social development Department ‘Social Development PROVINCE OF KWAZULU-NATAL RECORDS MANAGEMENT STANDARD OPERATING PROCEDURETABLE OF CONTENT 1. Introduction 2. Purpose 3. Roles and Responsibilities 4. Records Management Procedures 5. Systematic Disposal Programme 6. Records Management Rules 7. Non-Compliance 8. Archiving Procedures 9. Accountability 10. Monitoring Review and Evaluation 11. Title of SOP 12. Effective Date 11. SOP Approval 34 47 9-11 1 1 1 12 12 12 12 Standard Operating ecole o Resse Maraponon PagePorie4. INTRODUCTION In terms of section 18(2) of the KwaZulu-Natal Archives and Records Services Act, 2011 (Act No. 08 of 2011), stipulates that: No public records under the control of the department may be'- i) transferred to an Archives Repository; il) transferred to an oft site storage facility or any other site outside of the premises of the department; ili) destroyed or erased; and iv) or otherwise disposed of without the written authorisation of the Provincial Archivist, The Records Management Standard Operating Procedure (RMSOP) has been developed for the purpose of ensuring uniform records management and to standardise administrative procedures throughout the Department. It is further aimed at increasing efficiency and effectiveness in the Department. In order for the successful implementation of the RMSOP it will become imperative for the individual business units within the department to acquire more resources, both human and physical 2. PURPOSE The purpose of the procedure is to outline the responsibilities and requirements of the Department of Social Development in terms of records management. Levels of responsibilities are set out for various management levels, as well as all department employees. Individual Procedures are highlighted at each stage of the record management process from capturing and registration, through its naming, filing, storage and disposal. The RMSOP also provides guidance cn adequately creating, keeping, managing, retrieving, archiving and destroying records including those held electronically. 3. ROLES AND RESPONSIBILITIES 3.1 Head of Department is responsible for:- ) mandating the Records Manager to implement the RMSOP in the depariment; ») ensuring that all records in his/her custody are issued with a disposal authority: and ©) _ ensuring that retention periods are determined for all records that are earmarked for destruction r Managers are responsible for:~ ) implementation of the RMSOP in their respective components; and ) ensuring that management of records comply with the Records Standard Operating Procedure Manual. 3.3 Records Manager is responsible for:- a) promoting effective & efficient management of Departmental records in compliance ‘Standard Operating Procedure on Recors Manogerient Page otiwith legislative mandates; b) maintaining, implementation and updating of records classification system; ©) maintaining master copies of records classification systems: 4) conducting records management audits; ©) overseeing the disposal process; conducting training & workshops; awareness Programs in records management; and f) Implementing of the registry procedure manual and RMSOP 3.4 Information Officer is responsible for:- @) censoring of incoming and outgoing information; and ©) ensures implementation and compliance to Promotion of Access to Information Act, 2000 (Act No.2 of 2000). 3.8 Records Officer is responsible for:- @) Safe custody and keeping of records, compliance to Records Management policies and procedures; and b) maintaining and implement Records Classification Systems; and ©) maintaining registers and supervising Records Clerks. 3.6 Records Clerks is responsible for:- a) open files as per request; b) closing files, filing, check misfiling, opening incoming mail; ©) recording of incoming and outgoing mail; and 4) implementation of the records classification systems, ensure proper care and custody of records. 3.7 Employees in general is responsible for:- 2) compliance to records classification systems, i.e. usage and allocation of correct reference numbers; and b) compliance with the standard operating procedure and other departmental records management legislative mandates. 4. RECORDS MANAGEMENT PROCEDURES 4.1. Creation and Receipt of Records ') All correspondences received should be recorded in the incoming mail register and date Stamped. ‘Standard Operating Procedure on Recors Managemen Page tortii) ili) iv) vy) vi) vii) 444. a) ») ¢) Records are allocated reference numbers from the Records Ciassification System All files should be opened by Records Clerks working in the registry. Files should only be opened on instruction of designated person/s. This will be a Records Officer. The Records Clerk should open the file and write the reference number and description of the record in a register. Reference numbers will be used consecutively. All files should be recorded in a register of files opened. The register of files opened should have the following columns:- i) Date of opening il) File/ reference number. ili) Description of record, iv) Disposal date. v) Checked by column. Utilisation of Records Classification System all employees in the department should utllize the approved Records Classification ‘Systems; ensure that correct reference numbers are allocated when records are created: and Prevent duplication of files and full file descriptions must be appended on the FA1 prescribed departmental file covers. 