KnowledgeManagementMonitoringAndEvaluationReport2014 < TSS < KEFRI-KMSSubmitted by: Victor Kamau on 11 May 2016 at 23:48Set Access Rights Hide Access RightsSet Permissions for KnowledgeManagementMonitoringAndEvaluationReport2014AgroforestryGroupBiometricsGroupBiotechnologyGroupCERPStaffGroupCHERPStaffGroupCaDepEditorsGroupCaDepGroupCaDepReviewersGroupClimateChangeGroupCountryReviewersGroupDERPKMFocalPointsGroupDERPStaffGroupDataAnalysisGroupDisseminationOfficersGroupDrylandForestryGroupEcologyGroupEconomicsGroupEnergyGroupEntomologyGroupEnvironmentalManagementGroupFBEMStaffGroupFINADMStaffGroupFPDStaffGroupFPIStaffGroupFortHallGroupHeadquartersStaffGroupKMKaruraTrainingParticipantsGroupKaruraKMPilotGroupKccapGroupKefriStaffGroupKibweziStaffGroupKnowledgeManagementGroupLVERPStaffGroupLamuStaffGroupModeratorGroupModeratorsGroupNFPPStaffGroupNameGroupNobodyGroupRTC2014GroupRTC2016GroupRVERPStaffGroupRegionalCooperationGroupSPGStaffGroupScientistsGroupTSSStaffGroupTWikiAdminGroupTurkanaStaffGroup AbdallaKisiwaAbdelmalikMohamedAbiudSayahAdminAdminAhmedMouhoumedAlbertLuvandaAliMahamadAmutenyaMonikaAngelaMuthamaAnneKamauAnneWekesaAquilinoLadoLeggeWaniAquilinoWaniAsenathAdiengeBatikSlimfitBeatriceNdakweBeatriceSabayaBensonOgunduBensonWanyoikeBernardKamondoBernardOwuorBethNgugiBetsyNamisiBettyPrissyBlessingMushakweBoazNgongaBrhaneHabtemicaelCarolineManyaCelestineIngutiaCharlesGitauCharlesMuturiCharlesNdegeChemukuWekesaChrisKivatiCincinKawinDepokCollinsObonyoCynthiaKanyingiDamarisKangetheDamarisMunyaoDavidAmakangaDavidOmuseDawitMebrahtuDogumGunuPastasiDominicMikileDorothyOchiengDrEbbyChagalaOderaDuncanMuthokaEdwardMengichElijahMiritiEliudWaweruElyasHassanEmilyKithekaEmilyYobterikEmmanuelMakatianiEpaphroditeGakwerereEricIndimuliErnestNjogholoEstherManyekiEuniceGithinjiEuniceGithnjiGithinjiFaisalJamaGelleFaithNoahFlorenceMwanziuFlorenceTowettFranciscaWanzalaGabrielMuturiGeorgeMigomGeorgeMuthikeGitehiGiathiGladysNyanchamaGodfreyKatuhaiseGraceNgatiaGraceTartisioKenyiHassanRayalehHellenNyarindoHenryKomuIbrahimYakubJamesGituJamesGituriJamesKimondoJamesMainaJamesMusemiJamesMwauraJamesNdufaJaneMwauraJaphetKabonsoJaredOgemboJaredOluochGamboJemimahNzilaniJeremiahMwendwaJoanKariukiJohnLokaleJohnNgugiJohnOtwomaJonahKipropJonathanNjugunaJosephMukotoJosephMuthiniJosephineWanjikuJosphatMachariaJoyceChegeJoyceOkumuJustinIguKMSystemAdminKennedyMateyaKennethChepkongaKevinMuemaKigwaKimaniKyaloMulatyaLabanMathuLeilaNdaliloLemmaGetachewLeonidaCheroticLinusMwangiLinusWekesaLucyKagunyuLydiaKhibaliLydiaMurugiMagrateKaigongiMainaKahuthiaManguroMiltonMargaretKuriaMargretNjengaMariamKaranjaMariamNKaranjaMartinKimataMaryGatharaMaryMakenaMarylnMbapahaMechalKebedeWakeneMechaleWakeneMercyGichoraMercyKivutiMeseluMamoYinesuMeseluYinwauMeshackMugaMichaelGathuraMichaelMairuraMichaelMukolweMichaelOkechMildredApooMiriamGathogoMiriamKagoMohamedSheikhMonikaAmutenyaMosesLukibisiMusingoMbuviMustafMohamedSheikhNaftalOngwesoNancyBorNaphtallyChegeNathanMaithaNellieOduorNerisaKamarNicholasKimwemweNicholasRiakoNixonKilimoNjengaMwauraNormanWairaguOscarMayunzuPatriciaSoliPatrickMutungiPaulTuweiPenuelOyabiPeterAngainePeterKamauPeterKunguPeterMwanjePeterNgugiPhedisterRizikiPhestoOsanoPiusMatiekaPriscillaKimaniPriscillaMulandiPurityKarugaPurityNyaundiRBettyMusyokaRabeccahKerryRachelKariukiRedemterMutembeiReubenShandaRianyKenRichardNyambaneRitaMulatyaRizikiMwadaluRobertGitongaRoseChitevaRosemaryGastorSabidaRoxventaOthimRuthNjugunaSalahTambelSamsomFessehatsionSamsonMogireSamsonOkothSamuelAukaSamuelWakoriSarahMogakaSetridaBandaMlambaShadrackAtudonyangSheilaWachiyeSilasKipngetichSimonNjengaSolomonKerekuStanleyNadirStellaGatamaStephenGitongaSylviaMwalewaSystemAdminTayseerMohamedTeresiaNgigiThomasKiplagatVictorJaokoVincentMosomeVincentYegonVioletOriwoWalterSangoroWilliamChepkuruiYapeteArionjeYidnekachewMengeshaYukiHonjoZainabYahyaMhomaZakayoNdundanobodyVictorGitauKamauTWikiBaseGroup TWikiAdminUserTWikiContributorTWikiGuestTWikiRegistrationAgentUnknownUserKnowledge Management Monitoring And Evaluation Report For Kefri Selected Regional Centers And Sub-CentersAssessment Criteria/Compliance RatingsSection A: Understanding/awareness of Records Management Policy and ProceduresSection B: Creation, Capture and Maintenance of RecordsSection C: Storing and Access of RecordsSection D: Disposal of RecordsSection E: Risk to Records and Records Storage AreasSection F: Vital RecordsSection G: Physical Storage of RecordsSection H: Planning and ResourcesCreation, Capture and Maintenance of RecordsRisk to Records and Records Storage AreasProposed Records Management Improvement PlanKEFRI Registry Management QuestionnaireBy Sheila MbiruThis report presents the results of monitoring and evaluation exercise undertaken in some KEFRI selected centre registries in the month of June 2015 to review compliance with records keeping practices. The selected centres included:-Coast Eco Regional Research Centre (Gede)Dryland Eco Regional Research Centre (Kitui )Lake victoria Basin Eco Regional Research Centre (Maseno)Rift Valley Eco Regional Research Centre (Londiani)Forestry Research Sub-Centre KakamegaThe purpose and objective of the exercise was to ensure that there is:Quality control of the records management practices, that