1. RECORDS MANAGEMENT FOR BUSINESS OPERATIONS
IN SOUTH AFRICA: A MANDATE OR CHOICE?
ARCHIVAL CONFERENCE ON GUARDING AGAINST COLLECTIVE AMNESIA: IS THERE A ROLE FOR RECORDS AND ARCHIVES?
UNISA SUNNYSIDE CAMPUS, PRETORIA
JULY 2011
Ngoako Solomon Marutha
LIMPOPO DEPARTMENT OF HEALTH
ST. RITAS HOSPITAL
Prof. Patrick Ngulube
University of South Africa, School for Graduate Studies

2. Paper is focused on the discussion about
1. Introduction
Paper is focused on the discussion about
Whether a proper records management is a mandate or choice to the organizations.
In South Africa, all business activities whether private or public businesses are controlled by GOVT
through act, regulations, norms, standards, policies and procedures.
At times the business will need to account for the past activities or establish as to whether it was complying or not
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3. 2. Definition of key concepts
2.1 Records 
Recorded information
regardless of physical form or characteristics, storage media or condition of use
E.g. cards, correspondence, disks, maps, memoranda, etc
Records can also be defined as a transaction preserved to be used as evidence in future due to the nature of information it contains (Minnesota Statutes, section , subd.1 & National Archives and Records Service of South Africa Records Management Policy Manual 2006).
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4. Management or control of records in different format
2.2  Records management
Management or control of records in different format
E.g. hard copy files, correspondence, disks, maps, memoranda, microfilm, papers, photographs, recordings, reports and tapes.
‘the systematic control of recorded information from creation to final disposal’ (Webster, Hare and Julie 1999:285 cited Ricks and Gow 1988:20) .
‘an organizational function of managing records to meet operational business needs, accountability requirements and Community expectations’ (Kennedy and Schauder (1998:8)
the organization assigned with the function to manage records to ensure that the organization are able to comply with business operational needs, meet community needs and properly account to the citizens (Kemoni and Ngulube 2008:297 & Taylor (1996:11)
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5. 3. Records life cycle

6. Reason for records management
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Reason for records management 4.
To comply with legislative framework
To ensure that records are easily accessible
To ensure that organizational functions are performed successfully and efficiently;
To ensure efficiency and economy by eliminating unnecessary duplication of records
Retention and disposal programme ensures that the organization maintains only those records it really needs for functional purposes

7. To ensure that privacy and confidentiality are protected
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To ensure that privacy and confidentiality are protected
To prevents inappropriate disclosure of information that could harm the organization or infringe the privacy rights of individuals.
To ensure that access to records are controlled
To control document movement
To control distribution of incoming and outgoing records
To ensure correct classification and filing of records

8. Ensure proper administration of the records disposal programme
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Ensure proper administration of the records disposal programme
To assists with the communication processes and the flow of incoming and outgoing information (registry)
To supply and keep important information
To create the memory of all processes and decisions of the organisation,
to facilitate accountability for what has happened in the past

9. Why legislation mandate organizations to PROPERLY keep records5.
Why legislation mandate organizations to PROPERLY keep records
To facilitate investigation
To prove proper business administration in future evaluation
To ensure availability of evidence
E.g. business expenditure vs income,
Compliance to procedures, standards and norms stipulated
Fraud and corruption

