GAUTENG PROVINCIAL ARCHIVES

GAUTENG PROVINCE – STATE OF RECORDS

PRESENTED BY ELIZABETH MBATHA

Introduction

Records management is gradually becoming the central theme in legislative pieces

such as National Archives and Records Service Act (Act No.43 of 1996), Gauteng

Provincial Archives and Records Service Act (Act No. 5 of 2013), the Municipal

Finance Management Act (Act No 56, 2003), the Public Finance Management Act

(Act No 1, 1999), Promotion of Access to Information Act (Act No. 2, 2000), and the

Promotion of Administrative Justice Act (Act No. 3, 2000).

Records management is acknowledged as one of the pillars of an accountable and

transparent administration.

Records are evidence of official business. They have on-going use as a means of

accountability, operational continuity, and legal evidence. They also form the

memory of the institutions that created them and by extension, they are part of

society’s memory and the broader cultural heritage.

BACKGROUND

The Constitution requires the devolution/provincialisation of the government’s responsibility for archives from the National

Archives to the Provincial Archives

Provincialisation: According to the constitution public archives are "functional areas of exclusive provincial legislative

competence.

Transformation of the public archives affords the nine provinces of South Africa substantial autonomy in the responsibility of

provincial Archives respectively.

Provincial Archives are positioned in the provincial departments of Sport, Arts and Culture. Not all the provinces have

provincialised their archival services yet. When the Gauteng Provincial Archives and Records Service is fully provincialised, All

Gauteng records that were initially stationed at the National Archives and elsewhere but belong to Gauteng Provincial

Archives; will have to be relocated to where they belong.

Provincialisation Of Gauteng archives supports the multi-pillar programme of radical transformation, modernisation and

industrialisation (TMR) of Gauteng.

The Department of Sport, Arts, Culture and Recreation has moved in earnest to implement its mandate of provincialising the

Gauteng Archives and Records Service as follows:

Gauteng Provincial Archives and Records Service established in 2004

The Gauteng Provincial Archives and Records Services Bill Policy Proposal was approved in 2011

The Gauteng Provincial Archives and Records Services legislation was developed in 2012 and this led to the promulgation of

the Gauteng Archives and Records Service Act (Act No. 5 of 2013) .

The Regulations For The Gauteng Provincial Archives and Records Service Act, 2013 (Act No 5 Of 2013) were enacted in 2015.

The Department is now in the completion stage of building the Gauteng Provincial Archives repository.

Expected date of completion is October 2016

CREATION OF RECORDS

All records created during the course of normal business activity of a governmental body, including those created by contractors, are the property of that governmental body until they are either destroyed or they are transferred to an archives repository.

Ensure that the governmental bodies create records that adequately document their business activities

Policy - Ensures that information contained in records is managed effectively

File plans – framework for a consistent approach to classifying information, and it improves intellectual control of records and also improves access to records.

Retention schedule - determines the length of time that records should be retained as per the organisation’s requirements

Procedure manuals – guideline to all staff on how the file plan should be read

Status Quo –

Improved compliance in terms of policies, file plans, procedure manuals

Retention schedules and records other than correspondence - challenge

CLASSIFICATION AND STORAGE OF RECORDS

All records generated by governmental bodies are classified, arranged, and described in line with records classification systems determined by the Provincial Archives and Records services.

Ensure that information can be identified and retrieved when required by providing well-structured records classification systems.

Approved file plans

• Correspondence systems -

• Records other than correspondence systems

• Retention schedule

Promotion of File Plan implementation

Status quo –

No File Plan implementation

Centralised vs decentralised

File Plans not developed for political offices – office of the MEC - Gauteng Govt. Dept.

INSPECTION OF RECORDS

Inspections

To ensure that relevant information is available regarding the record keeping and records management practices of the body.

Audits done

Policies, procedure manuals and file plans in place

Adequate storage accommodation

Control of access and movement of records

Security control

Disaster recovery

Status quo –

No compliance

Lack of capacity

Only Policies, procedure manuals and file plans are in place

Resistance

Sedibeng peer review - assistance

DESTRUCTION OF REORDS

All official records are created for an identifiable business or administrative purpose. Most records can be destroyed once that purpose has been fulfilled and all legal and accountability requirements for their retention have been met.