is working accurately and efficiently.Continuous improvement of records management processes and proceduresContinued senior management support, sustained by regular updates on developments, processes and other aspects of the records management activitiesIdentification of strengths and weaknesses in the records management program, which when addressed will result in improved management of records and service delivery.Identification of policies and practices that need development or revision.Share good practice among centers.The methodology used consisted of the following:-a) Questionnaire combined with:-b) Reviewing methods and activities each centre is applying to meet their recordkeeping practices and responsibilities.c) Observing/inspection and analysing relevant documents and files andSeeking feedback from registries on recordkeeping proceduresThe questionnaire was set up to capture data across nine (9) major topics areas on records keeping practices i.e.Understanding/awareness of records management policy and procedures.Creation, capture and maintenance of records.Storing and access of records.Risks to records and records storage locations.Vital records management.Physical storage of records.The aim of compliance monitoring was to establish whether records keeping process or procedures are carried out in conformance with relevant requirements set through legislation, regulation or direction.To assist in determining how the institute is conforming to requirements, each section was rated according to the following scale:Full / high complianceModerate compliance / minor issuesLow / insufficient complianceSignificant lack of complianceFull/high compliance = you will have ticked ‘Yes’ for all boxes for a sectionModerate compliance/minor issues = you will have ticked ‘Yes’ to at least half the boxes for a sectionLow/insufficient compliance = you will have ticked ‘Yes’ to less than half of the boxes for a sectionSignificant lack of compliance = you haven’t ticked ‘Yes’ to any boxes in the section. Ratings of Low/insufficient compliance or significant lack of compliance in any sections of the questionnaire, will indicate areas where there is needs to, as a priority, put more effort in to taking measures to meet the requirement of proper records keeping regulationThe Public Archives and Documentation Service Act Chapter 19 establishes a framework for the management and administration of government records Registries are required to develop and implement Records Management practices consistent with the Act to ensure records are created, managed and preserved in accessible form. The progress of implementing sound records management practices can therefore be assessed against the requirements of the Act. This section was therefore to find out if the registry staff was aware of the Act and also if they had had any basic training in records management.From the findings, the registry staff indicated that they are aware that KEFRI does not have a records management policy or procedure manual but they are aware of the Public Archives and Documentation Service Act CAP 19 and are taking appropriate action to discharge their functions as per the Act. However they are unable to perform the entire task required under the Act mainly due to limited resources and lack of training. They also felt that the act is largely un-referenced. Training provides the foundation for all effective records management practices and the question on training was to find out the kind of training conducted, how often it is done and how many employees are trained. The results revealed that only a few registry staff have been trained on short courses on records management citing lack of consideration, funding and adequate resources. The compliance in this section is moderate.Records management is a fundamental element of good governance, in particular with respect to transparency and accountability. Good recordkeeping supports efficiency and accountability through the creation, management and retention of meaningful, accurate, reliable, accessible and durable records of government activities and decisions.This section was therefore to find out if centres visited had instituted controls to ensure that all records regardless of format or medium are properly organized, classified, indexed and made available for use by users and Conduct measures to ensure effectiveness of the current government practices and also comply with the current government rules and regulations on management of records.All the centres indicated that they performed the following tasks to create capture and maintain recordsHave file plans to manage active records.This is done through proper handling of incoming and outgoing mails which is done through the following procedures: receiving of mails, sorting, opening, date stamping, registering, filing, distribution of mails to action officers, control of mail movement by use of file control tools security and dispatch.Have developed records inventories.This is done by grouping records to series and having a complete list of all the records in the registries (file index)Identify locations of the records.Most of the centres had proper labelled files and filing