United Nations Economic Commission for Africa

WSIS Follow-up Conference on Access to Information and Knowledge for Development

United Nations Conference Centre, Addis Ababa, Ethiopia, March 27 30, 2006

Strategic management and use of government information in Africa: the case of Kenya

Mr. Charles Nandain International Christian University Nairobi, Kenya

Presented at the International Seminar on the Strategic Management and Democratic Use of Government Information in Africa Wednesday, 29 March 2006

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A popular government without popular information or the means of acquiring it is but a prologue to a farce or a tragedy, or perhaps both. Knowledge will forever govern ignorance; and a people who mean to be their own governors must arm themselves with the power that knowledge brings. James Madison

Strategic Management of Government Information in Africa: A Case of Kenya

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Presented by: Mr. Charles Nandain Head of ICT, Library and Co-ordinator of Makerere University (Nairobi Campus) Programmes at the Regional Institute of Business Studies For: IFLA/AGIOPS-FAIFE-ECA Seminar on the Strategic Management of Government Information in Africa The presentation reports ten case studies of the current scenario in records keeping practices in Kenya. The cases are drawn from government registries and record centres. These are then examined in an attempt to forge the way forward for Third World Countries to be at pace with their developed counterparts. It is noted that there is great disparity in the current records management practices. While some registries had good records management practices a number were on the extreme end with poor practices. There is thus great need for harmonization in the record-keeping practices in government institutions. The study proposes a strategic way forward which includes of autonomous professional societies and associations being to spearhead the way forward.

Abstract:

A.

Introduction

The presentation reports ten case studies of the current scenario in records keeping practices from Kenya. The cases are drawn from government registries and record centres. Data collected from the case studies is grouped into three levels based on standard records management practices and appreciation of records as strategic components of good governance. Arising from the current state of records management, a strategic way forward is proposed.

Definition of Key Terms The following key terms will guide this paper: a) Strategic Management: Various definitions of Strategic Management have been advanced. However, for the purpose of this paper, the definitions by Pearse and Robinson (2005) and Koontz and ODonnel ( ) will be adopted. According to Pearse and Robinson, Strategic Management is a set of decisions and actions that result in the formulation and implementation of plans designed to achieve a companys [organizations]

objectives. Further, Wakipenda (online dictionary) defines a strategy as a set of policies and procedures that determines how an organization will go about achieving a business goal.

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Koontz and ODonnel get more specific by perceiving a strategy as a decision about how to use available resources to secure a major objective in the face of possible obstructions such as competitors, public opinion, legal status, taboos and similar forces. This implies that strategic management comprises of four components: planning, decision-making, action, control and co-ordination in response to the prevailing environment. b) Government Records There are several definitions of government records, however, in the context of this paper, the Public Archives and Documentation Act, (Cap. 19) is suitable. According to this act, Government Records are essentially public records whose scope includes: i) The records of any Ministry of Government Department and of any commission, office, board or other body established by or under an Act of Parliament. It is noted that the records of the Public Trustee or the Registrar General relating to individual trusts or estates are excluded from the definition of public records in the Kenyan context. ii) iii) The records of the high court and of the electoral commission. The records of any local authority or other authority established for local government purposes.

The Basis for Strategic Management (The Ideal Situation) Information is critical in governance. It is through it that the government relates with the public. It is thus a bridge between the government and the people. Good Records Management practices form a foundation for sound business practices and optimum outcomes. Efficient information and records management provides the foundation for accountability, protection of rights, increases citizens awareness to their rights, justice and respect for human rights, gender and sensitivity balance and effective management and distribution of state resources.

