BEST PRACTICES: ARCHIVES - Auditor General

1 best practices : ARCHIVES & RECORDS MANAGEMENT & PAIAPRESENTATION TO: AGSA RECORDS MANAGEMENT SEMINAR20 APRIL 2011, EMPERORS PALCE20 APRIL 2011, EMPERORS PALCESEDIBENG 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 theDistrict sIGRC orporateServices,whichdirectlydealswitht hearchivesDistrict sIGRC orporateServices,whichdirectlydealswitht hearchivesand records management applications between the sedibeng DistrictMunicipality and its local municipalities (Emfuleni, Lesedi & Midvaal).

2 What is sedibeng ARCHIVES & Records Management Working Group Forum?Our Forum was established in the past three financial years in terms oftheIGRF rameworkAct, , Municipality. The primary mandate of our Forum is to oversee allthe ARCHIVES and records management applications, enhancelegalcompliance and advise top management on any challenges within our fourrespective municipalities, 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.

3 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 S MEMBERSHIP & GUESTSVISION, PURPOSE & OBJECTIVESV ision:To determine the goals, priorities and objectives for best practices onarchives and records management activities between :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 , PURPOSE & OBJECTIVESW hile 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.

4 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 , 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.

5 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 practices FOR STAYING AHEAD OF THE CURVEP rofessionals 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.

6 In addition, the need for better ARCHIVES , records management and promotion of PAIA comes amid increased scrutiny by both regulators and the court practices FOR STAYING AHEAD OF THE CURVEThe 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 executive support The best remedy advice from our Forum to your Forum is to enhance thespirit of becoming like evangelists to get a buy-in from your seniormanagement even though it is a tough exercise due to competing priorities.

7 Executivebuy-incanbeusedinaddressingthec hallengesthatkeepyour Executivebuy-incanbeusedinaddressingthec hallengesthatkeepyourmany initiatives from being implemented successfully particularly onarchives, records management and PAIA activities educatestakeholders about policies, procedures and best practices , which ultimatelyincreases internal ownership because employees will recognizethat theprogram is a high priority for senior practices FOR STAYING AHEAD OF THE CURVE2. Define your ARCHIVES & Records Management approachA high number of governing 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.

8 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 the varying pieces of legislation, applicable Manuals and Guidelines. best practices FOR STAYING AHEAD OF THE CURVEThe 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 initiallyearmarked to manage physical records in order to address the growing volume of information stored 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 collaborationbetweenRecordsManagers,Lega lAdvisors,Information Managers, IT personnel.

9 This working group will definea records management strategy and then focus on plans aimed to consider annual formulation and adoptionof 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 Promotion of Internal Communication CampaignBe 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.

10 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 practices FOR STAYING AHEAD OF THE CURVE4. Stay on top of regulatory requirementsWhilst 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.