RECORDS MANAGEMENT AND PERFORMANCE MONITORINGPRESENTED BY: RB SINGH.

2018-11-02

PURPOSE OF THE PRESENTATION

• To highlight the importance of a records management programme

• To assist municipalities in their endeavor to reduce negative audit findings.

• Improve the structure, systems and processes required to manage performance information.

• Define the roles and responsibilities for performance information.

• Promote accountability to Parliament, provincial legislatures and municipal councils and the public through timely, accessible and accurate publication of performance information.

• To emphasise that Records Management is an inextricable aspect of a successful Performance Management System.

DEFINITION OF A RECORD

• A record is defined as a document regardless of form or medium created, received, maintained and used by an organisation (public or private) or an individual in pursuance of legal obligations or in the transaction of business, of which it forms a part or provides evidence.

• The term record includes all the documents that institutions or individuals create or receive in the course of administrative and operational transactions.

• The records themselves form a part of or provide evidence of such transactions. As evidence, they are subsequently maintained by those responsible for the transactions, who keep the records for their own future use or others with a legitimate interest in the records, eg Auditors.

DEFINITION OF RECORDS MANAGEMENT PROGRAMME

• A records management programme is concerned with achieving economy and efficiency in the creation, maintenance, use and disposal of the records of an organisation and in making the information they contain available in support of the business of that organisation.

• The objective is to furnish accurate and complete information when it is required to carry out the functions and meet the objectives of government.

• Records management is the area of general management responsible for maintaining records. It includes the management of records from creation and capture, through to maintenance and use and their ultimate transfer to an archives or destruction.

DEFINITION OF MONITORING

• Monitoring involves the collecting-analyzing and reporting data on inputs, outputs, outcomes and impacts as well as external factors, in a way that supports effective management.

• Monitoring aims to provide managers, decision makers and other stakeholders with regular feedback on the progress in implementation and results and early indicators of problems that need to be corrected.

• It usually reports on actual performance against what was planned or expected.

RECORDS MANAGEMENT AS A STRATEGIC RESOURCE

• Records themselves are organizational assets because they document organizational activities and are needed for audit trails, especially in establishing who did what, why and when.

• Records document financial activities, without records meaningful audits cannot be carried out, fraud cannot be proven, and those responsible for the financial management of the organizations cannot be held accountable for their actions.

• Records are a critical means by which organizations maintain accountability to the public.

• Any organisation serious about records management will have records management as part of its strategic plans.

•

RECORDS MANAGEMENT AND AUDITOR GENERAL

Records management

• Proper management and care of recorded information, maintained as evidence of business transactions.(good governance)

• For every transaction in government, a record is created. (performance information)

• Records need to be kept safe and for easy access.

Auditor General

• Ensures accountability and good governance in the public sector –oversight responsibility.

• Gives meaning to how well the public sector manages its performance information.

• No record, no transaction.

RECORDS MANAGEMENT AND AUDITING

A good records system:

• contains complete and comprehensive files thereby enabling effective decision making

• provides integrity and continuity regardless of changes in personnel

• reduces the possibility of misfiling and duplication

• means less time spent searching for files and documents.

Sound records management system will help you increase efficiency and productivity, ease your mind by ensuring you are complying with ever-changing regulatory requirements

RECORDS MANAGEMENT AND AUDITING

The predetermined objectives of Auditing include:

• Reliability and usefulness of performance information.

• Assesses if the measurable targets were actually achieved in service delivery.

• Compliance with laws and regulations.

• Reporting on material non-compliance with key legislation.

• Ensure good administration.

PERFORMANCE INFORMATION

• Performance information indicates how well an organization is performing against its aims and objectives.

• Good performance information helps identify what policies and processes work and why they work.

• Identifies gaps between policy formulation and policy implementation;

• Enhancing Strategic Planning processes; and

• Reflecting the level of institutional capacity to actually deliver services to citizens.

THE ULTIMATE TEST RM / AUDIT

• The ultimate test of a good records management program is whether the records are available to those who need them, when and where they are needed (effectiveness), the manner in which they are made available (efficiency).

• The ultimate test of a clean audit – is whether the records (books) of a municipality are in order and that public funds are utilized in accordance with predetermined objectives. There are transparent records as evidence of all transactions

WHAT NEEDS TO BE DONE?