cabinets. However,On Email management the registry personnel responses to this question indicated that records management practices within the centres:Do not ensure that e-mail records are preserved in a recordkeeping system;Are not able to monitor compliance that instruct employees to print and file e-mail messages the reason being that they are rarely or not at all involved with or are excluded altogether in official email management (most emails received in the Regional/centre Directors office and therefore not easy to monitor).These findings confirmed that management of electronic mail remains a significance challenge. The compliance to this section is moderate.Accessibility and knowledge sharing is a key driver for managing and delivering records for use. Proper and appropriate storage also ensures that records are protected from agents of destruction. This section sought to find out how records are being accessed and stored.From the findings, it is evident that all records are protected from unauthorised access and only bonafide persons access them i.e. action officers and registry staff. Also all the centres are using active and effective records control tools such as file movement registers to track movement of the records. On storage, records are being stored in lockable drawer steel cabinets in some centres and in wooden cupboards for other centres. Access to the registries is also restricted and registries have assigned specific staff to lock and handle the registries key. The compliance to this section is high.Registries must have an effective records disposition program so they can have readily available records needed for current business, appropriately dispose of records that they no longer need for current business. Effective and efficient disposition of records can be achieved by scheduling them, ensuring their proper storage, and providing for prompt disposal of records and the timely transfer of permanent records to Archives. The three questions in this section sought information on registries records scheduling activities and implementation of their schedules.The findings to this section revealed that all the registries evaluated do not have a functioning disposition program for the records and although centres have been able to list all the non-current records they have, these records have never been appraised to determine their value and eventual disposal. This has resulted to retention of large quantities of unnecessary records no longer needed for reference terming compliance to this section as low.Registries should also conduct a risk assessment that considers both the operational risks to recordkeeping practices such as technological obsolescence and disasters, and risks such as theft, deletion and damage to records in relation to records keeping. It is also evident that Registries whose records are managed poorly may face an increased risk of lack of community confidence in their operations if records of a confidential nature are released, or requested documents cannot be located.The finding to this section indicated that all registries protected the records from unauthorized access, storing them in lockable cabinets. The records are also protected from other agents of deterioration such as dust and sunlight. This is evident that measures to minimize risk to records and records storage locations are being taken. The compliance to this section is high.Registries are responsible for identifying, protecting, and making readily accessible their vital records. Vital records are emergency operating records, which are essential records needed to meet operational responsibilities for instance during emergencies and to carry out a vital records program, registries must:-Identify their vital recordsBackup copies of vital recordsAppropriately inform all staff about vital records;Ensure that the designation of vital records is current and complete; andEnsure that vital records are adequately protected, accessible, and immediately usableThe findings for this section show that all centres have not identified their vital records or do not know how to do it. There is significant lack of compliance for this section.Adequate and appropriate space and suitable equipment for storage of records should be provided to ensure that records are properly stored and easily accessibleThe response for this section indicated that records are being kept in appropriate storage facilities and adequate space is provided. The filing cabinets are also lockable hence records are secure. Records are also protected from agents of deterioration such as direct sunshine, pests and dust. The compliance to this section is high.Resource planning should be a performance requirement driven for establishing and implementing records management function. Planning recommendations should be a key part of future activities for managing records throughout their life-cycle. This will encourage efficient use of equipment and supplies thus reducing both waste and cost. Provision should also be made in the annual budget for sufficient funds to enable registries units to perform their functions properly.This section sought to find out if centres had plans and if they