Most of the services that the government provides to citizens, businesses, and to internal clients

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are about information in one way or another. The provision of information is often the service itself. Fundamentally, most governments are about managing information and any failure in this role negates its value of service to the public. The Current Scenario Whereas information derived from records management systems are to be used to assist the course of justice rather than hiding the truth from the public, Kenya still embraces repressive laws and policies that hinder free access to government information. Such impediments have been inherited from the colonial laws such as the Book and Newspaper Act, the Preservation of Public Security Act, Sections of the Penal Code, Official Secrets Act and the Evidence Act, National Intelligence Act, Kenya Broadcasting Corporation Act, the Kenya Communications Act among others. Such laws unfortunately negate the records management as a strategic component of good governance and democratization as they are used to deny citizens the right to know. It is alleged that malpractices of records management techniques was an attitude wrapped with apathy, which was passed over to independent states. Unfortunately, the same was propagated by the regimes that followed immediately after independence. This provided the excellent avenue for the current malpractices in the records sector. However, the current political reforms, liberation of the media and democratic governance in Kenya have led to the increased demand for openness in the way the government delivers its services to the public. Systems that have been put in place to respond to this environment have better records management practices. In circular letter Ref. OP.CAB.12/6A of February 15, 2006, the Permanent Secretary/Secretary to the Cabinet and Head of Public Service Amb. Francis K. Muthaura, EGH noted that service delivery to the citizenry was inferior despite public servants undergoing training. He observes: . Despite the efforts by the Government to build a strong human resource base in the Public Sector, Service delivery to the citizenry remains wanting. Public servants continue to pursue academic qualifications to meet the requirements of their respective schemes of service. Such training is in most cases not job related and does not, therefore, contribute to performance improvement. This is not in keeping with the general trend world wide which is to match job requirements with the skill levels so as to realize organizational gals and objectives. There is, therefore, need for a paradigm shift where the public service must move away from training for promotion and emphasize on training for performance improvement. There is further

need to benchmark public service organization that have succeeded to improve service delivery by building the capabilities and competencies of their workforce through skill and performance

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improvement training interventions. The government must also take cognizance of the fact hat the country has sufficient human resource with professional and technical qualifications from which the Public Service can benefit. It has, therefore, been decided that from the date of this circular, the government will direct its training resources on job-related short sources that enhance performance and service delivery. The government will further focus on on-the-job training by adapting new approaches such as coaching, mentoring, and counseling for performance and service delivery. A culture of continuous learning will also be encouraged as a way of developing personnel in the Public Service. Ministries/Departments and other Public Service organizations should, therefore, identify their training needs, prioritize them and plan for appropriate training interventions in collaboration with the Public Training Institutions. In addition, they should ensure that every employee undertakes at least five days training in a year. To ensure the Public Service benefits from training undertaken by employees, Ministries/Departments and other Public Service organizations should develop effective monitoring and evaluation mechanisms to enable employees apply the skills acquired during training. It is under this backdrop that a study is made of the public registries and record centres.

B.

Case Studies

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This study adopted a summary of case studies of ten government registries with information derived from primary sources to get a clear picture of the happenings from the ground. Key findings are highlighted and a strategic way forward forged. The full descriptions of cases are also provided as an appendix separately. The cases were divided into three levels based on the state of their records management system, the yardstick being their semblance to good records management practices. Level 1 consisted of registries and record centres with poor records management in totality. These systems were characterized by the staff with no ideas of records management systems. The leadership under this level are ignorant of their situation. Level 2 consisted of registries and record centres that were average. They were mainly in a transitional state with majority of staff aware of the need for proper records management in their organization. They had made this known to the top leadership and there is willingness for improvement. Level 3 consisted of registries and records centres that seemed to be doing fairly well. There was recognition of records as a key resource and effort to strategically manage it was evident.

Description and Attributes of Each Level Level 1 comprised the Ministry of Water and Irrigation Main Registry (Case Study 3), the Main Registry Ministry of Lands and Settlement (Case Study 8), and the Kenya Airport Police Unit Mail Registry (Case Study 7). The following attributes and characteristics were noted under this level. 1. Policies i) There is no policy governing the management of registry in the organization. In place is a verbal policy which can not govern effectively the management of records in any ministry. ii) Lack of goals and objectives in the registry.

