BEST PRACTICE ON GOOD RECORDS KEEPING LIMPOPO PROVINCIAL GOVERNMENT AG SEMINAR: 30 JUNE 2016 THE RANCH HOTEL

OUTLINE OF THE PRESENTATION 1. PURPOSE INTRODUCTION 3. PROBLEM STATEMENT 4. AUDIT OUTCOMES BEST PRACTICE 6. SUPPORT 7. IMPLICATION FOR POOR RECORDS KEEPING 8. CONCLUSION

1. PURPOSE To share Best Practice in good records keeping in the Office of the Premier which is evident in our Audit Outcomes for the past five (5) years.

2. INTRODUCTION Sound/good records keeping and management practices are key to good governance RM provides a basis for accountability and protection of rights and interests of individuals It also forms the basis for policy formulation, managing resources and delivering effective services to the public.

Recorded information regardless of form or medium INTRODUCTION Cont… Recorded information regardless of form or medium Form [correspondence files, maps, plans, registers] Medium [paper, microfilm, electronic format] Evidence of a transaction preserved for the evidential information it contains

3. PROBLEM STATEMENT Employees were keeping records in their offices; Employees operating without approved File Plan and correct reference numbers; Non and delaying in returning of files to Registries which created Internal Audit Queries; Failure by the Office to dispose records from 2004; and Loss of files/documents;

4. AUDIT OUTCOMES FOR 5 YEARS

AUDIT OUTCOMES CONT… In 2009/10FY, Internal Audit was invited to come and audit the Office in records management; The Office of the Premier is one of the Provincial Departments which improved availability of quality supporting documentation to support the financial statements and management information (Integrity of information); Sustain and comply with Objective 1.1. of the Operation Clean Audit Plan of 2012; (Key Performance Indicators & Actions)

Clean Audit Goal stipulated that: AUDIT OUTCOMES CONT… Clean Audit Goal stipulated that: “By 2014, all 13 Provincial Department, 30 Municipalities, and related Public Entities in Limpopo must achieve clean audits on their Annual Financial Statements and implement appropriate systems to maintain and sustain the quality of financial statements and management information”.

5. BEST PRACTICE 5.1. Storage for records Comply with the requirements of OHS & Archives Act; Ministerial, HR, General & Financial Records; Approval to authorize certain Divisions to keep their records was granted.

5.2. Proper records management systems 5. BEST PRACTICE CONT… 5.2. Proper records management systems Classification systems approved & effectively implemented; Records Management Policy & Procedure Manual approved; Standard Operating Procedures in place; Fully implementation of Minimum Information Security Standards (MISS).

BEST PRACTICE CONT… 5.3. Control measures Preserving of original files-Z20 Introduction of a Submission File (Folders); Use of different colours (Z20 Files) Red – Leave Black – Personal Green – Series Blue – PMDS

BEST PRACTICE CONT… Checklist of HR documents (appointments) Registers for incoming and outgoing documents are properly managed; Route Form with all Signatories on the submission with returning standard of 5 working days; Records Management is a Key Result Area in the Performance Instruments of creators of documents;

BEST PRACTICE CONT… Introduction of Help Desk; Weekly / Monthly Meetings with Level 7-12; and Identification of possible audit queries Audit files monthly; and Training & Awareness on Records Management, PAIA & PAJA.

6. SUPPORT Head of the Office 100% support from the Head of the Office. 2. Directors Lead by example of maintaining good records keeping practices; Staff members are conversant with records keeping practices, responsibilities & obligations;

SUPPORT Cont… 3. Manager: Records Management Records management is a key responsibility in the performance instruments of all employees; 4. Information /Deputy Information Officer Handle requests for access to information in terms of the Promotion of Access to Information Act No. 2 of 2000.

SUPPORT Cont… 5. IT Manager Design & maintain appropriate systems, procedures and manual, ensure protection, management, and preservation of public records; 6. Legal Services Manager Keep the Records Manager updated about the development in the legal & statutory environment 7. Registry Staff Physical management of the records in their care.

7. IMPLICATIONS FOR POOR RECORDS KEEPING Create Internal & Auditor General Queries; Limiting the scope of auditors to perform; Non compliance to legislation e.g. Constitution, Promotion of Access to Information Act etc; Loss of corporate memory; Inability to track actions; Retard delivery of services -which may lead to complaints; Limit research processes; Prevent transparency & accountability etc.

GOOD RECORDS KEEPING - OtP All photos has been deleted to ensure the presentation can be downloaded.

GOOD RECORDS KEEPING - OtP

8. CONCLUSION INKOMU!! Records management is a shared responsibility. Good records keeping assists the Limpopo Office to fully comply with the Promotion of Access to Information and Promotion of Administrative Justice Acts respectively. INKOMU!!