were funding for the records management activities.The findings to this section revealed that although there exists a definite plan for managing records in the centre registries, it was established that there existed no specific budget for servicing of records which is hindering most records keeping activities. The compliance for this section is moderate.It was encouraging to note that all centres are improving on good record keeping practices and this can be evidenced by the activities being undertaken. Notable improvements included:Regional/Centre Directors have supported record keeping practices by providing resources such as stationeries, lockable cabinets, fitting of reception desks at the registries, adequate space and accommodation for the records.Centres have developed programs on records management for instance current and noncurrent records have been separated and listed to improve retrieval and accessibility .Some centres such as Londiani have established a record storage office for the non current records and have identified a data manager as the in charge.Records control tools such as the file movement register that are active have been introduced thus records are protected from loss, damage and unauthorised access.There is also improved identification and location of records and access and this have been achieved by proper labelling of files and cabinets well printed file index and good housekeeping methods in the registries.The Institute should develop appropriate policies and procedures for recordkeeping that seek to ensure proper records are captured and maintained such asKEFRI records management policy,records disposal and retention schedules for both paper and electronic recordsRegistry operations procedures.KEFRI should implement and distribute legislation currently in force on records management to registry personnel.The Institute should implement a system for conducting internal audits, to formally and regularly monitor and review recordkeeping practices, systems, policies and procedures.Registries to establish their records management programRegistries not currently conducting records inventories should do so in order to meet the requirement to periodically update their records schedules to facilitate prompt disposal of record.Registries should revise their file index and review the file classification systemRegistries should review and develop file plans on an annual basis to ensure they remain current.Centres should ensure that official e-mail messages are preserved in appropriate recordkeeping system and consider partnering with IT department to monitor compliance on Email management.Develop and implement an integrated records management systemAll the centres should arrange to have all the non-current records appraised to enable identification and preservation of valuable records and disposal of the valueless onesCreation of records centers to store semi-current and non-current records within the centers andIdentify persons responsible for the non-current files.centres must identify their vital recordsmust conduct an annual review of their vital records program; andMust provide vital records training to their records management staff.Train all staff handling records in records managementTraining programs to improve the skills and understanding of all staff in recordkeeping practices should be developed.Ensure that records management training for registry employees is done at least annually and contains practical tools to implement records schedules and ensure good record keeping practices.Formulate a disaster management planDevice proper procedures for arranging, storage and retrieval of cartographic, audio-visual and photographic records(centers identified and focused their records keeping system for paper based files only)Proper planning and migration strategies (i.e. migrate to a new software/hardware every 2 to 3 yrs) or as need be due to frequent technological changes that has led to obsolesce in equipment and storage format.Create budget votes for servicing records.Provide a conducive working environment by equipping the records management units with necessary working tools and protection equipment such as dust masks, blowers and coats, good furniture, computers, preprint and scanners etc.Adequate space and accommodation for proper storage of records.Train the registry staff.The institute should promote an organisational culture that encourages effective, efficient, and accountable records management practices by:-Acknowledging that recordkeeping is an integral part of ‘doing business’ and it has legal and other obligations to create and maintain records.Senior management demonstrating a sustained commitment to sound records management by allocating sufficient resources to support sound records management, and to create and maintain awareness of the importance of recordkeeping and the individual responsibilities and accountabilities of staff.Develop KEFRI Records Management Policy.Develop Records Retention and Disposal Schedule.Develop Registry Procedure Operating Manual.Implement fully the current legislation on records management.KNADS staffManagement of current recordsRevision of file indexReview filing