2. Registry Practices i) Poor filing and classification system are used in the registry. The systems are either obsolete or non-accommodative to the nature of records. Some are inherited and are not coherent to the records clerks. is not accommodative. Consequently, disorganization and mixing up of records is the order of the day. ii) Appraisal: Appraisal is not done regularly. An instance is given of the Police Personnel Registry that has records dating back to the 1920s without appraisal, and hence all records

(current, semi-current and retrospective) are all grouped together. Consequently, there is insufficient storage space and equipment. iii) iv) v)

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The retrieval tools: Inferior or non-existent tools that are neither revised nor updated hence unreliable. Naming and Coding of Files: File titles are not clear on the contents of the file. Circulation : There are no circulation procedures in place to ensure action officers get information on time.

3. Resources There have been no funds allocated to the registry. As a result, access to stationary, dust-coats, storage equipment and other basics required in the registry is difficult. Registry tasks are thus paralyzed. 4. Management Support i) There is generally poor understanding from the management on the vital role of the registry in the organization, with workers working in a poor environment. The top management has not been supportive of registry staff, thus lowering their morale. ii) iii) There is also poor supervision of staff. Most of the staff are not trained, they know little about records management. For instance, a number of managers heading sections are not professionally trained in records management, but are re-designated from unrelated fields. A case in point was mentioned whereby an officer was re-deployed to the registry as a manager having failed in the procurement department. 5. Facilities i) Security: Poor storage equipment used for storing records. There is no security of the records preserved in the registry. Currently, wooden shelves, moveable shelves and cabinets are used. ii) iii) Lack of filing racks There is no space for future expansion of the registry.

6. Preservation and Conservation i) Poor House-Keeping and storage Procedures: The research revealed that records are kept on top of shelves which exposes the records to dust and light and uncontrolled humidity. ii) No measures have been taken for restrictive access and non-registry staff frequently access to records was evident.

iii)

Complacency and Negligence in Handling of Records: Some of the files are of poor management.

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stored on the floor, others on the windows, others under the table. This is a typical case

7. Staffing i) ii) iii) iv) v) vi) vii) viii) ix) x) The registry has been used as a dumping place for those officers with disciplinary cases or whose performance is low. Most of the staff working in the registry are unskilled and are inadequate. They are not trained in Records Management hence poor delivery of services. There is a general assumption by top management that any person can work at the registry, hence deployment of clerks to registries. Registry staff are regarded the lowest on the cadre on the organization and hence lack of support staff. The lack of scheme of service and poor working environment for registry staff lead to low morale among them. Poor motivation due to poor remuneration and poor working environment. Issues of gender discrimination are evident. Nepotism and Tribalism negatively dominate promotion and hiring patterns. There is a lot of idleness due to poor supervision from various sections of the department. Cronyism factions and rivalry within teams.]

This is a typical case of poor records management practices with ignorance, non-conformity to international standards and discrepancies dominating the registry and record centres. The human resource is completely neglected and general apathy characterizes the Hopelessness, no sense of purpose

Level 2 The registries and record centres in this category included the Personnel Registry at State House (Case Study 1), The Main Registry Department of Immigration (Case 2), Provincial Trade Licensing Registry (Case Study 5) and the Personnel Registry at the Police Headquarters (Case Study 6).

This being a transitional level, characteristics and attributes are a mixture of those for level 1 and level 3. Many of those that have been highlighted in level 1 and those to be highlighted at level 3 appear in this level.

Level 3

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The registries and records centres in this category included the main registry at the Ministry of Regional Development Authorities (Case Study 4), The Protocol Registry at the Ministry of Foreign Affairs (Case Study 9) and the Main Registry, Ministry of Planning and National Development: Central Bureau of Statistics (Case 10). i) a) Staffing Qualified and skilled staff working in the registry, Strong staff training and development programmes. Co-operation among the staff in the registry and entire Ministry. Evidence of team spirit. b) c) the registry d) e) f) g) h) Integrity: the registry staff believes in open and honest relationships, built on trust, mutual respect, dignity, fairness and conduct business in line with laid down procedures. Loyalty: the registry staff believes in being true and faithful to their seniors and to the Ministry as a whole. Innovativeness and creativity: the registry staff believes in introducing new ideas and techniques to their work. Professional excellence: the registry staff believes in providing competent and uncompromising service delivery resulting in value to the Ministry. Teamwork is highly encouraged in our registry. This gives the workers a cordial atmosphere and raises the relationship of productivity (having goals to achieve). They share interests, ideas and tasks which make them join efforts to tackle a certain problem. This encourages other co-workers to have a positive attitude within the organization. We make sure that every worker maintains a professional attitude during interactions. i) Proper deployment of staff has been considered. Staff of high integrity has been allocated duties in the registry to manage it. Rotation of duties among the staff is done regularly so that no part of the operation falls into disuse at any given time. j) Through proper supervision and guidance by the record managers, staff performance is monitored in order to assess their effectiveness. Sometimes, there have been complains due to poor/lack of services. This has been used as a tool to make efficiency of the registry staff. It has led us (registry personnel) to have a schedule of duties whereby each officer is allocated a set of clearly defined duties. The schedule of duties covers all aspects of managing and maintaining records including those of semi-current and dormant nature. The staff in the registry believes in creating an enabling environment for collective participation in achieving set goals. Individual commitment: the registry staff was devoted fully to the activities of