10. 6. LEGISLATIVE FRAMEWORK GOVERNING PROPER RECORDS MANAGEMENT
Like in any other government in Africa and worldwide, South Africa also has legislative frameworks to govern their administration in all spheres of public services.
In order to ensure proper management of records most of the legislative framework has sections emphasizing proper management of records as to how and what must be managed.
This is to ensure accountability for administrative action
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11. 3.1 The Constitution (Act No. 108 of 1996)
section 195:
emphasizes effective, economical and efficient use of resources, provision of timely, accessible and accurate information.
It also requires that the public administration must be accountable.
No proper records management, No compliance & timely access to accurate information
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12. section 3 National Archivist is appointed to:
3.2 The National Archives and Records Service of South Africa Act (Act. No. 43 of 1996 as amended) (NARSSA)  
section 3 National Archivist is appointed to:
ensure proper preservation of valuable records for continuous use
also ensure that public records are properly managed and taken care of.
to assist, support, set standards and provides guidelines for records management
encourage archival and records management activities.
Section 13
“Subject to the provisions of this Act, the National Archivist shall be charged with the proper management and care of public records in the custody of governmental bodies”.
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13. 3.3 The National Archives and Records Service of South Africa Regulations(2002)
The head of the government body must
ensure that records receive proper physical care and have effective records security measures in place
ensure that records are managed according to policies and legislation
ensure that records are managed in relation to National Archives directives and instructions
communicate to National Archives information relating to records management in their department when required by the National Archivist.
To ensure the necessary care for public records.
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14. It state that either the National Archivist or head of government body
It also emphasized issues and procedures relating to
records appraisal, disposal and damage to records.
It state that either the National Archivist or head of government body
may initiate public records appraisal.
The government body must also obtain
disposal authority before disposing records
Disposal process in a form of destruction must be done
under the supervision of the records manager.
destruction certificate must be submitted to the National Archivist
in completion of disposal.
any damage, loss or unauthorized disposal of records must be
reported to NARS immediately
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15. Records classification system and/or its amendments must be
approved by the National Archives
The government body must also report to NARS when intending to implement
records microfilming or
electronic records management system
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16. 3.4 The Public Finance Management Act (Act. No. 1 of 1999) (PFMA)
It was introduced “to regulate financial management in the public service and to prevent corruption”.
The main objective of this act is to ensure
transparent, accountability and sound management of resources
It gives a directive to the public institution to
“keep full and proper records of the financial affairs” for accountability by the accounting officer of that government body
Section 36(2)
the HOD of a constitutional institution is an accounting officer:
“to keep full and proper records of the financial affairs of the department…in accordance with prescribed norms and standards”.
“The accounting authority for public entity must exercise the duty of utmost care to ensure reasonable protection of the assets and records of the public entity”
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17. PAIA was also introduced to promote
3.5 The Promotion of Access to Information Act (Act. No. 2 of 2000) (PAIA)
Aim
to promote and enforce open of access to information in the organisation to protect human rights.
PAIA was also introduced to promote
transparency, accountability and effective governance by empowering and educating the public to understand and exercise their rights;
Citizens to understand the government functions, operation and scrutinize, and participate in decision-making that affects their rights
Section 25
Information officer must respond to information request within 30 days in receipt of the request if information is granted or denied.
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18. Introduced to ensure that administrative actions are
3.6 The Promotion of Administrative Justice Act (Act. No. 3 of 2000) (PAJA)
Introduced to ensure that administrative actions are
lawful,
reasonable and
fair”
Ensure a proper documentation of these actions
Section 5
“any person whose rights have been materially and adversely affected by an administrative action…may request the administrator …to furnish written reasons…”.
Reasons should be furnished within 90 days after receiving the request
else it should be presumed that the administrative action was taken without good reason
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19. This act promotes their use, creation and Acceptance
3.7 The Electronic Communications and Transactions Act (Act. No. 25 of 2002) (ECT)  
Aim
to legalize, facilitate and regulate electronic communications and transactions
to ensure a move to electronic service delivery.
to ensure admissibility of electronic communications and transactions records by building trust on them.
This act promotes their
use,
creation and
Acceptance
“rules of evidence in legal proceedings must not be denied the admissibility of data messages as evidence”
