So far we have travelled – are we there yet? An exploration of national archival expedition in Eswatini

Legislative and policy framework

The national legal and policy framework reflects how a country intends to manage its records (Parer, 2001). Legislation is the key factor and plays a major role in governing record-keeping in government entities and the employees under these entities. The national legal and policy framework measures are required to enforce record-keeping in the face of problems with handling records. Records management in eSwatini is undertaken within the framework of the eSwatini National Archives Act. Its mission is to enable Swazi citizens to participate fully in their country’s social, political and economic life through the equitable development, preservation and protection of Swazi cultural heritage. The eSwatini National Archives has a mandate for records management in government and public sector organisations. This mandate includes

managing public records and ensuring their preservation as historical records

Government ministries and parastatal organisations in eSwatini receive advisory services regarding the storage and preservation of their archival materials from eSwatini National Archives, as stipulated by the Act. The Act empowers the Director of eSwatini National Archives to examine and advise on the care, preservation, custody and control of any public records. The Act further empowers the director, at his or her discretion, to approve any institution, whether private or otherwise, as a place wherein may be deposited, housed or preserved, either permanently or temporarily, any public archives or records that have been declared public records (eSwatini National Archives (ENA) Report, 2015).

A study conducted by Tsabedze (2018) on e-records readiness in the context of e-government in eSwatini reveals that records management legislation does not cater for the management of e-records and related systems to manage records in electronic format. Specifically, the legislation does not make any provision for the management of e-records. However, with the increased creation of e-records within the ministries, it is mandatory to provide for e-records’ specific characteristics and requirements in a legislative framework. The greatest weakness of the National Archives Act 5 of 1971 is that most of its sections deal with archives conservation and preservation; this needs to be expanded to address e-records management requirements. The records that have to be managed and controlled by eSwatini government ministries now extend beyond the traditional paper-based records and include records in the form of web pages and multimedia. The study also revealed that although there is an eSwatini National Archives and Records Management Bill of 2010, which captures the total life cycle management of all records, regardless of media and format, it is yet to be passed into law. Clearly, it is taking too long to be implemented.

In 2013 the ENA launched the National Records Management Policy (NRMP), the purpose of which is to ensure that accurate, authentic and reliable records are created and maintained in all government ministries and departments. In the context of the NRMP, “records” are defined as all those documents that document (record) business activities, regardless of format. The NRMP provides for the establishment of the Conservation and Bookbindery section at the ENA, whose objectives are to

plan and implement policies, procedures and processes that together prevent further deterioration and renew the usability of different groups of archival materials

The NRMP provides for the application of preventive measures to preserve public records during their active stage at the government ministries and departments. Preservation requirements for records in the registries are, however, inferred from the following statements enshrined in some of the sections of the NRMP. Section 5.1.1 of the NRMP states that every government ministry and department should put in place a systematic records management framework, which will ensure the proper management of records in accordance with its organisational needs. The policy requires all registry officers to protect the records and to ensure their authenticity throughout their active use in the ministries and departments. To address the issue of fire and environmental monitoring systems, section 5.2.1 of the NRMP requires all government ministerial and departmental records centres to be fire-resistant, temperature- and relative humidity-controlled and to have secure storage areas for all types of records, after they have served their original purpose in the offices of origin, pending appraisal and transfer to archival repositories. Storage areas have a great impact on the lifespan of documents, since they contribute to their physical well-being (Ngulube, 2007:54). Section 5.3.1 of the NRMP states that all government ministries should give special attention to the permanent preservation of their own vital records. This clause is very important in ensuring that proper care is given to records at their active stage for posterity (eSwatini Government, 2013:29-36).

According to Ndenje-Sichalwe (2010), Adu (2015), Bhebhe, Masuku and Ngulube (2013), the obsolete legislation governing records management in most of the ESARBICA countries makes it difficult to adopt new technologies and implement management strategies pertaining to records. Consequently, “the lack of legislative and regulatory frameworks on electronic records influences the value of e-records management, access and preservation negatively” (Johare, 2001:106). The National Archives of Australia (2015:16) stipulates that “it is essential that an e-record framework is established in governments to ensure compliance with all relevant legislative requirements”.

