IPSP Learning Network Workshop on Records Management

CSIR Conference Centre, Pretoria 28 November 2002

Report

1. Introduction

The workshop was attended by approximately 35 representatives of provincial governments and archives, together with senior staff of the National Archives. The proceedings of the day-long meeting consisted largely of discussions of provincial records management problems and possible solutions. The International Records Management Trust (IRMT) was invited to participate and asked to provide a brief outline of the work it had done elsewhere, particularly in relation to improving the management of personnel records, and to recommend approaches at the practical level. A short video on issues relating to the management of personnel information in Tanzania was also provided. Prior to the workshop, a proposed approach to improving records management at the provincial level had been suggested by the National Archives. The approach, which was a main focus of discussion for workshop participants, involves the establishment of records management Forums in each province. The Forums will enable records and information management problems to be identified and intervention co-ordinated. The Forums will also allow for standard policies and procedures to be introduced across departments and enable the sharing of knowledge and skills in tackling records management problems. More details of the proposed approach are provided in the next section.

2. Strategy for Records Management in the Provinces: Presentation by the National Archivist

A presentation was made at the workshop by the National Archivist proposing a strategy that would provide the basis for a project to improve records management in the provinces. The National Archivist described the records management challenge facing the provinces. Though the National Archives has a well-trained staff and there are skilled individuals in some provinces, there is a severe lack of capacity and resources to manage the nation’s records and archives. The National Archives Act and Constitution divides responsibility for the records of public bodies between the National Archives and provinces. The Records Management Division within the National Archives has approximately 10 professional staff, serving not only central government (with 4000 client offices), but those provinces that still lack an archives infrastructure. The relationship between the national and provincial archives is that the National Archives sets the broad framework and the provinces draw up their own policies. Each province is therefore responsible for its own records and archives and also for the records and archives of local authorities within the province. Only three provinces ‘inherited’ functioning archives and the National Archives continues to administer certain provincial archives. However, the aim is that by 2003 all remaining provincial offices will be fully ‘provincialised’. Each province has a different capacity to manage its records. Furthermore, when the provinces were established in 1994, they inherited administrative practices from different structures; some departments were amalgamated and new departments were set up. Typically, a province has 10 or so departments. A further challenge is to enable public bodies to comply with the requirements of the Promotion of Access to Information Act which was passed in 2000 and is being implemented in stages. The Act requires an ‘information officer’ to be appointed for each public body. This officer must compile in at least three official languages a manual containing, among other details, a description of the structure and functions of the body, contact details, and sufficient information to facilitate a request for a record of the body and a description of the services available. This legislation has enormous implications for record keeping and management in the provinces. The solution proposed by the National Archives, in consultation with DPSA, aims to implement the National Archives Act within the spirit of the Constitution. It envisages appointing ‘departmental records managers’ in the provinces, as provided for in the legislation. As noted, the Access to Information legislation requires that there must be an information officer; overall responsibility for records management could also be assigned to the information officer so that the two related responsibilities are linked in the same office. There is also a need to link responsibility for records management to the Premier’s Office in each province so that a cross-province service could be provided. Provincial archivists are not generally well placed to undertake a cross-province role. The National Archives’ solution also envisages the creation of a records management Forum in each province, thereby bringing together records managers from the line departments. This would facilitate a collective approach, would promote knowledge sharing and common standards and would enable a body of expertise to be built up. A priority area to be tackled in the provinces is human resource records. Unless these records are brought under control, DPSA is limited in its ability to solve other management problems. The strategy proposed by the National Archives would include pilot projects in human resource records. Section 4 below provides more details of the proposed Forums and other strategies and solutions as the outcome of discussions during the workshop. At the end of the report (Section 7) is a suggested outline programme for capacity building in provincial records management. Partners in government and the donor community should be sought to support the implementation of this strategy as part of a Provincial Records Management Capacity Building project.

