The design of any information management system (IMS) requires a clear strategy for its integration into the environment for which it is intended. Information management has been addressed in the objectives and plans of the Government of Uganda since independence in 1962, with varying degrees of success. The extensive changes that have taken place in the last few decades in Ugandan higher education have led to increased demands for managing student information. In turn a strategy for proper coordination of such data is necessary. The major aim of this study was to design such a strategy. The research therefore attempted to investigate the current state of the management and coordination of student information in Uganda. The needs and requirements of a student information management system (SIMS) and strategies for its integration in higher education programmes were established. The study carried out in the education sector was conducted using a qualitative research framework that provided a coherent set of propositions which explains the phenomenon of a SIMS. The researcher purposively selected the respondents (including key informants, administrators and student leaders) in this sector, who included people involved in the capture, storage, management and use of student information in various institutions in the given sector. Observably, the current state of the SIMS lacks a strategy to keep track of student information in Uganda. It was established that to ensure tracking of such data in the country, an identification system with standardised procedures in a coordinating structure is required together with a clear strategy for utilising the existing structures in the education sector. To design a strategy of this kind, a proposed framework for an integrated SIMS defined the principles, environment and contextual boundaries in terms of which the design is created. It defines the structure of a national student identification system and its coordination in the education sector in Uganda. Strategies for ensuring the sustainability of such a system and its implications for the socio-economic environment of higher education are considered. / Information Science / D. Lit. et Phil. (Information Science)

Text in English with summaries in English, Afrikaans and Zulu / Bibliography: leaves 102-115 / The study investigated the management of medical records in the Primary Health Care services (PHCs) of Diepsloot. The study investigated the regulatory framework, records infrastructure, records security, records management staff skills and the filing system. A qualitative design guided by the interpretive paradigm was used to guide the case study. Interviews, focus groups, and observations generated data from 50 participants. The study revealed that the regulatory instruments used to manage records lack implementation and compliance. There was a lack of security measures, a shortage of records management infrastructure and inconsistency in the filing system. There is a low level of skill in the records management staff. The study recommended the implementation of a regulatory policy that will guide and ensure effective governance of records in PHCs. Records should be secure from misuse by unscrupulous individuals. PHC records need to be managed by experienced professionals. The filing system should be easily accessible. / Die studie het ondersoek ingestel na die bestuur van mediese rekords in die Primêre Gesondheidsorgdienste (PHC's) van Diepsloot. Die studie het ondersoek ingestel na die regulatoriese raamwerk, rekord van infrastruktuur, rekord sekuriteit, vaardighede vir rekordbestuur en die liasseerstelsel. 'n Kwalitatiewe ontwerp gelei deur die interpretatiewe paradigma is gebruik om die gevallestudie te lei. Onderhoude, fokusgroepe en waarnemings het gegewens van 50 deelnemers gegenereer. Die regulatoriese instrumente wat gebruik word om rekords te bestuur, het geen implementering en nakoming nie. Die studie het aan die lig gebring dat daar 'n gebrek aan veiligheidsmaatreëls was, 'n tekort aan infrastruktuur vir rekordbestuur en teenstrydigheid in die liasseringstelsel. Die personeel in rekordbestuur het 'n lae vlak van vaardigheid. Die studie het die implementering van 'n regulatoriese beleid aanbeveel wat die doeltreffende bestuur van rekords in PHC's sal lei en verseker. Rekords moet beskerm word teen misbruik deur gewetenlose individue. PHC-rekords moet deur ervare professionele persone uitgevoer word. Die liasseerstelsel moet maklik toeganklik wees. / Lolu cwaningo luphenywe ngokuphathwa kwamarekhodi ezokwelashwa emnyangweni Wezokunakekelwa kwempilo okuyisisekelo (i-PHCs) eDiepsloot. Ucwaningo luphenywe ngohlaka lokulawula, ingqalasizinda yamarekhodi, ukuphepha kwamarekhodi, amakhono okuphathwa kwamarekhodi nohlelo lokufayila. Umklamo olungaqanjwa uqondiswa yi-paradigm yokutolika wasetshenziselwa ukuqondisa ucwaningo lwesigameko. Izingxoxo, amaqembu okugxila kanye nokubukwa kukhiqize idatha evela kubahlanganyeli abangu 50. Izinsizakusebenza zokulawula ezisetshenziselwa ukuphatha amarekhodi zingenakho ukusebenza nokuhambisana. Ucwaningo luveze ukuthi bekukhona ukuntuleka kwezindlela zokuphepha, ukushoda kwengqalasizinda yokuphathwa kwamarekhodi kanye nokungahambelani ohlelweni lokugcwalisa. Kunezinga eliphansi lekhono kubasebenzi bokuphathwa kwamarekhodi. Ucwaningo lincome ukusetshenziswa kwenqubomgomo yokulawula ezohola futhi iqinisekise ukuphathwa kwamarekhodi kuma-PHCs ngendlela efanele. Amarekhodi kufanele avikeleke ekusetshenzisweni kabi ngabantu abangathembekile. Amarekhodi we-PHC adinga ukuqhutshwa ngochwepheshe abanolwazi. Uhlelo lokufayila kufanele lutholakale kalula. / Information Science / M. Inf.