Other scholars, such as Tsabedze (2020), Kalusopa (2011) and Nengomasha (2009), also explain that lack of up-to-date records legislation is a major challenge in the East and Southern African Regional Branch of the International Council on Archives (ESARBICA) region. Ketelaar (1985) advises that countries must make new legislative provisions for records and their management in order to cover e-records. Moreover, Parer (2001:7) recommends that “any move towards records management legislative change should take into account the electronic environment, convergent technologies, the web environment, web portals and gateways, government online initiatives, e-transactions, and e-business”. Clearly, there is a strong case for new legislation because the administrative and technical environment has changed significantly in many organisations with the increasing use of ICT.

Staff capacity for the management of archives and records

There is scant literature on archives and records management (ARM) education in eSwatini. Most of the ARM literature in eSwatini tackles issues relating to e-government records preservation and audio-visuals (Tsabedze and Kalusopa, 2018; Msibi, 2015; Tsabedze, Mutula and Jacobs, 2012; Maseko, 2010; Ginindza, 2008). However, such studies do point to the lack of education as the cause of many ARM problems in eSwatini. Hence Tsabedze and Ngoepe (2020) have recommended the establishment of archives and records management programmes at the institutions of higher learning in eSwatini. A country that is plagued with deficiencies in archives training and awareness may not be able to discharge its responsibilities towards ensuring the effective preservation of the nation’s documentary heritage (Tsabedze, 2012). According to Mnjama (2007:28), one of the resolutions passed at the eighth ESARBICA general conference held in Botswana in 2005 related to the scarcity of preservation professionals in the sub-Saharan African region; consequently, the conference urged national archival institutions, educators and other stakeholders to partner in setting up regional conservation training facilities for the benefit of ESARBICA member states.

At the time of this study, the head of conservation at the ENA possessed a postgraduate diploma in archives and records management and the conservation assistant had a certificate and had also undergone practical attachments in various conservation laboratories. It is worth noting that even though an officer may have a professional qualification in the area of archives and records management, it is still critical for staff carrying out conservation work to have the practical exposure to various conservation techniques. Since conservation is a science-based profession, it is mandatory for officers dealing with conservation work to have a strong foundation in chemistry, physics and other related natural sciences (Msibi, 2015). At the time of the study, there were three staff members at the ENA who were directly involved in preservation and conservation activities. Two officers had master’s degrees in an archives-related field; one had a bachelor’s degree, without archives or records management; three had certificates in archives or records management; and four had training in developing preservation programmes, providing preservation advice, implementing, preventing and handling procedures and evaluating conservation programmes. These activities require a professional with at least a postgraduate qualification to execute them (Msibi, 2015).

Continuous training through refresher courses, workshops and conferences must be encouraged. However, at the ENA, staff members did not receive the required support to attend short courses and workshops owing to the shortage of funds from the Ministry of Public Service, which is the ministry responsible for capacity building of the civil service (Tsabedze and Ngoepe, 2020). The challenge of inadequately trained/qualified staff at the ENA also affects the government ministries of eSwatini, resulting in a shortage of skills to manage records in the ministries and departments efficiently. Tsabedze (2018) established that certificate level was cited as the highest level of archives and records management professional education received by registry staff. The study revealed that a lack of capacity also results from the departure of experienced professional staff that look for greener pastures in the private sector. In addition, some of the archives and registry staff have applied for transfers to other professions, such as human resources, since the remuneration is better than for archives and records management. This leaves only inexperienced graduates to handle the archives and records management.

Strategies for preservation of archives at the eSwatini National Archives

The way in which public records are cared for at the ENA and at ministerial level has a great influence on the resultant condition of records, both in their semi-current stage and inactive stage as archives (Msibi, 2015). It is more beneficial to simultaneously manage and preserve records throughout their life cycle by adopting an integrated model/approach. According to Millar and Roper (1999), the integrated model recognises that records follow a life cycle and it acknowledges the importance of caring for records along a continuum. Mutero (2011) states that an integrated records management programme ensures the creation and maintenance of authoritative and reliable records in an accessible, intelligible and usable form, for as long as they are needed, thus preserving the context, content and structure of the records. This approach ensures that there is a seamless flow and relationship between the records throughout their life cycle. According to Tsabedze (2012), most of the damage to records in the different ministries in eSwatini was caused by mishandling and the extensive use of the documents. The current study showed that some of the factors that contributed to the damage of records in government ministries included torn and dusty files, which could be attributed to the way in which the files are stored and handled. Other ministries lost folios and files. This could be attributed to uncontrolled access to records storage areas. Tsabedze (2012) points out that the major challenge in preserving records in ministries and departments is that once their active use has elapsed, they are dumped in storerooms, where their preservation requirements are not considered.

