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BEST PRACTICES: ARCHIVES & RECORDS MANAGEMENT & PAIA
PRESENTATION TO: AGSA RECORDS MANAGEMENT SEMINAR
20 APRIL 2011, EMPERORS PALCE20 APRIL 2011, EMPERORS PALCE
SEDIBENG ARCHIVES & RECORDS MANAGEMENT WORKING GROUP FORUM
What is Sedibeng Archives & Records Management Working Group Forum?
The abovementioned Forum is a sub-forum under the auspices of the
District’s IGR Corporate Services, which directly deals with the archivesDistrict’s IGR Corporate Services, which directly deals with the archives
and records management applications between the Sedibeng District
Municipality and its local municipalities (Emfuleni, Lesedi & Midvaal).
What is Sedibeng Archives & Records Management Working Group Forum?
Our Forum was established in the past three financial years in terms of
the IGR Framework Act, Act No.13 of 2005 and is chaired by the Sedibengthe IGR Framework Act, Act No.13 of 2005 and is chaired by the Sedibeng
District Municipality. The primary mandate of our Forum is to oversee all
the archives and records management applications, enhance legal
compliance and advise top management on any challenges within our four
respective municipalities, etc.
Key Milestones: Sedibeng Archives & Records Management Working Group Forum
* District-wide alignment on proper archives and records management;
• Improved adherence to compliance and risk managements;
• Has held Peer Review Exercises between the District and its local municipalities in the 2008/2009 financial year;municipalities in the 2008/2009 financial year;
• Sedibeng District Municipality won a national award in Year 2009 for being the best municipality on archives and records management;
• Has successfully hosted a Sedibeng Archives & Records Management Forum Workshop held in Roodepoort.
FORUM’S MEMBERSHIP & GUESTS
VISION, PURPOSE & OBJECTIVES
Vision:
To determine the goals, priorities and objectives for best practices onarchives and records management activities between thesemunicipalities.
Purpose:Purpose:
To provide a focal point for all interested parties from the District andlocal municipalities to become involved and work together and create aculture of archives and records management for sustainabledevelopment and promote an access to information in line with PAIA inSedibeng region.
VISION, PURPOSE & OBJECTIVES
While the scope of our Forum encompasses both formal and non-
formal archives and records management activities as well as
accessibility and promotion of such records by public between our
municipalities, strong emphasis is however placed upon formal archives
and records management systems in terms of the legislation. Thus, the and records management systems in terms of the legislation. Thus, the
objectives of our Forum among other things include:
* Support connections and bring together relevant stakeholders from
archives and records management practices on information sharing to
enhance conformity and legal compliance.
VISION, PURPOSE & OBJECTIVES
• Establish both strategic and operational collaborations in order to
increase cohesion and leverage in creating a culture for archives and
records management within our municipalities;
• Establish first order principles of sustainability of archives and records
management;management;
• Identify the status of archives and records manage-ment both formal
and informal, identify gaps, opportunities and priorities for future
public records;
• Promotion of PAIA throughout the region.
BEST PRACTICES FOR STAYING AHEAD OF THE CURVE
Professionals i.e. Records Managers, Information Managers, etc across
many governing bodies continue to face archives and records
management as well as PAIA related challenges. Thus, those that fail to management as well as PAIA related challenges. Thus, those that fail to
update and standardize their archives, records management and PAIA
Manuals and procedures capabilities may bear higher operational costs,
associated risks and litigation, etc. In addition, the need for better
archives, records management and promotion of PAIA comes amid
increased scrutiny by both regulators and the court system.
BEST PRACTICES FOR STAYING AHEAD OF THE CURVE
The following best practices principles based on the experience of the
Sedibeng Archives & Records Management Working Group Forum
constitute leading practices that are key to assist the governing bodies
to meet the heightened challenges of archives, records management to meet the heightened challenges of archives, records management
and PAIA activities:
Motto: “Don’t wait for things to happen but rather make
things to happen”
BEST PRACTICES FOR STAYING AHEAD OF THE CURVE
1. Obtain executive support
●The best remedy advice from our Forum to your Forum is to enhance the
spirit of becoming like evangelists to get a buy-in from your senior
management even though it is a tough exercise due to competing priorities.