4.2 RECORDS STORAGE AND MAINTENANCE 4.2.4 Records Storage a) b) All records that have been received/created must be stored in a safe environment which is conducive for preservation of records. Storage places must be lockable and must have a service counter to prevent unauthorised entry Windows and doors must have burglar guards. Steel racks and or lockable steel filing cabinets must be used to keep records All paper-based correspondence records that are not HR related should be kept in the central registry. All these records are under the management of the Records Manager who is mandated to ensure that they are managed property, 4.2.2 Records Maintenance Standard Operaing Procedure on Recor Navajenen Pagesa) Records must not be placed on the floor. 5) Records must not be stored near roof leaks, water pipes, flammable liquids or material or bare electrical wiring as this poses a hazard to the records, ¢) Windows must have blinds or curtains to prevent direct sunlight. d) Air conditioners must be installed and must be set between 18 and 22 degrees. e) Fire extinguishers with CO2 must be installed inside the registries and must be serviced annually ) Fumigation must be conducted quarterly to ensure preservation of records 9) When file covers have been worn out, they must be replaced to ensure effective protection of records. h) All files must have the components of a file (file cover, backing board, file fasteners, ‘summary sheet and control movement cards) to ensure compliance with registry guide and Registry Procedure Manual i) When files reach 3cm in thickness a new volume must be opened accordingly. 4.2.3 Records Clearance a) Records are either destroyed or transferred to appropriate Archives repository or records centres, ») All methods of disposal of records, whether through recycle or shredding may be carried out only after the disposal authority has been obtained from Provincial Archives, ©) In exceptional cases it is necessary that some records may be held permanently the department and in such cases special approval by the Provincial Archives is necessary. 4.3 RECORDS DISPOSAL PROCEDURE a) Records that are due for disposal are determined by the creator of the records. ») Records Manager must be consulted for advice and guidance on the disposal process. ©) All applications for disposal authority should be sent to the Records Manager of the department accompanied by the schedule or list of records due for disposal in duplicate ‘who will then make an application to KwaZulu-Natal Archives and Records Service to dispose of records due for disposal 4.3.1 The following requirements should be applied regarding the completion of the schedule:- i) records should appear in alphabetical or numerical sequence; ji) case files should not be individually listed; and ili) the particulars of subjects under which the case files were opened and the basis for opening i.e. persons, places or institution should be indicated as well as disposal instruction covering the series. eee Standard Operating Procedure on Records Management Page 6 of 124.4 DISPOSAL INSTRUCTIONS @) A disposal process is dealt in terms of disposal instructions set out in file plans as follows:- ()) A20 -Transfer to archives repository 20 years after the end of the year in which the records were created (i) D-Destroy (ii) 07 - Destroy 7 years after termination/closure. (v) AP - Can remain in the custody of the department indefinitely. When disposal does take place, ¢.g. when the office closes the A20 files must be transferred to A, the KwaZulu-Natal Archives and Records Services, ()_ DAU - Destroy immediately after auditing is completed. (vi) DAUS - Destroy 3 years after auditing is completed, (vil) DAUT - Destroy 7 years after auditing is completed. 4.5 DISPOSAL AUTHORITIES a) There are three types of disposal authorities that can be applied to different categories of records in the department:- 4.5.1 Standing Disposal Authority a) Standing Disposal Authority Number 2/2014 has been issued by Provincial Archives to destroy current records created or received as from 01 April 2004 without having repeatedly to apply for such authority b) The Standing Disposal Authority only apply in respect of approved records classification systems and will remain valid while paper-based file plans are in use. 4.5.2 Limited isposal Authority ) Terminated records created or received prior to 01 April 2004 will be disposed in terms of limited Disposal Authority as these records were created utilising the previous records classification system. 