Many scholars lament of poor infrastructure to manage and preserve digital records within the public sector in South Africa to support electronic government (egovernment). For example, in South Africa, the national archives’ repository and its subsidiary provincial archives do not have infrastructure to ingest digital records into archival custody. As a result, digital records are left to the creating agencies to manage and preserve. The problem is compounded by the fact that very few public sector organisations in South Africa have procured systems to manage digital records. Therefore, a question is how are digital records managed and stored in these organisations to support e-government? Do public organisations entrust their records to the cloud as an alternative storage given the fact that both physical and virtual storages are a problem? If they do, how do they ensure accessibility, governance, security and long-term preservation of records in the cloud? Utilising the Digital Curation Centre (DCC) Lifecycle Model as a guiding framework, this qualitative study sought to explore digital curation of records in the cloud to support e-government services in South Africa with the view to propose a framework that would guide the public sector to migrate records to the cloud storage. Semi-structured interviews were employed to collect data from the purposively selected Chief Information Officers in the national government departments that have implemented some of the electronic services such as the Department of Arts and Culture, Department of Home Affairs, Department of Higher Education and Training and the Department of Basic Education. Furthermore, the National Archives and Records Services of South Africa was also chosen as it is charged with the statutory regulatory role of records management in governmental bodies. So is the State Information Technology Agency (SITA), a public sector ICT company established in 1999 to consolidate and coordinate the state’s information technology resources in order to achieve cost savings through scale, increase delivery capabilities and enhance interoperability. Interview data were augmented through document analysis of legislation and policies pertaining to data storage. Data were analysed thematically and interpreted in accordance with the objectives of the study. The key finding suggests that although public servants informally and unconsciously put some records in the clouds, government departments in South Africa are sceptical to entrust their records to the cloud due to a number of reasons, such as lack of policy and legislative framework, lack of trust to the cloud storage, jurisdiction, legal implications, privacy, ownership and security risks. This study recommends that given the evolution of technology, the government should regulate cloud storage through policy and legislative promulgation, as well as developing a government-owned cloud managed through SITA in order for all government departments to use it. This study suggests a framework to migrate paperbased records to cloud storage that is controlled by the government. / Information Science / D.Lit. et Phil. (Information Science)

South African institutions of preservation, such as archives, have often focused their collecting efforts on records of national significance and documenting the perspectives of the more dominant communities that represent power and government. This has resulted in the underrepresentation of certain communities in the archival heritage of the nation, such as the South African Portuguese community, whose contemporary history and experiences have not been adequately reflected in the country’s archival collections, including in those of government and other mainstream archival institutions and non-public institutions. Since South Africa has a number of Portuguese community-based organisations - and because the records they have created may be a potential resource for safeguarding the social history of this under-documented group - this study aimed to investigate the management of these records with a view of proposing a best practice model that would assist in their future management and guide their inclusion in any intended archival collection initiatives. Utilising a generic interpretive qualitative research design, the study revealed that the selected study population, namely the Portuguese community-based organisations in Gauteng, create and hold diverse types of records that may show important aspects of the community’s history that are worthy of systematic management and preservation. However, it became evident from the empirical findings that the recordkeeping practices of these organisations were performed inadequately, with records often being misplaced or discarded after their administrative use had expired. The findings also showed that, although these organisations had never thought of establishing an archival programme for themselves or depositing their records in any mainstream archives, they were willing to contribute their records to a planned archival collecting initiative of the community. Based on these findings, recommendations were made with regard to these organisational records in order to improve their management and to facilitate their potential inclusion in an archival collecting plan. The study also suggested an archival collecting framework and a model for these records. The proposed model followed an integrated approach, taking into account the community’s divergent collecting and custody preferences, such as the mainstream institutional acquisition of these records or these being preserved within community structures. / Information Science / D. Litt. et Phil. (Information Science)