Put controls in place - Restore public confidence

• Work on Standard operating procedures (Aligned to your KPAs /KPIs)

• Clearly define inputs, processes and outputs (AG uses to understand organisations business processes)

Monitoring and evaluation

• Compile Portfolio of Evidence for each and every process outlined above (eg proof of transactions as per output or recorded source document.)

• Control daily performance, indicate internal controls and keep proper records

• Regular performance review meetings to enforce compliance for improved effectiveness and efficiency.

LINKING STRATEGY TO CORPORATE OBJECTIVESSTRATEGIC GOAL Records Management Programme Benefits

Regulator compliance • Compliance to KZNARS Act

• Assist with compliance to PFMA, PAIA, etc

• Assist with compliance to POPI, Companies Act, and other new laws

• Assist with compliance to King IV

• Assist with compliance to organisation specific legislation

• Assist with compliance to MISS

• Help with clean, unqualified Audits

Customer focus • Faster access to information to support customer queries

• Accurate information to customers to reduce the number of queries

• Providing information to customers in a format they require

• Meet Batho Pele requirements

Risk management • Reduced risk of exposure due to lost information

• Reduced loss of Intellectual Capital

• Tighter security and access control to records

Contract-Lifecycle

management• Proper and accurate control of contracts and supporting documentation (in conjunction with contract

lifecycle management systems)

• Use of the correct versions of contracts

• Easy access to contracts to support decision making processes

LINKING STRATEGY TO CORPORATE OBJECTIVES

STRATEGIC GOAL Records Management Programme Benefits

Improved Operational Performance •Lower costs of storing information

•Easier and faster access to accurate information

•Reduced time to complete processes

•Greater collaboration between employees, especially cross-functions or operational divisions

•Standardised processes, naming conventions, procedures leads to reduced time and effort in

creating, storing, finding and retrieving information

Human capital development:

Motivated and value-adding

employees

•Less time spent wasted on unproductive tasks

•Reduced time wasted on finding information

•Employees can focus on value-add and contributing, instead of being permanently frustrated due

to the inability to access the information tools necessary to perform their jobs

•Enabling a knowledge sharing environment

•Employees prefer working in organised, well governed environments with easy access to

supporting tools

•Employees provided with the tools to guide them in how to handle records properly

WHAT NEEDS TO BE DONE?

KZN ARCHIVES AND RECORDS SERVICES REQUIREMENTS

• Formulate and implement a records management policy and related records management procedures

• Designate a records manager to take responsibility for records management in the office

• Attend training sessions offered or approved by KZNARS

• Compile and maintain approved records classification system(s) for paper-based and electronic records

• Manage electronic correspondence systems, e-mail and websites with an Integrated Document and Records Management Solution

WHAT NEEDS TO BE DONE ?

• Create a retention schedule and implement systematic disposal programmes to reduce storage cost involved in storing records no longer required

• Keep all records in safe custody

• Inspect sub-offices to ensure that sound records management practices are followed

• Ensure that staff are trained to apply the proper procedures to facilitate sound management of records

• Train creators of records to allocate file reference numbers/subjects to records according to an approved classification system.

HOW CAN THE KZNARS ASSIST YOU IN THIS ENDEAVOUR?

TRAINING

A records management presentation for management

4 days registry management course targets registry personnel

5 days records management course

ADHOC training is offered for Registry/ Records Management courses

HOW CAN THE KZNARS ASSIST YOU IN THIS ENDEAVOUR?

• Approval of file plan

• File plan implementation workshop

INSPECTION

• Audit compliance with the Act

• Inspection programme compiled annually

APPRAISAL

• KZN Archives appraises records in terms of the Act

• Appraisal is the process of determining the value of records ( Archival/ Non-Archival)

• A disposal decision is issued by the Provincial Archivist (Disposal Authority)

HOW TO ACHIEVE A CLEAN AUDIT?

Strict controls on performance information and consistent internal monitoring as well as full ownership of all processes are key to a clean audit.

CONCLUSION

• “What gets measured gets done

• If you don’t measure results, you can’t tell success from failure

• If you can’t see success, you can’t reward it

• If you can’t reward success, you are probably rewarding failure

• If you can’t see success, you can’t learn from it

• If you can’t recognise failure, you can’t correct it

• If you can demonstrate results, you can win public support”

(Osborne L. Gaebler, 1992)

THANK YOU