k)

There are clearly defined duties for every office working in the registry in order to provide for problem solving solution, continuity and uniformity in administration. ii) Resources Availability

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Resources are availed from the respective ministry for the management of the registries. This ensures that basic facilities and stationery for the day-to-day running are available and hence maximum output from the registry staff. iii) a) Value attached to records and Good Management Practice Good record keeping adds speed and efficiency in the execution of the departments functions. The records managers ensure that the physical well being of the records are not mutilated. They make sure that files in their active phase are used constantly in running the organization daily business. They store these records because they are needed regularly for contact on daily business. The semi-current records are sent to record centres. They dispose the non-current/dormant records by either preserving permanently those of value in an archival institution or destroying them. b) The registry personnel ensure that the records management programme is followed right from the time of creation, use, maintenance and disposal. During this process, record survey and appraisal are carried out in order to determine the value of records to be preserved permanently and those to be destroyed after the scheduled period. In doing this analysis, the history of a record and the activities of the creating office with a view determining the value of the records is created. c) Finding aids are prepared such as catalogues, indices and movement registers. Retrieval of information is made easy through the preparation of good finding aids. These tools are used to identify records as well as locating them. Retrieval tools are updated to respond to changing environment. d) damages. e) There is adequate knowledge in registry filing classification and coding systems among registry staff. Properly organized and classified retrieval aids have made retrieval and dissemination of information fast. The retrieval tools and finding aids are updated regularly. They also reflect the functions and activities of our registry. Conservation and preservation of documents is sacrosanct. Staffs are sensitized on the enemies of records or agents of deterioration and damage. These include external and internal

f)

Systematic retirement of documents is followed. Records that have outlived their

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administrative usefulness or those which have been closed to be systematically retired in a secondary storage. This practice allows current records to be easily managed in terms of space and retrieval. iv) a) Leadership The registry personnel have made the top-level management realize and understand the importance of record keeping. The personnel working in the registry have given an opportunity to the personnel working in other sections to come up with a programme on how to improve the working conditions in the registry and this has benefited both parties. It has also improved customer care through interactions. b) Through the support of the top management, the registry has qualified staffs that have undergone training. This has boosted the workers morale as they are offered incentives. Our operational capabilities have been lifted through seminars organized by Kenya National Archives and Documentation Services. Problems facing Level III i) Automation - The registry is not automated the supervisor says that there is a plan in the near future to automate the registry. These has been pressured by the work load due to retrenchment, retirement and natural attrition; lack of storage space and equipment, availability of cheap computers in the market and available skilled staff. This will help improve on efficiency. ii) Disaster Management - The security of records is poor. The organization has not put in place disaster management structures such as fire detectors. Comment: There is a general idea by the staff on the aims and objectives of their registries in their organizations. They strive to achieve efficiency and economy in information management. The functions of the various records management units are clearly defined, eliminating the chances of overlapping. Though a number of registries in this categories were not automated, there were indications of plans to achieve the same in the near future.

C.