Efficient records management is a founding block for successful transparency and accountability initiatives. Extractive Industries Transparency Initiative (EITI) promotes transparency and accountable management of extractive resources by disclosing governments’ and extractive companies' value chain information in resource-rich countries. Without proper management of records, transparency and accountability in the extractive industry become difficult. This study sought to explore the integration of records management in the Tanzania Extractive Industries Transparency Initiative (TEITI) with the view to develop a framework for incorporating records management in such an initiative. This qualitative case study anchored on the interpretivism research paradigm used the researcher’s conceptual framework as a theoretical lens. The study sample was purposively selected from the public institutions involved in TEITI, namely, TEITI Committee and the Secretariat, Mining Commission, Records and Archives Management Department, Tanzania Revenue Authority, and Regional Mines Office Dodoma. Data were collected through in-depth interviews, focus group discussions, observation, and analysis of documents. The study established that Tanzania has a well-established archives and records management infrastructure. However, institutions involved in TEITI did not implement the infrastructure or developed in-house procedures to incorporate records management in the initiative. Also, the non involvement of various players of the extractive sector in TEITI resulting in silos approaches to the initiative was noted. In addition, the studied institutions do not plan for their records management activities, and the budgets to support records management activities are inadequate. Records management staff are also insufficient, and their competencies to manage records mining activities is limited. The study concludes that because of the failure to integrate records management in TEITI, the initiative will not succeed in releasing its goal of bringing about transparency and accountability in the extractive sector in Tanzania until deliberate efforts are taken to incorporate records management as a critical component of the initiative. The study proposes a framework upon which the TEITI Committee, institutions and governments can apply to integrate records management in the EITI. Overall, the study bridges the gap of a missed inclusion of records management in the EITI initiative by proposing a framework. A further study on the underlying factors deterring the integration of records management in the organisational business process of institutions involved in TEITI is proposed. / Information Science / Ph. D. (Information Science)