classification schemeManagement of noncurrent records(Disposal of records)All the centres should arrange to have all the non-current records appraised to enable, identification and preservation of valuable records and disposal of the valueless ones,Establish comprehensive transfer arrangement for records selected for permanent preservation to archives,Centers should create records centers to store semi-current and non-current records within the centers, andFormulate disaster management planDevice proper procedures for arranging, storage and retrieval of cartographic, audio-visual and photographic records (centers identified and focused their records keeping system for paper based files only)conduct annual review of their vital records program; andCreate budget votes for servicing recordsTrain the registry staffLocation: ­­­­­­______________________________Office: _____________________ Date: _______Name: ___________________ (Not a must)A Understanding/awareness of policy and proceduresCriteria Yes/No Comments if any and or actions to be takenAre you aware of the KEFRI Registry Management Procedures?Records management procedure manual for public service2 Are you aware of The Public Archives And Documentation Service Act chapter 19 of laws of Kenya?3 Are you aware of the KEFRI’s Administration procedures manual KEFRI/SOP/ADMIN.009 PROCEDURE NUMBER 1 REGISTRY MANAGEMENT4 Have you received training in recordkeeping practices and procedures? If so, what training?B Creation, capture and maintenance of records1 Has the Registry developed or has a program or procedures for receiving, classifying, indexing, filing, and retrieving records and make them available for use on request? If yes how?2 Are file drawers and folders labelled correctly?Are you able to eitherprint and file emails or4 Do you conduct periodic checks of records within the Registry for accuracy?C Storing and access of recordsCriteria Yes/No Comments if any and or & actions to be taken1 Are records stored in the appropriate location within the registry?2 Is access to all records regardless of media limited to authorized personnel?3 Are the registry staffs aware of the need to protect sensitive and confidential records?D Disposal of records1 Are the registry staffs aware of the rules and procedures for the disposal of records?2 Have records retention and disposal schedules been established.3 Are reviews periodically conducted to identify new records series to incorporate them in the records retention and disposal scheduleE Risks to records and records storage locationsCriteria Evidence Your assessment Comments if any and or & actions to be takenAre risks to records and records storage locations identified?Risk assessment undertaken to identify and mitigate possible risks to records and records storage locations (facilities and/or storage areas). [Documentary evidence]What measures are there to minimise risk to records and records storage locations?Risk management/mitigation plan.(i.e. undertaking a file censors once a yearF Vital records1 Has the registry identified its vital records ,i.e its emergency operating records A register of vital records is maintainedIs the listing of vital records regularly reviewed and updated?There is a regular review cycle and updating of the listing of vital records.[Documentary evidence]*G Physical storage of records*1 Are all records storage areas and facilities appropriate? <strike></strike>A) All storage areas and facilities are assessed to determine their suitability and conformity with requirements in. This includesemi active storage areas within office accommodationactive storage areas within office accommodationb) Buildings have good drainage system.c) Storage areas and facilities have appropriate and comprehensive fire detection and protection systems and equipment.d) All records storage facilities and locations are regularly inspected to ensure their continuing suitability to store records.Are records stored in appropriate environmental conditions?a)Environmental conditions in records storage areas and facilities are suitable for the types of records stored in the storage facility and will assist their preservation.(Inspection)b) Records storage areas exclude direct sunlight. (Inspection)c) There is proper ventilation in the records storage.d) Storage areas and facilities are protected from biological agents of deterioration such as pests. [inspection]Are records storage areas and facilities protected from intruders and unauthorised access?a) Storage areas and facilities are only accessible to those officers who are authorised to access these spaces.b)Access control systems are in place for storage areas and facilitiesc) Records identified as critical, sensitive or containing in-confidence material are appropriately protected within the records storage area or facility. inspection]H planning and resourcesHas the registry established a records management plan?Plans have been identified and put in place to improve records keeping in the registryAre Records management activities financed/resourcedAdequate resources are allocated to achieve the set in plans for the records keeping activities.Topic revision: r2 - 01 Aug 2016 - VictorKamau