3. Records Management in the Provinces: Problem Areas

Though the following issues were raised by representatives of individual provinces, comments by workshop participants indicated that these issues are common to many provinces. Northern Cape and North West The main area of concern was the lack of co-operation and compliance with records management systems by senior managers, some of whom deliberately ignored procedures and regulations. In discussion, reasons for this lack of compliance were suggested: these included mistrust of record keeping systems, covering up of corruption, and a result of senior managers regarding records as part of their personal record keeping systems. It was also noted that standards set by the National Archives are more likely to be taken seriously, than advice provided by Provincial Archives. Mpumalanga Concerns were expressed about the designation or rank of records managers and their insufficient status. The level of representation in the records management Forum was also an area of concern. In discussion, inconsistencies between provinces in the level of appointment of records managers was also mentioned. Eastern Cape Inconsistencies in the placement of the provincial archivist and the archives and records management functions within the administrative structure were mentioned. There was also a lack of performance indicators to assess the effectiveness of records management systems. It was felt that stricter penalties for non-compliance with legislative requirements would improve record keeping practices. The comparison was made with financial regulations. Public servants were more respectful of financial regulations because of the serious consequences of non-compliance. KwaZulu-Natal The lack of a professional ‘profile’ for archivists and records managers was raised as a concern. Limpopo Lack of capacity was a major problem. Capacity building and skills development were needed. There was also a duplication of effort caused by a lack of co-ordination between provincial archives and other parts of provincial administration. For example, activities aimed at improving records and information management were felt to be duplicated by the Office of the Premier and the Provincial Archives. In discussion, the comment was made that line departments could try to bypass the Provincial Archives and make direct contact with the National Archives. However, the Forums were intended to provide a channel of communication. Free State The high turnover of registry staff was mentioned. There was also a lack of equipment, such as file covers and filing cabinets. Other Issues of Common Concern Advocacy of records management by the National Archives was essential to persuade Provincial Directors General of the importance of sound records management as a foundation for good governance and efficiency. Some participants perceived a lack of national standards and guidelines that could be followed by provinces, though the National Archives was working in this area. The high turnover of records staff and the shortage of records management equipment and supplies in client offices were common problems. The low status and importance given by client offices to the registry and generally to the records management function was a common perception. Similarly, there was a lack of recognition of provincial archives by client offices.

4. Other Issues Raised

Personal Files While much effort and resources have already been invested in improving the quality and completeness of personnel records in the provinces, there was still a need to tackle the problem of access to the large quantities of personal files in paper format. Furthermore, though files should contain reliable, accurate and legally verifiable evidence of individual employment history, many files were known to be incomplete. A consultant from Deloitte and Touche reported on a file tracking system being used to control the location and retrieval of large numbers of the Eastern Cape Department of Social Security files. The intention was that the files would be located physically in district offices, but that information about the location of individual files would be available electronically in all offices. One benefit of the system is that files do not need to be returned to the original location after use as the system can be updated with a new location when the file is put away. Another advantage is that boxes can be filled to the maximum with this system of random storage. However, this system would not be suitable for all filing systems, for example those in which the original physical order of the files needs to be preserved so that they can be retrieved in sequences or blocks. In this case, there would need to be the discipline or a reliable mechanism of replacing files in the exact location from which they were removed. The issue of power failure was also raised as a possible drawback of the file tracking system if speed of access to files was an important factor. If the electricity supply was unreliable, files could only be accessed quickly and effectively if the system was continuously backed up by a printed paper print, or there were back up power systems. Either option would add to the cost. The very large quantities of personal files that are reported to exist in provinces, frequently in conditions of disorder, suggest that the file tracking system would not be suitable for immediate implementation, though it may be suitable when order has been established. A first step would be to remove and dispose of personal files of no further value that were not required for evidence of employment history and entitlements; an additional step would be to bring together files relating to the same individual so that a more complete employment history would be available in one place. These exercises could be undertaken as pilot projects. Records Management Inspections The National Archives needed more staff to fulfill its inspection role. One option, however, was to work with the Auditor General so that auditors could report record keeping problems found during audits to the National Archives.

5. Possible Solutions and Actions

Participants discussed possible solutions to the problems they had identified and also discussed and agreed on the way forward. The Role of the Provincial Records Management Forums Key to the strategy to improve records management in the provinces was the establishment of Records Management Forums. It was envisaged that the Forum would bring together in each province records managers from line departments. (In discussion, it was noted that though there is a statutory requirement for each department to have a records manager, some departments, possibly many departments, had yet to make an appointment.) Provincial archivists should have a key role in the Forum; the Forum would also provide the archivists with an opportunity to interact with records managers in a formal, structured setting. Director Generals should decide who will be the chairperson of the Forum. Terms of reference for the Forums already exist and some Forums have already been set up. However, it was agreed by workshop participants that the terms of reference may need to be revised and the role of the Forums more precisely defined in the light of discussions during the workshop. The National Archives should take responsibility for preparing new terms of reference. There was some discussion about whether the Forums should be located within or outside governments. The general view was that they had to be part of the government structure, though links could be established with external bodies, such as SASA, IRMT and the Auditor General. A primary function of the Forum will be to create the environment for good records management in the provinces. To provide it with the necessary authority, it was envisaged that the Forum would report to the Governance cluster of provincial government, perhaps being a sub-committee to that body. Once the Forums were functional, the National Archives would intervene in the provinces only through the Forums. Another important function of the Forum would be to monitor and evaluate record keeping practices, perhaps by means of standard check lists or assessment tools. The inspection role was important in identifying record keeping problems: for example, whether the filing system is being implemented both at head office and at the district level. The suggestion was that copies of inspection reports should be sent to the Director General and MEC of the relevant department so that remedial action could be taken. Capacity would need to be built in some provinces so that this inspecting function could be carried out. In the meantime, assistance would be needed. The National Archives has the capacity to train provinces to inspect. In discussion, representatives of North West and Eastern Cape Provinces expressed concern that their provinces lacked the capacity to implement Forums.

