Abstract:
Given the significant role that records play in public service delivery, good
governance and accountability, the need to have a risk management strategy for
records in Kenya is urgent and critical. Citizens expect government ministries to
manage records in a trustworthy environment that protects the records against any
risks. While the Government of Kenya has developed a National Disaster
Management Plan, there has continued to be a gap on how public entities should
manage records related risks. It is therefore not clear how Government of Kenya
(GoK) ministries are handling records risks. The aim of the study was to assess the
extent of records risks within GoK ministries with a view of proposing a risk
management strategy for public records to mitigate the risks. The specific objectives
of the study were to: establish the effectiveness of existing legal and regulatory
frameworks for managing records related risks in Government of Kenya ministries;
assess the nature, types and causes of records risks in the ministries; evaluate
effectiveness of recordkeeping control systems used by GoK ministries in alleviating
records risks; assess risk management capacity, skills and competencies of records
management staff in GOK ministries; and propose an appropriate risk management
strategy for public records in Kenya. The study was informed by two models; the
Business-Driven Recordkeeping and Integrated Risk Management models. The study
used multi-case study research design which was primarily qualitative with some
aspects of quantitative approaches to gather data. Data was collected through
interviews and documentary review. The population consisted of 130 respondents out
of which, a sample of 64 comprising 16 Records Management Officers, 8 Archivists
and 40 informants was drawn. The study came up with a range of findings as follows;
records in government ministries were at risk as a result of weak or non-existent
records management infrastructure, legal and regulatory frameworks for records
management did not effectively address records related risks, Records Management
Officers lacked adequate skills, competencies and training in risk management and
that records management was under-resourced to adequately manage records against
risks. The study concluded that although records were critical to the effective
functioning and implementation of programmes, ministries had not put in place
decisive measures to tackle records related risks. The research recommends that:
ministries implement the risk management strategy for records and archives proposed
by the current study; the Kenya National Archives to develop a national records risk
assessment framework; KNADS to initiate revision of Public Archives Act and other
regulatory frameworks, the Public Service Commission of Kenya to fully implement
the Prime Minister’s Office Circular No. MSPS.1/3/5A VOL. VIII of 2010 on
establishment of Records Management Units in ministries and departments; the Public
Service Commission of Kenya with other stakeholders such as the Kenya National
Archives and Kenya School of Government to urgently develop a records
management curriculum that addresses risk management; Ministries in collaboration
with the Kenya National Archives to develop records management control systems
and policies to be implemented across ministries to address records related risks.