The role of knowledge management and information sharing in capacity building for records managers A case study from South Africa Tshimangadzo (Mangi) Mulaudzi 23 June 2016 Mumbai

Reputation promise “The Auditor-General of South Africa has a constitutional mandate and, as the Supreme Audit Institution (SAI) of South Africa, exists to strengthen our country’s democracy by enabling oversight, accountability and governance in the public sector through auditing, thereby building public confidence.” Focus of the presentation 1.Background 2.Objectives 3.Partnership Roles 4.Capacity Building Initiatives 5.Challenges and Achievements 6.Conclusion BACKGROUND The purpose of the seminars was to encourage records management professionals to ensure clean administration at their respective institutions by exercising proper management of records thereby leading to knowledge management initiatives. A proper records management system need to be in place before one can embark on knowledge management initiatives. A successful knowledge management strategy is dependent on proper information management. OBJECTIVES To enable the records managers to become better records professionals, we had to: gain insight on current approaches, challenges and possible interventions towards record-keeping practices in the public sector determine the need for knowledge-sharing and capacity building, ascertain the state of record keeping in the country

PARTNERSHIPS AND ROLES  Auditor General of South Africa - Audit Record Keeping  National and Provincial Archives and Records Services of South Africa - Prototype file plan for three spheres of Government / Training  South African Local Government Association - Back to Basics  Cooperative Governance and Traditional Affairs - Back to Basics  State Information Technology Agency - Standardisation of Technology  Department of Public Services and Administration - Include Records Management in the Annual Performance Contracts  National and Provincial Treasury - Provide Funding  University of South Africa - Higher Education in Records Management CAPACITY BUILDING - CHALLENGES RAISED  Limited information sharing platforms (online-extranet, forums etc.) The Auditor General of South Africa is creating a platform to accommodate this Provincial Archives are doing training in records management Provincial records management forums are sharing knowledge and information  Lack of training in records management UNISA – Relevant courses offered in records management National Archives to revive the training programme offered by them Hiring or placing of interns to capacitate organisations with skilled personnel Enabling you to become a better records management professional  Authenticity of electronic records The Auditor General of South Africa is in the process of developing a framework  Capacity Building is an ongoing project – life long learning

GAUTENG PROVINCE Challenges  No standardised requirements for procuring electronic records management systems  Budgetary constraints  Records practitioners not appointed nor qualified Achievements  Records management forums established to discuss ISO standards  Established a forum to assist each other with file plan implementation  Knowledge management forum established EASTERN CAPE PROVINCE Challenges  No support or buy-in from senior management  Records management is not taken as a strategic initiative Achievements  Records management forums established MPUMALANGA PROVINCE Challenges  Approved policies and file plans are not implemented  No implementation of recommendation as contained in the inspection reports as issued by the Provincial Archivist  Approved policies and file plans are not implemented  No implementation of recommendation as contained in the inspection reports as issued by the Provincial Archivist Achievements  Unified file plan implemented  Records management forums established

LIMPOPO PROVINCE Challenges  No standardised requirements for procuring electronic records management systems  Budgetary constraints  Inadequate storage facilities  Records practitioners not appointed nor qualified Achievements  The first province in South Africa to  Establish a Knowledge management forum  Establish a Records a management forum  Regularly audit record keeping in the province  Records practitioners are appointed at the right level WESTERN PROVINCE Challenges  Functional structure of records management directorate is problematic  Records management is not taken as a strategic initiative of the governmental organisations Achievements  Unified file plan implemented  Records management forum established  Records managers are appointed at the correct level FREE STATE PROVINCE Challenges  Approved policies and file plans are not implemented  There are no records management strategy and policy  Records management is not taken as a strategic initiative of the governmental organisations Achievements  Establish internship opportunities to support records management in all spheres of government

KWAZULU-NATAL PROVINCE Challenges  No support or buy-in from senior management  Inadequate storage facilities Achievements  Records management forum established  The forum is based on a COP (PAIA and information governance) NORTH WEST PROVINCE Challenges  No support or buy-in from senior management  Inadequate storage facilities Achievements  Round table discussions on records management and supply chain NORTHERN CAPE PROVINCE Challenges  Approved policies and file plans are not implemented  Lack of leadership support+ Achievements  Leadership attended provincial breakfast sessions and undertook to continue supporting records management in different forums.

ACHIEVEMENTS Creation of forums in different provinces and measuring participation in knowledge sharing MOU between relevant stakeholders: The Auditor General of South Africa National and Provincial Archives National and Provincial Treasury Cooperative Governance and Traditional Affairs South African Local Government Association Monitoring and Evaluation (Presidency) Department of Public Services and Administration State Information Technology Agency University of South Africa Senior leadership attend the provincial seminars Feedback from the Provincial Archivist via video conferencing Conclusion Our collaborative approach is delivering measurable change The area of greatest improvement is the level of support from Senior Management To ensure that we maintain momentum we communicate through video conferencing with all the partners Monitor progress on roles and responsibilities by submitting quarterly reports