Depuis les années 1950 au Québec, les associations étudiantes et leurs membres se mobilisent et forment des mouvements étudiants qui ne peuvent être ignorés dans le panorama politique et historique de la province. En 2012, les étudiants ont déclenché la plus longue et la plus importante grève étudiante afin de contrer une augmentation des droits de scolarité et de défendre leurs principes face à un gouvernement qui a été considéré par certains comme intransigeant. Cette grève étudiante est un point de départ pour un questionnement face à l’avenir de la mémoire étudiante. En prenant pour étude de cas les archives numériques en ligne de l’Association pour une solidarité syndicale étudiante (ASSÉ), il est possible de remarquer que l’association étudiante n’est pas uniquement centrée sur les enjeux étudiants. Ces documents témoignent d’une jeunesse préoccupée non seulement par le bien-être de sa communauté locale, mais qui est aussi habitée d’une volonté de solidarité avec les luttes progressistes au Québec et de partout ailleurs. En 2012, les plateformes de réseaux sociaux et les outils du web sont devenus un incontournable pour mobiliser les étudiants et pour former un mouvement citoyen. Cette stratégie, alliant la mobilisation et l’organisation à travers les réseaux numériques et la sphère publique, fait partie de ces nouvelles méthodes de protestation collective. Le but de ce mémoire est de poser un regard sur les archives associatives étudiantes qui sont aujourd’hui créées par le biais des technologies numériques. Il s’agit de démontrer leur importance en tant qu’objets faisant partie du patrimoine collectif. Mais ces archives, virtuelles et intangibles, sont vulnérables au passage du temps. Sans une volonté de les préserver, leur futur est plus qu’incertain. Ce mémoire a donc pour finalité de permettre à la mémoire étudiante de se perpétuer grâce à la création d’un guide spécifiquement adapté pour les besoins de gestion de l’information numérique des associations étudiantes. Ce guide contient des outils issus de la science de l’archivistique qui permettent une meilleure gestion et une préservation à long terme des actifs informationnels des associations étudiantes. / In Quebec, since the 1950s, student unions and their members have been known to mobilize and create protest movements which cannot be ignored in the political and historical panorama of the province. In 2012, the students set off the longest and most important student strike with the goal of countering tuition hikes, but also to defend their principles against an uncompromising government. This student strike is a starting point for wider questions regarding the future of student memory. By taking the Association pour une solidarité syndicale étudiante’s (ASSÉ) digital archives as a study case, it is possible to notice that the student union focuses on more than student issues. Their documents demonstrate that the youth’s preoccupations are not only centered towards the well-being of its local community, but show solidarity towards social and political struggles in Quebec and elsewhere in the world. In 2012, social media platforms and online tools have become a staple of student mobilization and to finally form a broader citizens’ movement. This strategy, combining mobilization and organization through the use of social media and activities in the public sphere, is part of the new methods of collective protest. The goal of this master’s thesis is to consider the digital archives produced today by student unions and associations and to demonstrate their importance as objects belonging to collective heritage. But these archives, virtual and intangible by nature, are vulnerable to the passing of time. Without preservation efforts, their future is more than uncertain. Thus, this master’s thesis has for ultimate purpose the creation of a guide specifically developed and adapted to suit student unions’ needs in digital records and archives management. This guide contains tools which stem from archival science to ensure a better management and the long- term preservation of student union information assets and archival heritage.

Der Computer ersetzt in den letzten Jahrzehnten zunehmend analoge Schreibwerkzeuge und Kommunikationsmittel. Das hat auch Auswirkungen auf den Schaffensprozess von Schriftstellern, die ihre Aufzeichnungen immer häufiger als digitale Objekte hinterlassen. Für Literaturarchive stellt sich folglich die Aufgabe, zukünftig auch digitale Schriftstellernachlässe zu übernehmen und zu archivieren und hierfür eine Langzeitzeitarchivierungs-Strategie zu entwickeln. Die vorliegende Arbeit beschäftigt sich mit dem Zeitraum vor der Übernahme eines Nachlasses durch ein Literaturarchiv und stellt die Frage, welche Maßnahmen Nachlasskuratoren in Zusammenarbeit mit Schriftstellern ergreifen können, um die Langzeitarchivierung zu ermöglichen. Nachlässe sind in diesem Zeitraum noch die persönlichen Archive von Schriftstellern. Der Eingriff von Seiten der Kuratoren in persönliche Archive wird in dieser Arbeit als präkustodiale Intervention bezeichnet. Die Arbeit erörtert zunächst die theoretischen Grundlagen dieser Fragestellung und arbeitet die Notwendigkeit der präkustodialen Intervention in Schriftstellerarchive heraus. Anhand eines Literaturberichtes zeigt sie, dass der Forschungsstand in Deutschland, Österreich und der Schweiz im Vergleich zu den englischsprachigen Ländern defizitär ist und identifiziert Ursachen für diesen Befund. Zudem werden aus der Literatur mögliche Maßnahmen der präkustodialen Intervention entnommen und weiterentwickelt. Daraufhin überprüfen Experteninterviews in ausgewählten Literaturarchiven sowie eine Schriftsteller-Befragung diesen Befund und reichern ihn mit weiteren Daten an. Basierend auf den Ergebnissen der Literaturrecherche und des empirischen Teils wird die Einrichtung einer Cloud-basierten Arbeits- und Archivierungsumgebung für Schriftsteller als Hauptbestandteil einer Interventions-Strategie für Literaturarchive vorgeschlagen. / In recent decades, the computer has been displacing increasingly analogue writing tools and means of communication. This has an impact on the creative process of writers as well who leave their records more and more as digital objects. Therefore, special collections are being confronted with the task to acquire and archive digital papers in the future and to develop a digital preservation strategy for them. The present thesis deals with the period before the acquisition of papers and manuscripts by a special collection and brings up the question what kind of measures curators could take in cooperation with writers in order to make digital preservation possible. During this period, papers are still the personal archives of writers. The intervention in personal archives on the part of the curators is referred to as pre-custodial intervention. The work initially discusses the theoretical foundations of this question and exposes the need of pre-custodial intervention in writers archives. By means of a literature review the thesis shows that the state of research in Germany, Austria and Switzerland compared to English-speaking countries is deficient and identifies reasons for this finding. In addition, possible actions of pre-custodial intervention are taken from the literature and developed further. Thereupon, expert interviews in selected special collections as well as an online survey of writers review this findings and fill them with other data. Based on the results of the literature review and the empirical part, a cloud-based archiving and working environment for writers is proposed as the main component of an intervention strategy for special collections.