Strategic Way Forward

Arising from the state of records in Kenya, the following issues are key for the development of good models for record management systems: i)

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Policy to harmonize operations of all record centres and registries. This is increasingly important as the information explosion and overload continues. The volume of records created is on an exponential increase. Unless a policy is put in place to govern the management, the sheer quantity of records will be too overwhelming for the registries with poor records management states.

ii)

Standard training to ensure that all people working in the registries and record centers have requisite knowledge to facilitate proper management of records. The same is reflected by the circular letter from the head of the Public Service where emphasis is also laid on monitoring and evaluation mechanisms to enable employees apply the skills acquired during the training.

iii)

Have standard qualifications to regulate entry levels in the workers in the registries. The circular cited notes that the general trend globally is to match job requirements with the skills levels so as to realize organizational goals and objectives. With this general overview, the same should be extended to registry workers with professionally trained personnel heading and running the registries other than clerks.

iv)

Establish professional societies or associations to work with civil societies that will press advocate and act as pace setters in reminding the regulatory bodies to take their responsibilities seriously. The pattern of government working is generally slow. It has taken them years to embrace ICT and the concept of proper records management may take longer despite public pressure for accountability. It is therefore in good light that autonomous professional societies be set up to work with civil societies to forge a way forward.

v)

Encourage short courses, research and information sharing, create forums to share best practices to lift the spirits of the workers at the registry.

vi)

Harmonizing the operations to be uniform to eliminate/reduce attributes and characteristics manifested in level 1 and level3.

vii)

Involve international civil society in setting up proper regulations to access government records.

- 14 D. Conclusion Although a lot of weaknesses were manifest in many departments and ministries there was also evidence of good practices in alternative departments and ministries. It is amazing that within a department some disparities were found that fell on extreme ends such as the police department where one was in level 1 and the other level 3. This can be addressed with a policy put in place and with proper implementation of structures in order to harmonize records management systems. Uniform principles should be established across government to ensure consistency in government dealings. There are certain fundamental requirements of record keeping which could be established even if there were allowance for differences in the practical implementation of standards. It is most important that the objectives of good record keeping and the reasons behind it [are] clearly understood throughout public administration. The role of the archives in establishing standards for the creation and management of government records is absolutely crucial. The archives needs to be able to set standards, determine and promote best practice in order to ensure that archives will be created to support the business of government and will be retained where necessary for the wider public good. This is even more critical with the advent of electronic records. The right to know is linked inextricably to accountability, the central goal of any democratic system of government. Informed judgement and appraisal by public, press and parliament alike is a difficult, even fruitless, task if government activities and the decision-making process are obscured from public scrutiny. The public will continue to press for information from the government and unless the government resorts to improve the registries and records centres so as to streamline free flow of information to the public, its very survival in power will be put under test.

E. REFERENCES Circular Letter from Permanent Secretary, Secretary to the Cabinet and Head of Public Service, Amb. Francis Muthaura. Training of Public Officers. Ref OP.CAB.12/6A of 15th February, 2006. Musila, M. (2000). Fighting Poor Records Keeping in Kenya: The Case of Missing and Lost Files and Documents. In Information Accountability Sourcebook. IRMT: London Pearse and Robinson (2005). Strategic Management. McGrawHill : London Routledge, D and Barata K. (eds) (2000). Information Accountability Sourcebook. IRMT : London.[available online] Online Sources http://www.collectionscanada.ca/information-management/0612/061203_e.html [accessed on 13/03/06] http://www.collectionscanada.ca/bulletin/015017-0007-05-e.html [accessed on 13/03/06] http://www.pch.gc.ca/pc-ch/pubs/johnenglish/eng8.html [accessed on 13/03/06]

- 15 Primary Sources Githumbi, Daniel K. Ministry of Water and Irrigation Main Registry Kimani, Martha - Protocol Registry, Ministry of Foreign Affairs Mbugua, John Anthony Main Registry Ministry of Lands and Settlement Department of Physical Planning. Mugira, Eliphas G. Department of Immigration Main Registry Ngichu, Faith Ministry of Planning and National Development. Central Bureau of Statistics Ngoloma, Michael Ministry of Regional Development Authorities Nyangara, Elizabeth Provincial Trade Licensing Registry at Nyayo House Odhiambo, Ben - Personnel Registry at State House