4.8.3 General Disposal Authority @) General Disposal Authority is applied to specific types of records that are common or which generally occur to all offices such as financial records, personnel records, circulars, etc.) ») The authority covers both archival and non-archival records, Standaré Operating Procedure on Records Management ee Page 7 of 12SYSTEMATIC DISPOSAL PROGRAMME a) The disposal of records is an essential and critical element of records management Programme. b) Public records may be disposed off by the Department of Social Development in two ways, by either authorized destruction or through authorized transfer by the Provincial Archivist ©) Offices must implement the Systematic Disposal Programme for records which no longer have administrative or functional values on an annual basis. 4) Disposal of records refers to an action which includes destroying/deleting a record or transferring of records to Archives repositories. The systematic disposal consists of ') gaining control of both current and terminated records, Terminated records due for disposal must be sorted in their original categories, listed and batched ii) submit application for disposal authority in writing to the Records Manager and attaching the list of records due for disposal iil) the Records Manager will then forward the disposal authority application to the Provincial Archivist. iv) once the disposal authority has been issued and granted by the Provincial Archivist then the office must clear up the records on the basis of disposal authorities obtained, either by destruction or transfer to an archives repository for permanent preservation, v) after the records have been disposed a copy of the destruction certificate must. be completed by the office and submitted to the Records Manager. A copy will be filed at the office and the original will be submitted to the Provincial Archivist. 5.1 Destruction of Records a) Public records must be destroyed in accordance with the requirements of the KwaZulu Natal Archives and Records Service Act, 2011(Act No.8 of 2011), ») The destruction of non-archival records must occur in the presence of the Records Manager. ¢) Prior to implementing an authorised disposal action, the Programme Manager must ensure that no work is outstanding, no litigation or investigation is being conducted which concerns the records in question d) The Records Manager must ensure that all destruction actions are properly documented and maintain evidence of any records disposal activities that have occurred, €) The office must ensure that the destruction register and a register of authorities are in place and destruction certificates are filed. f) A destruction register is a register which indicates the records which are due for destruction. ‘Standard Operating Proceaue onRocoeManageneA. Page Serie,5.2 Transfer of Records to Archives (a) Records marked for permanent preservation (A20) must be transferred to the KwaZulu- KK Natal Archives and Records Servicek Repositories situated in Ulundi, Durban and 4’ Pietermaritzburg after reaching 20 years. (b) The Records Manager must liaise with the Provincial Archivist to arrange for space for the transferred records. if there is no space at the Provincial Archives repositories then other off-site storage suitable for the records must be identified (©) The Records Manager must ensure that the off-site is in compliance with the National Archives and Records Services Act, 1996 (Act No 43 of 1996). (4) When records are transferred they must be packed in archival boxes in the same sequence as described on the transfer list. (e) The copy of the transfer list must be submitted together with the transfer letter to the receiving office. (The Head of the Archives repository may refuse to accept the records into custody if they are not properly packed as prescribed. (g)_ An agreement may be made between Provincial Archivist and the Department to arrange for a systematic transfer of A20 records after 20 years to Archives repository on an annual basis, for example all cases of adoptions, after 20 years they must be transferred to Archives for permanent preservation 5.3 Transfer of Records to other Offices @) When transferring records to other offices, the Records Manager must notify/inform the Provincial Archivist of such transfers 60 days before hand and written approval must be ‘obtained from the provincial archivist b) When records are transferred they must be packed in boxes in the same sequence as. described on the transfer list. ©) The copy of the transfer list must be submitted together with the transfer letter to the receiving office. 