● Executive buy-in can be used in addressing the challenges that keep your● Executive buy-in can be used in addressing the challenges that keep your
many initiatives from being implemented successfully particularly on
archives, records management and PAIA activities e.g. educate
stakeholders about policies, procedures and best practices, which ultimately
increases internal ownership because employees will recognize that the
program is a high priority for senior leadership.
BEST PRACTICES FOR STAYING AHEAD OF THE CURVE
2. Define your Archives & Records Management approach
A high number of governing bodies…be it National, Provincial or Local
Government are streamlining their respective archives and records management
policies, retention schedules and other related processes with goals in mind. policies, retention schedules and other related processes with goals in mind.
Therefore, in this profession, we should at all times, learn and acknowledge
“Change Management Initiatives” within the environment that we live and work at
i.e. the varying pieces of legislation, applicable Manuals and Guidelines.
BEST PRACTICES FOR STAYING AHEAD OF THE CURVE
The two goals in mind refers to:
• First being that they want to make policies and processes as user-friendly as possible; and
• Second, they need to update their programs initially• Second, they need to update their programs initially
earmarked to manage physical records in order to address the growing volume of information stored electronically.
In order to accomplish the above, fellow professionals are requested to consider establishing their cross-functional working group forums that will spur
BEST PRACTICES FOR STAYING AHEAD OF THE CURVE
collaboration between Records Managers, Legal Advisors,
Information Managers, IT personnel. This working group will definea records management strategy and then focus on plans aimed atachieving their strategy. We would like advise our fellowachieving their strategy. We would like advise our fellowprofessionals to consider annual formulation and adoption of yourrecords management strategy, which in turn will assist you to focuson your daily operational goals and objectives via all the applicableprogram within your strategy, which is approved and budgeted for.
3. Promotion of Internal Communication Campaign
Be a self-marketer within your profession. Always make sure that you
get the message out there no matter how less appreciated your
executive support or fellow staff may be towards archives and records
BEST PRACTICES FOR STAYING AHEAD OF THE CURVE
executive support or fellow staff may be towards archives and records
management field. Ensure that once your strategy, policy and
procedures are in place that you should organize “Information
Workshops” to let staff know that changes are afoot. Thus, make sure
that you “sell” the value of archives, records management and PAIA
compliance to your fellow staff members and members of public.
BEST PRACTICES FOR STAYING AHEAD OF THE CURVE
4. Stay on top of regulatory requirements
Whilst we should acknowledge that we operate in highly regulated
environments, we should keep close track of new regulations, which could
affect our archives and records management programs. The PAIA affect our archives and records management programs. The PAIA
legislation, for example, plays a key on our public records that may have
statute of limitations for accessibility. Thus, be part of the change and do
not talk and live in the past… and keep on saying… “I am 35-years here
working and we don’t issue out “patient files” to members of public.
Otherwise watch out for SAHRC on your doorsteps!
BEST PRACTICES FOR STAYING AHEAD OF THE CURVE
5. Monitor compliance and measure performance
Kindly ensure that once your records management programs being within your annual strategy is created and approved, you (professionals) should establish mechanisms for monitoring compliance with retention policies and measuring the effectiveness of the archives and records management processes.with retention policies and measuring the effectiveness of the archives and records management processes.
Measure performance by assessing a number of the end-users trained as well as the information storage on legal compliance. Be able to classify the records that ephemeral and those that have value to your organizations. You should initiate internal audit plan of your records management to measure your competencies.
In conclusion, there many law case studies in relation to non-compliance
both on key legislations particularly on NARS and PAIA and this failure costs
many organizations so much for facing litigation, audit queries and
investigations. Therefore, remember if your organization does not have an
approved file plan, policy, please make an effort to visit your nearest
Provincial Archives and/or National Archives offices. With regards to the
PAIA compliance, the SAHRC is available to offer support to us.
THANK YOU!
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