AUDITOR GENERAL SEMINAR.ppt Presentations/Northern Ca… · Microsoft PowerPoint - AUDITOR GENERAL...

AUDITOR GENERAL SEMINAR:15 FEBRUARY 2016

PRESENTATION BY: MS ME MANONG

DSACDepartment of Sport, Arts and Culture


“ MANAGING RECORDS AS A

STRATEGIC RESOURCE”

A Child in Sport is a Child out of Court 2



� Introduction

� Legal Mandate

� Records Management

� RM Principles

� Life Cycle of records

� Reasons for Records Management

� Situation Analysis

� Achievements

� Challenges

� Solutions




� Mandated by the Northern Cape Provincial Archives and Records Services Act No 7 of 2013.

� Established in terms of Schedule 5 of the Constitution of the Republic of South Africa.

� Currently perform Archives Management, Records Management and Advocacy and outreach programmes.




� Municipalities or Local Authorities

� Provincial Departments

� Ministries

� Statutory Bodies




� Constitution of the Republic of South Africa Act 108 of 1996.

� Northern Cape Archives and Records Services Act No 7 of 2013.

� PFMA/ MFMA

� PAIA

� PAJA

� PPI

� ECT Act

� Legal Deposit Act

� Copyright Act




� Northern Cape Provincial Archives and Records Services Act No 7 of 2013 section 8-clearly states that Provincial Archives is charged with the proper management and care of public records in the custody of governmental bodies




� Section 41 (1) (c)

“All sphere of government and all organs of state within each sphere must provide effective, transparent, accountable and coherent government for the Republic as a whole”

If you know better, you can do better 10



� Section 195: (1) (f) (g)

� “Public administration must be governed by the democratic values and principles enshrined in the constitution”.

� F. Public administration must be accountable.

� G. Transparency must be fostered by providing the public with timely, accessible and accurate information.




� Records Management is the process of ensuring proper creation, maintenance use and disposal of records to achieve efficient, transparent and accountable governance.

� RecordRecordRecordRecord is recorded information regardless of form or medium




� Accountability

� Transparency

� Integrity

� Availability

� Authenticity

� Audit Trail

� Reliability

� Retention

� Disposition




Records Life Cycle



� It ensures corporate memory

� Legal requirement

� Promotes accountability and transparency

� It prevents re- inventing the wheel

� Contributes to positive Audit Outcomes

� Ensures legal admissibility of corporate records as well as quick and accurate retrieval of vital information

� Protect archival heritage





� It is important to

find the right informatiotion at the right time at the right time

so as to be able to

take informed decisions.



OfficesOfficesOfficesOffices ComplComplComplComplianceianceianceiance

AppointedAppointedAppointedAppointedRecords Records Records Records ManagersManagersManagersManagers

DisposalDisposalDisposalDisposal AuthoritiesAuthoritiesAuthoritiesAuthorities ApprovedApprovedApprovedApprovedfile plansfile plansfile plansfile plans

Departments 12Depts

11 Terminated File plans 11

Municipalities

Ministries

24Mun

12

3 plus Corporate Services Directors

Admin Secs

Terminated File plans

None

24

12




OfficesOfficesOfficesOffices ApproApproApproApproved ved ved ved PolicyPolicyPolicyPolicy

ApprovedApprovedApprovedApprovedregistry registry registry registry ManualsManualsManualsManuals

ApprovedApprovedApprovedApproved RCSRCSRCSRCS RegistriesRegistriesRegistriesRegistries

Departments 10 12 1 12

Municipalities

Ministries

23Mun

0

10

None

None

None

32

12




� Northern Cape Provincial Archives and Records Services Act No 7 of 2013

� Active Repository

� Approved File plans

� Approved records management policies

� Conduct Inspections/ Outreach Programmes

� Records Managers Training

� Approved RCS: Legislature

� Records Managers Forum established in collaboration with SALGA




� Transfer of A20:

� NC PROVINCIAL LEGISLATURE

� FRANCES BAARD MUNICIPALITY

� SOL PLAATJE MUNICIPALITY




� High staff turn over

� Lack of appointed Records Managers: Municipalities/ Low levels and delegated

� Lack of enough financial and Human Resources

� Registries dumping ground

� Electronic records management systems implemented without approval

� Lack of management buy in some institutions

� Appraisal of records

� Lack of qualified archivistsA Child in Sport is a Child out of Court 25



� Slow implementation of RM Inspections remedial actions

� Low levels of compliance

� Human Capacity challenge at archives

� Limited resources at Provincial Archives to carry out a schedule 5 mandate

� Archives is a scarce skill

� Appraisal




� Appoint a Records Manager( don’t designate)

� Approved classification systems

� Approved records management policies

� Systematic disposal programme

� Trained registry staff and creators of records

� Safe custody of records

� Inspections

� Records Management to be included in the Induction programme of new recruits

� Liaise with the NC Provincial Archives




� Compliance with the Archives Act No 7 of 2013. Obtain executive support.

� Appointment of Records Managers

� Increase capacity at Provincial Archives

� RM to become a KPA for all Senior Managers

� Allocate proper resources to archives and records management units.

� Collective responsibility

� Review Act word designate changed to appoint




� Stay on top/ Keep abreast of regulatory requirements

� Each unit should designate a records champion

� Backup systems and Disaster Preparedness

� Dispose records




� Many law case studies in relation to non compliance both on key legislations particularly NARS and PAIA costs many organisations, which ultimately face litigation, audit queries and investigations.




�Corporate memory is of critical importance in a democracy where accountability is crucial.




� THANK YOU.

KHOTSO FLATELA ARCHIVES REPOSITORY

114 GREEN STREET

TEL: 0873105394

FAX: 0538074600

CELL NO: 0823234912

EMAIL: [email protected]


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