The application of minor conservation techniques to damaged records at ministerial level aids in keeping files in a robust and manageable condition. The change in the attitudes of records officers towards the preservation of records in ministries and archives is remarkable, compared with when Maseko worked there, in 2012. This change could be the result of the ongoing training in records and archives management offered to registry personnel by the Institute of Development Management (Msibi, 2015).

Infrastructure for the preservation of archives

The materials used for constructing a building determine its resilience to external environmental influences and how the internal environment can be maintained. According to Millar and Roper (1999), both the roof and drainage system of the archives building should be designed in such a way that they keep water away from the building. The ENA has a pitched roof which is ideal for an archives building, since it keeps water away from the building, thus reducing the risk of flooding and leaking during rainy seasons. However, the roof is made of corrugated iron sheets, which have a low emissivity value and become very hot; thus they are not ideal for an archival building. The corrugated iron sheet roofing at the ENA poses a great threat to the longevity of the collections housed in the institution, since it absorbs a lot of heat, which is eventually transferred to the repositories (Msibi, 2015). According to Energy Star (n.d.), roof materials with a high emissivity value and solar reflectance (clay roofs) are very important for reducing the cooling load in a building by releasing the remaining heat absorbed from the sun. Nevertheless, the structure of the ENA is intact. The drainage system of the ENA building is well maintained and it can therefore be assumed that it keeps water away from the building effectively (Msibi, 2015).

The temperature and relative humidity levels at the ENA repositories are controlled using heating ventilation and air conditioning (HVAC) systems, in conjunction with other environmental control systems. The researchers ascertained that the HVAC system at the ENA had been running constantly for the past ten years. The system effectively provides a constant temperature all year round. In order to ensure that the HVAC system functions well, the ENA had signed a maintenance contract with a HVAC system service provider (ENA, 2015). According to Millar and Roper (1999), fluctuations in temperature and relative humidity can be highly damaging to records and archives. The ENA repositories had separate environmental conditions and control systems for offices and reading rooms. The average temperature of the building is normally between 21 and 25 degrees Celsius. Since archives and human beings require different environmental conditions, it follows that the temperature and relative humidity level should be monitored and maintained separately for the archives and the staff working there. Considering the efforts being made by the ENA in controlling the environmental conditions of their repositories, the latter can be expected to fulfil their optimum life expectancy if all other preservation measures are implemented. The ENA windows are covered with UV filter films. According to Springer (2008), interior UV filter films are guaranteed for 10 to 15 years. This implies that replacement will be necessary and this cost must be factored in when planning on using UV filter films or UV filter sleeves (Springer, 2008).

Archival legislation and policy framework

This objective sought to analyse the archival legislation and policy framework governing the management of archives records in the eSwatini National Archives. This framework included statutes, laws, regulations, codes of conduct, best-practice guidelines and ethics governing the business environment that relates to archives and records management. The study established that legislation for archives and records management, namely the National Archives Act 5 of 1971, empowers the Director of the ENA to ensure the proper custody, care and filing of archival materials, the inspection and destruction of archives and the transfer of archives from government offices to the national archives, once their active use period has elapsed (eSwatini Government, 1971). The existing legislation does not seem to cater for the management of e-records and related systems to manage records in electronic format. Specifically, the legislation does not make any provision for the management of e-records. However, with the increased creation of e-records within the ministries, it is mandatory to provide for e-records’ specific characteristics and requirements in a legislative framework. The major weakness of the National Archives Act 5 of 1971 is that most of its sections deal with archives conservation and preservation; therefore, there is a need to expand the mandate/scope in order to address e-records management requirements. The records that have to be managed and controlled by eSwatini government ministries nowadays extend beyond the traditional paper-based records and include web pages and multimedia. The study also revealed that, although there is a eSwatini National Archives and Records Management Bill of 2010, which captures the total life cycle management of all records, regardless of media and format, it is yet to be passed into law.

The study also established that the ENA had developed a National Records Management Policy in 2013 to guide the management of records in the ministries and departments. This was presented to all public sector records management personnel at a session convened by the Minister of Information, Communications and Technology at the eSwatini Institute of Management and Public Administration (EIMPA). This policy encompasses the management activities of records, regardless of form and media (e.g. paper, cartographic maps, audio-visuals and born-digital records) (eSwatini Government, 2013).

