1 RECORDS MANAGEMENT DEVELOPMENT IN LIMPOPO SOUTH AFRICAN RECORDS MANAGERS’ FORUM NOVEMBER 2007 REGINA MAKHUVELE TRANSVERSAL RECORDS MANAGEMENT OFFICE OF THE PREMIER

2 RECORDS MANAGEMENT DEVELOPMENT IN LIMPOPO PRESENTATION OUTLINE Background Challenges Interventions Achievements Lessons Learnt Way forward

3 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

4 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

5 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

6 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Function was in a state of collapse Records were in disarray - –Huge backlog accumulated –Information incomplete and outdated –Files misplaced- could not be located Insufficient resources –Inadequate staff to manage records –Lack of records offices –Dilapidated records storages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]

7 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

8 Interventions The Provincial Administration developed and approved a Strategy to Restore the Integrity of Records : November 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]

9 Interventions Project to Update Manual Records Project to Update Manual Records Aims 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

10 Interventions Project to Update Manual Records Project Implementation [ ] 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 [done without consultants] with assistance of 380 temporary employees

11 Interventions Establishment of RM Units 1Snr Manager Records Management & PAIA Records Manager General Records a& PAIA Records Manager HR Records Records Manager ECM The structure of the Transversal Records Management Unit:

12 Interventions Establishment of RM Units Senior Manager Records Management Manage RM & PAIA Deputy Manager Manager: General Records Manager: HR records Model : Departmental Records Management Structure Below Deputy Manager level- are various posts at operational levels

13 Achievements Project to Update Manual Records: [ ] Backlog on loose filing addressed Functional 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

14 Achievements Establishment of Records Management Units HOD Resolution: 2003 to establish records management units in Departments. Resolution implemented as follows: RM Units created during in all departments –8 Departments have Records Managers at level 13 –3 Departments – Records Managers at level 11/12 RM 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]

15 Achievements Policy, Procedure and Record Keeping Systems Strategic PlansAll Departments prioritised RM in strategic plans Policy8 Departments are implementing approved policies 3 Departments submitted for approval Procedures6 Department are implementing 5 Departments submitted for approval File PlansGeneral File Plans = 11 Depts. are implementing Staff File Plans = 11 Depts. are implementing Ministerial File Plans= 10 Depts. are implementing TrainingAll Depts. implement RM training programmes BudgetCentralised budget From 2006/07 departments have own budget

16 Achievements Promotion of Access to Information –PAIA implementation with effect from Launched in 2002 –Published an article on PAIA in the InterNews [provincial magazine] –Guidelines developed in 2005 Designation of DIO’sAll Departments Section 14 ManualsAll Departments Section 15 Disclosure9 Depts. –published-2 2 Depts. in progress Section 32 ReportsAll Departments submitted TrainingAll DIO’s have been trained Awareness session being conducted Highlights: Won the Openness and Responsiveness Award [Dept. of Health and Social Dev.]

17 Achievements Records Management/DIO Forum establish 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

18 Achievements Through the Records Managers’ Forum the following were 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

19 Achievements ENTERPRISE CONTENT MANAGEMENT Inception : September 2006 Scope : 11 Departments User Requirements Specifications conducted. –Report approved. Solution Design Specification –Document being finalised

20 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

21 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

22 END InkomuMerci