Destruction of records should not take place without the assurance that the record in question is no longer required for any outstanding work, litigation, investigation or any request in terms of Promotion of Access to Information Act (PAIA) or Promotion of Administrative Justice Act ( PAJA)

The consequences of non-compliance and non-accountability as well as poor records management practices in public administration has been raised by National Archives as follows:

“The fact that there is no central control over the records and it is difficult to determine if records of transactions are created in the first place. It is also difficult to pinpoint which are the authentic official records. Due to the lack of central control over the records and the lack of records management awareness amongst the staff, records are destroyed without disposal authorities being issued for them. This tendency is creating a risk that governmental bodies could be held legally liable when information is requested in terms of the Promotion of Access to Information Act, 2000 or when written reasons for administrative decisions are requested in terms of the Promotion of Administrative Justice Act, 2000. Furthermore, governmental bodies could also be at risk when records are needed for legal action”.

DISPOSAL OF RECORDS

Ensure that there is a systematic disposal programme in place and that records are only disposed of in terms of a written disposal authority issued by the national archives

To ensure identification and preservation of official records providing evidence of the source of authority of the government and public sector bodies.

Endorse appraisal applications to facilitate disposal

Conduct Appraisals -

Advise/Endorse retention schedules

Check and confirm if the appraisal process has been performed

Status Quo

Minimal assistance from provincial Archives because of capacity

Off site storage without appraisals

No retention schedules in place

Records other than correspondence system

Microfilm without guidance

Offsite storage without guidance

ACCESS TO RECORDS

Compliance in terms of PAIA, PAJA and Audit purposes

It is of utmost importance that governmental bodies and the Archives and Records Service know where records are located at any given time, to give effect to the provisions of the Promotion of Access to Information Act, 2000 and the Promotion of Administrative Justice Act 2000

• Ensure that information is retained as long as required and is readily accessible but also that that the right information is being created in the first place in order to document accurately the decisions being made or transactions undertaken

Status quo –

No File Plan implementation

Unclassified records in registries or offices

Resistance to declare records – end users

Security – No restricted access

Classified records – No direction

ELECTRONIC RECORDS MANAGEMENT

• To ensure that all electronic records are managed according to the requirements of the National Archives and Records Service / Gauteng Provincial Archives and Records Service and good governance.

Planning with provincial/Gauteng Provincial Archives

Determines the condition subject to which records may be microfilmed or electronically produces

Determines conditions subject to which electronic records systems should be managed

Compliance

ISO standards

Synchronisation with paper based system

Systematic disposal

Records systems other than correspondence systems schedules

Authenticity

Integrity

Status quo –

Records Tracking systems

Implementation without RM consultation

Gauteng Provincial Archives consultation

Not RM needs based/ No Records management feature/functionality

Non- compliant - no standards

Inappropriate metadata – access limitations

No e-mail preservation

ELECTRONIC RECORDS MANAGEMENT CONT.

Electronic records management systems in Gauteng client bodies

33 governmental bodies

6 – implemented ERM: Sedibeng, Lesedi, Emfuleni, Midvaal - Quidity

West Rand District municipality – Collaborator

Dept of Social Development – SAP – Supatsela

Dept. of education - SAP

Health and Infrastructure Development1 – in planning stage

Non compliance with Electronic Communications and Transaction Act (Act No 25 0f 2002)

EMAIL MANAGEMENT

• E-mail preservation poses persistent problems

• Many governmental bodies do not ensure that e-mails are preserved consistently and do not monitor compliance. Furthermore, many of them use inappropriate preservation strategies, such as using system backup as a means of preservation, or printing e-mails on paper.

• Management of electronic mail remains the most troubling issue.

• Only a few governmental bodies use electronic record-keeping system that comply to the required standard.

• Many governmental bodies, even if they have implemented an electronic record-keeping system, are not able to use it to capture e-mail messages because the record-keeping system and the e-mail systems are incompatible.”