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20. 3.8 Basic Conditions of Employment Act (75 of 1997)
Section 31
every employer must keep records containing information about employees'
names, occupation, period of employment, date of birth and any other information that may be prescribed.
a record must be kept for a period of
three years from the date of the last entry in the record custody.
No person may make a false entry in a record maintained
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21. 3.9 National Information Minimum Requirement
A policy document issued as circular 4 of 2001
by DPSA.
Gathering of information about employees.
Introduce best practice model
for the management of personal files.
Aim to ensure that all information collected on employees
is complete.
files are opened for all employees in all government institution.
It also talks about creation and usage of PERSAL numbers as uniform classification system.
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22. 310 Minimum Information Security Standards (2006)
Policy document on information security
aimed
to provide the necessary procedures and measures to protect information.
part
an effective registry is the core of effective document control and of document security.
All incoming mails must be received, opened in one central registry, and from where it must be distributed internally.
The receiving and distributing must be recorded in the relevant registers.
All documents should be given a security classification level (restricted, confidential, secret, top secret) by the author on creation.
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23. 3.11 Public Service Act (30 of 2007)
Section 41
the Minister of Public Service and Administration
“may make regulations regarding the keeping of records of the functions and organization of departments, of officers and employees and post establishments"
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24. It aims to establish a Companies Tribunal
3.12 Companies Act (No.71 of 2008)
It aims to establish a Companies Tribunal
to facilitate alternative dispute resolution and
to review decisions of the commission.
to establish a financial reporting standards council
to advice on requirements for financial records keeping and reporting by companies.
Section 24(1)
any documents, accounts, books, writing, records or other information that a company is required to keep must be kept in written form, or other form or manner that allows that information to be converted into written form within a reasonable time.
The records must be kept for a period of seven years, or any longer
if a company has existed for a shorter time than contemplated the company is required to retain records for that shorter time.
It also advice on the type of records to keep, storage and access
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25. Aim Section 43 3.13 Public Audit Act (25 of 2004)
To give effects to the provision of the Constitution
establishing and assigning functions to an Auditor General to provide for
auditing of institutions in the public sector and f
or accountability arrangements of the Auditor General.
Section 43
the Deputy Auditor General as an accounting officer in the administration of the Auditor General must ensure a full, true and effective records keeping for all
income, expenditure, assets, liabilities, and all other financial transitions of the Auditor General.
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26. 3.14 FINANCE INTELLIGENT CENTRE ACT (NO. 38 OF 2001)
AIM: to establish a Financial Intelligence Centre and a Money Laundering Advisory Council to combat money laundering activities.
Section 22
the accountable institution must keep records about
establishment of business relationship with other parties or individuals
transaction with clients.
Section 24
Organization may assign the third party to keep records on their behalf, but must have access over those records.
If the third party fails to keep records as required by this act the accountable institution is liable.
Section 25
Representative of the Centre must be given access to any records of the accountable institution in any working day
to examine, make copies or extracts of any of those records.
The accountable institution must give the necessary assistance to the authorized representative immediately.
Section 47 to 48
accountable institution that fails to keep records or intentionally temper with or unauthorized destroys records is guilty of an offence.
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27. 3.15 Income Tax Act (36 of 1996)
to fix the rates of normal tax payable by persons other than companies in respect of taxable incomes for the years of assessment
The act also requires proper records keeping to comply and account for taxable money proven with necessary transaction and expenditure/income records.
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28. 3.16 Protection of Information Act (Act No. 82 of 1982)
AIM: to provide for the protection from disclosure of certain information in an organization.
It discourage people responsible for the security of state records to neglect or fail to comply with the records management directives for the safety of records against unauthorized access.
section 4
any person working, contracted or in possession of confidential or secret information deliberately disclose such confidential information for any purpose which is prejudicial to the security or interests of the Republic is guilty of an offence.
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29.   Conclusion
Records once created they become an organizational property.
Organizations are required by law to keep records generated during their business operation.
SO WHAT?
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30. WE THANK YOU
NO CHOICE.
PROPER BUSINESS RECORDS MANAGEMENT IS AN MANDATE OR OBLIGATION
WE THANK YOU
Ngoako Solomon Marutha
LIMPOPO DEPARTMENT OF HEALTH
ST. RITAS HOSPITAL
Prof. Patrick Ngulube
University of South Africa, School for Graduate Studies