Other strategies and solutions An audit of current records management/archives skills, structures and levels of responsibility in the provinces was suggested. From this, roles, responsibilities and goals could be agreed. A vital requirement was to upgrade the skills of provincial archivists and key records managers, particular those located in Premiers’ Offices. Lack of capacity to manage electronic records was an area of particular concern. Department records managers also need some training in broad principles. It was agreed that a training plan should be prepared. The issue of capacity building is dealt with in more detail in Section 6 of this report. Funding for further training would need to be identified and secured.

6. Next steps

It was agreed that the outcomes of the workshop of 28 November would be circulated by 8 December. The workshop discussed mechanisms to convince provinces of the need to establish Forums and take action to improve records management. The recommendation was that a document reporting the outcomes should be sent to Provincial Directors General, and copied to Provincial Archivists. A document would also be presented by the National Archivist to the next Directors General Forum, to be held in February 2003, and to the National Governance Cluster, also meeting in February. Forums should be set up in all provinces as a matter of urgency. The aim is that Forums should be able to meet by early March 2003. This could be followed by a meeting of the provincial archivists coordinating committee towards the end of March. Provinces will need to nominate suitable persons to serve on the Forum. Names and contact details of provincial archivists, deputy archivists and records managers in line departments will need to be obtained by February 2003. Comments were invited on the draft job description for records managers of government bodies, presented to the workshop by the National Archives. One of the Forums’ first requirements will be to identify records management training needs. Once these needs are known, a training programme can be costed and donors approached for funding. Performance indicators to assess record keeping systems and practices were also needed. A national forum of provincial archivists could be a later development. Similarly, a sub-forum for local authorities could also be established.

7. Capacity Building: Some Suggestions for a Training Programme for Provincial Records Management - IRMT

The objective is that Forums will identify training and capacity building needs by February 2003. All Provincial Archivists, Secretaries/Chairs of Forums and departmental records managers need to be trained as a part of the proposed programme. Training for records staff should also be planned and designed, though the training itself is not regarded as part of this suggested programme. However, awareness raising for the users of records should be considered for inclusion. In summary, the programme should include the following components:

Training relating to the Forums

An initial short course is needed, aimed at establishing the Forums as effective bodies, capable of intervening in provincial administrations to improve records management practices. The course could include, for example, techniques for assessing the strengths and weaknesses of records and information management systems, problem solving in common areas of concern, building strategies for improving record keeping standards and services, and integrating records and information management with the strategic planning process within the province. There will be a continuing need to provide guidance and mentoring to the Forums. This could include, for example, assisting with the analysis of record keeping problems, with the design of methodologies and remedial action to provide solutions, to monitor follow-up action by departments and to support the design, implementation and evaluation of pilot projects.

Training for provincial archivists and key records managers

More advanced and intensive training is needed by provincial archivists and by the key records managers (those located in Premiers’ Offices). This would aim to build their knowledge and capacity in all key areas of records and information management, as well as familiarize them with current international thinking and practice. The training programme could be customized to meet the needs of the provincial archives and premiers’ offices. For example, it could be delivered in phases, with the first part of the training dealing with principles and standards of good practice, and later courses covering particular areas such as electronic records management. Training could be conducted centrally, for example, at a training venue in Pretoria. Training of records managers needs to include the broad principles and practices of records and information management, and possibly capacity building in those areas that are of major concern, such as decongestion (removal of inactive records from current systems and their subsequent management), the retention and disposal of non-current records based on disposal authorities approved by the National Archives, and the integration of paper and electronic record keeping systems. Training of records managers would need to be conducted in their own provinces. Between ten and 20 records managers, i.e., those who participate in the Forum, would be trained together. The ideal would be to use a small number of trainers (records management practitioners with wide international experience and a proven track record in training) who would conduct training in each province in turn. This would ensure consistency of approach and standards. Training could take place over a period of between one and two years depending on the number of trainers involved. As a first step, the trainers would be required to evaluate the National Archives’ existing training courses and adapt them as necessary.

Awareness Raising for Heads of Departments

The training programme should include presentations to heads of departments and possibly records users and their role in supporting and maintaining effective record keeping systems. These sessions would help to explain the benefits of sound records management and the role of the creators and users or records.

Training of Key Project Personnel

There is a need to increase the exposure of key personnel within the National Archives to current records management practices internationally. It is suggested that two senior members of the records management staff of the National Archives (or one person from the National Archives and another from a province) should participate in a short study visit to London where they have the opportunity to learn more of current initiatives in records and information management, and meet with IRMT consultants and staff of the Public Record Office (National Archives) for detailed discussions and learning workshops.

Participation of Experienced Records Professional from the African or Caribbean Region

Much benefit would be derived by inviting an experienced records professional/educator from a developing country to take part in the training of provincial archivists and records managers, to lead discussions and to share experiences. There are a number of highly qualified African professionals, all with PhDs in records and information management, who would be capable of fulfilling this role.