4) The office must ensure that a transfer register is in place which indicates all the approved transfers of records, ) The Records Manager must supervise the transfer of any records. 6. RECORD MANAGEMENT RULES 6.1. OPENING OF FILES 6.1.1 Itis the responsibility of the Records Clerks only to open files in accordance with the records classification system {@) Files should only be opened on receipt of correspondence. (b) Determine the correct reference number according to the approved file plans. ‘Standard Operating Procedure on Records Management SEES eT(¢) To determine the correct reference the list of the main series should be consulted, (d) Every page of the correspondence must be folio numbered, (e) Files that are opened must be recorded in numerical order in the register of files 0 The corect reference number and the full file description must be written in black ink on the file cover. (g) A stencil ruler or legible handwriting is acceptable. (h) The date of the first correspondence must be indicated on the file cover. (i) The disposal instruction must also be indicated on the file cover. (The District Municipality and office must be written in the relevant columns. (k) The volume number must be written in numerical figures and not in roman numerals, ()) The components of the file must be inserted in the file cover i.e. the control sheet, route form, backing board, file fastener and cardboard rectangular washer, (m)The control sheet should be pasted on the left hand side of the inside of the file cover. (n) The file fastener is pushed through the backing board and not through the cover as this causes files to stick together which damages them. (0) The file movement control cards must be created and inserted into the fie. (p) When the file has been removed from registry the file movement control card must be filed onto the rack in the place of the file. 6.2, CLOSING OF FILES a) Files must be closed when they reach 3cm in thickness and a new volume must be opened marked volume 2 for example, see Volume 2 must be written on the outside of the file cover. ») Indicate the closing date on the file which is the date of last item of correspondence. ©) A clean sheet of paper with words "Closed, See Volume 2° must be attached in the file after the last correspondence. @) Closed files must not be filed with current files. 6.3 RETRIEVAL/ACCESSIBILITY OF DEPARTMENTAL RECORDS a) Records should be retrieved by using file reference numbers. ©) Upon request of files, the Records Clerk will retrieve the file, complete the information on the file movement control card, fill in the route form and thereafter forward it to the relevant section or official, Standard Operating Procedure on Records Monageront Page 11 of 12©) The requested files must only be loaned for ten (10) days and thereafter must be returned to registry, d) Should the file be required for more than ten (10) working days it must be requested again ©) There should be no unauthorised access into the registry therefore files can only be accessed by the Records Clerks. f) Members of the public are not allowed to access classified departmental records and information except when granted access or permission by the Deputy Information Officer. 6.4 SAFE KEEPING OF DEPARTMENTAL RECORDS a) All files should be stored at a centralised registry. ») ‘registries should have 45 minimum to 60 square metres in order to allow for the growth in documentation, ©) registries should be separated from the entrance by a service counter to prevent unauthorised access. d) files should be stored on steel shelving or lockable steel cabinets by registry staff. ©) shelving should be 150mm off above the floor to prevent flood damages. 7. NON COMPLIANCE AND REPORTING An employee who fails to comply with this Standard Operating Procedure shall be guilty of an act of misconduct. ARCHIVING PROCEDURE Employees in the Department should follow the archiving procedures or guidance provided in the Standard Operating Procedure on Archiving and the Guidance on managing records 9. ACCOUNTABILITY 9.1 The Head of Department must:- ) ensure that the records management function is sufficiently resourced: and 5) ensure that service delivery is effective and efficient in all Programs. 9.2 Managers must :- @) ensure that all employees comply with the Records Management Policy and Standard Operating Procedure on Records Management. ‘Surdard Operating Proceso on Recos Manager SEeeESeeeee Page 120f1210. MONITORING REVIEW AND EVALUATION The Standard Operating Procedure on Records Management will be monitored, evaluated and reviewed after three years or as and when the need arises. 11. TITLE OF THE SOP This SOP shall be called SOP on Records Management. 12, EFFECTIVE DATE This SOP will be effective immediately on the date of approval. 13, SOP APPROVAL . : 3! Se el The SOP is approved with effect from the ‘Oday of Sopler bs in the year 2O 14 Ms NG KHANYILE Standard Operaing Proved oh Rosse Maraparart —_—_—__ Page 12 of 12