from 2001- Launched in 2002–Published an article on PAIA in the InterNews [provincial magazine] –Guidelines developed in 2005

Designation of DIO’s All Departments

Section 14 Manuals All Departments

Section 15 Disclosure 9 Depts. –published-2 2 Depts. in progress

Section 32 Reports All Departments submitted

Training All DIO’s have been trained

Awareness session being conducted

Highlights: 2007 - Won the Openness and Responsiveness Award [Dept. of Health and Social Dev.]

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Achievements

• Records Management/DIO Forumestablish in 2004 and launched in 2005

– purpose• to co-ordinate records management and PAIA

implementation • to monitor and evaluate the progress made with each

implementation;• to satisfy the need for intervention;• to serve as a centre of records management knowledge

in the province• To promote Records Management profession

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Achievements

Through the Records Managers’ Forum the followingwere achieved:

• Developed training manuals• Process of developing disaster recovery plans

– Identified vital records [all departments]– Developed inventory

• Coordinated the development of departmental RM Business Plans

• Developed Provincial General Disposal Authorities Policy Guidelines

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AchievementsENTERPRISE CONTENT MANAGEMENT

Inception : September 2006Scope : 11 Departments

• User Requirements Specifications conducted.– Report approved.

• Solution Design Specification– Document being finalised

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Lessons Learned

• Executive management buy-in and support

• Meaningful structures and dedicated records staff to work with records-

• Appointment of Records Managers at SMS level

• Provision of Budget for the Programme

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Way Forward

• Intensify the training and awareness on Records Management and PAIA

• Extend the RM Forum to Municipal level

• Implementation of the remaining ECM Phases

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END

InkomuMerciMerci