• Non compliance with Electronic Communications and Transaction Act (Act No 25 0f 2002

TRAINING OF RECORDS MANAGEMENT PRACTITIONERS

• To ensure that records management staff understand their responsibilities and acquire the necessary skills to manage records effectively

Training

Forums

Conferences – Sedibeng conference

Peer Reviews – Sedibeng inspections

Status quo –

Provincial Archives annual training

Not focused – records managers and registry heads inconsistency

Accreditation challenges

Course content

Investigation - LIASA

Lack of career awareness – National Archives week career guidance

APPOINTMENT OF RECORDS MANAGERS

Ensure the appointment of a records manager responsible for the effective, efficient and accountable control of all public records in the organisation. An individual appointed to assume responsibility for all records management

• Should be in a senior position – communicate with senior management

• Professional experienced – knowledge of the organization

• Be responsible for planning, organizing, implementing, monitoring, and coordinating the maintenance, protection, retrieval and disposition of all information in the organization

• Records manager and Registry head must be two separate persons

Status Quo

Most records managers are designated and not appointed

Same as registry head

Appointed in junior positions

Records management qualifications still a challenge

In-service training

RECORDS MANAGEMENT FORUMS

To determine what the current record keeping and records management situation is and to ensure the relevant information practice and management in Gauteng.

� Records managers with similar challenges can reach-out to another

� Eliminate duplicated efforts

� Promote awareness and collaboration

� Identify and leverage high-value individuals

� Share best practices

Status quo –

� Gauteng Archives and Records Management Forum

� Sedibeng District, JHB Metro, Dept. of Health and Dept. of Education, Dept. of Social development.

� Isolated knowledge workers - lack of knowledge management

� Lack of consistency

� Non formalised best practice

� Not online

COMPLIANCE

Must be in line with any retention schedules required by law. Financial and HRrecords are normally kept up to 7 years. When an organization is audited by agovernment entity, compliance with the appropriate laws is one of the items thatneeds to be verified.

Ensure that there are evaluation criteria in place to monitor compliance with soundrecords management

Status quo -

33 governmental bodies

� 13 out of 14 Departments – approved file plans

� 11 out of 11 Municipalities + Districts – approved file plans

� 1 out of 4 Departmental agencies – approved file plans

� 0 out of 4 Statutory bodies – approved file plan

� 14 out of 14 Departments – Records managers

� 11 out of 11 Municipalities + Districts – Records manager

� 1 out of 4 Departmental agencies – Records manager

� 0 out of 4 Statutory bodies – Records manager

� The Sedibeng District Municipality awards:

� The Ambassador of Operation Clean Audit Award and Best Municipality inArchives and Records management for the year 2009

PRESERVATION AND ACCESS

Since the establishment of the Gauteng Provincial Archives and Records Management Service,

focus has only been on records management

No preservation function

No access to records of enduring value

National Archives not accepting A20 records – space challenges

Offsite storage by governmental bodies

Gauteng Provincial Archives repository under construction

80% complete – expected completion date – October 2016

Accommodated Indigenous Knowledge systems (IKS)

Repatriation of records

Operationalisation of Gauteng Provincial Archives and Records management Service

37 posts request – acquisition and processing, conservation and preservation, outreach and

awareness, Appraisal and disposal, Electronic records management and office administration.

RISKS

Operational risk, also referred to as transaction risk, is the risk arising from adverse transaction or fraud.

Strategic risk is the risk arising from adverse business decisions or the improper implementation of those decisions.

compliance risk is the risk arising from violations or non conformance with laws, regulations and ethical standards

� Staff time wasted searching for lost or mislaid documents.

� Failure to comply with laws, regulations or contractual requirements. –PAIA, PAJA, POPI

� Failure to comply with standards. - ISO

� Litigation – medical records

� Costly off-site storage. Loss of records

� loss of credibility to stakeholders

� Qualified audit reports

� Loss of Gauteng history and memory

CHALLENGES

Unfunded mandate – Provincialisation: Conditional Grant –

Gauteng provincial Archives: R500 000 – R950 000

Shrinking Budgets – Local Government and Government

departments – Conditional Grant??

Appointment VS Designation of Records Managers – Review Act/Regulations

Non focused Curriculum and Training : MOU with Academic Institutions

Clean and Unqualified audits VS Proper records management: File plan implementation

Electronic information management: ICT conference.

Repatriation of Records: Digitisation

Access: Archives Repositories, Awareness, Oral History

QUESTIONS???/COMMENTS

THANK YOU

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