Managing records related risks in selected government ministries in Kenya

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.