The study further established that the Ministry of ICT has developed an ICT policy and e-government strategy, but that these policies do not address electronic record-keeping in totality. The e-government strategy emphasises that it is a vehicle for national economic and social development by ensuring effectiveness, efficiency, transparency and accountability on the part of the government, but it does not indicate whether government ministries in eSwatini are e-records-ready for the purposes of use in the implementation of e-government. The policy addresses issues such as the ICT infrastructure policy, policy compliance and sustainability, and procurement, maintenance and disposal of ICT infrastructure and systems (Tsabedze, 2020).

The findings also show that only ISO 15489:2001 records management standards were used as a benchmark for developing the National Records Management Procedures Manual (2012), produced by the ENA, which is meant to be a guiding tool for all government ministries and departments on proper records management practices. This procedures manual was developed by the ENA to improve records management within both public institutions and the private sector and it replaced the eSwatini Government Registry Manual of 1976. However, the 2012 procedures manual is inadequate in addressing the requirements for electronic records management within government ministries.

The study also revealed that ministries are not complying with basic principles of record-keeping, such as filing, classification, appraisal and records disposal. A 2013 ENA report shows that there were notable pockets of non-compliance in most public institutions, partly because of a lack of oversight by the ENA and partly because of internal control weaknesses in the affected public organisations. This puts the long-term accessibility, use and preservation of public records at risk.

It is clear from the analysis and literature review that the current National Archives Act 5 of 1971 focuses excessively on archives and provides little guidance on records management. However, it requires that archives older than a prescribed age be transferred to the national archives. It also allows for retention of records indefinitely in the office of origin, if approved by the Director of the ENA, upon application by the relevant agency. There is a penalty of E200 or 12 months in prison for wilful damage or destruction of archives. However, there is no evidence that such a penalty has ever been imposed in the history of the eSwatini National Archives. Enforcement of this policy provision may have been affected by the limited capacity of the ENA and institutional administrative capacity (2008).

Staff capacity

At the time of the study, the ENA comprised a staff complement of 32 officials, including one (1) acting director, one (1) principal archivist, one (1) archivist, one (1) senior archivist, one (1) specialist librarian, one (1) records manager, one (1) conservator and one (1) photographer as trained professionals. There were also 8 para-professionals and 16 support staff. The country has one national archival institution charged with both the records and archives management responsibilities. It should be noted that this a purpose-built facility, which was refurbished in 2010 (Msibi, 2015).

The researchers established that the few trained professionals (records managers and archivists) at the ENA are quickly poached/snatched up by the private sector after the first two years of serving their official training bond. These professionals were trained outside eSwatini, as the country does not have currently capacity in terms of archives and records management training (Tsabedze and Ngoepe, 2020). The pay package offered at the ENA is not attractive enough to retain trained human resources when compared with the remuneration packages offered by the private companies and state-owned parastatal agencies. This leads to serious staff attrition challenges for the ENA, as most of the reform initiatives are left in the hands of inexperienced staff members to see them through to completion. It should also be noted that budget constraints in terms of realising the set ENA goals and targets are cited as a major obstacle. This is the case because the available public budget has to satisfy other pressing commitments, such as social services, health, education and infrastructure developments. Thus, this scenario proves detrimental to the realisation of the archives and record management mandate and responsibility (Tsabedze and Kalusopa, 2018).

Strategies for preservation of digital archives

The researchers sought to identify strategies for the preservation of digital archives at the eSwatini National Archives. The findings revealed that the ENA did not have a digital preservation strategy. Moreover, the officers seemed to be unaware of the role that a preservation strategy would play (Tsabedze, 2020). The officers interviewed also indicated that there was no digital preservation policy or guidelines for selecting records for preservation and for handling storage media.

The researchers established that the ENA is using printing and filing strategies to preserve their records. However, these strategies were not selected because of their suitability for the types of digital records preserved; they were simply adopted because those charged with the preservation of the digital records have limited skills and knowledge. Furthermore, the available infrastructure was unsuitable and the resources for digital preservation were inadequate. Some of the strategies employed, such as backup, are suitable only as a short-to mid-term strategy to extend the life of digital records. The researchers also observed that the ENA officers were not familiar with the basics of preservation, such as capturing metadata, and the officers lamented that they were struggling to access the stored records. Printing and filing were also proving meaningless for some file types of records, such as video and audio, as well as those with multiple links. It should be noted that the ENA is not conforming to digital preservation standards, despite their being the archives and records management regulator in the country.