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

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

3. 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.

4. 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.

5. 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

6. 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;

7. 4. AUDIT OUTCOMES FOR 5 YEARS

8. 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)

9. 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”.

10. 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.

11. 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).

12. 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

13. 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;

14. 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.

15. 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;

16. 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.

17. 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.

18. 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.

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

20. GOOD RECORDS KEEPING - OtP

21. 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!!