An effective records management programme is a major element of the governance of any organisation. However, despite this crucial role played by records management, there is a consensus amongst researchers that many organisations, including government departments, pay little attention to the management of records. In South Africa, government departments are under legislative obligations to adopt a systematic and organised approach to the management of records. For example, the National Archives and Records Service of South Africa Act (Act No. 43 of 1996) requires government departments to develop, implement and maintain proper records management systems. The purpose of this study was to explore records management trends in the Department of Provincial and Local Government (DPLG) to establish if the Department was managing records according to legislative requirements. Data was collected through online questionnaires, physical observation and interviews with selected DPLG employees and analysed through an open source software. The key findings of the study revealed that an enormous benefit for the implementation of a records management programme is the commitment and support of top management. The study recommended that records management should be included in the performance contracts of all employees in the DPLG. The study concluded that a records management programme will only function effectively if it is developed as part of the strategic objective of the organisation. / Information Science / M.A. (Information Sxcience)

An audit of financial statements relies heavily on authentic records to yield informed audit opinions. Without proper records of transactions, the objective of auditing financial statements becomes difficult. In the digital environment, determining the authenticity of digital documents for purposes of auditing is even more problematic because of a lack of criteria used by auditors for the declaration of such authenticity. This study sought to develop a framework for the authentication of records in a government accounting system in Botswana with a view to supporting the audit process in the public sector. This qualitative study framed within the interpretivism epistemological research paradigm, used archival diplomatics as a theoretical lens. Data were collected through system analysis, analysis of documents such as legislation, as well as interviews with auditors, ICT professionals and records management practitioners purposively selected from the Botswana National Archives and Records Services, Office of the Auditor General, Department of Information Technology, Accountant-General’s Department, Department of Internal Audit and Department of Corporate Services of the Ministry of Finance and Economic Development. The study established that the legislative framework for managing digital records does exist in Botswana. A lack of skills by records management professionals and auditors to authenticate digital records was also noted. The absence of some criteria to authenticate digital records means that auditors use their own discretion with regard to their authenticity. In addition, as a business system, the Government Accounting and Budgeting System (GABS) does produce and store digital records, but their authenticity and availability over time are not guaranteed. This weakness can be addressed by integrating GABS with an Enterprise Content Management (ECM). Currently, records authenticity in GABS is ensured through reliance on social and technical indicators (information technology and system application controls). The study suggests a framework for the authentication of digital accounting records in a government accounting system with the hope that its implementation would support the audit process. It is concluded that because of the failure to establish guidelines and checklists for auditors to authenticate digital records, there will be continued reliance on information technology and system application controls. Therefore, it is recommended that the Auditor General should develop a checklist for authentication. A further study of the integration of Government Accounting and Budgeting System with an Enterprise Content Management to properly manage digital records produced and stored in the system is recommended. / Information Science / D. Phil. (Information Science)

An effective records management programme is a major element of the governance of any organisation. However, despite this crucial role played by records management, there is a consensus amongst researchers that many organisations, including government departments, pay little attention to the management of records. In South Africa, government departments are under legislative obligations to adopt a systematic and organised approach to the management of records. For example, the National Archives and Records Service of South Africa Act (Act No. 43 of 1996) requires government departments to develop, implement and maintain proper records management systems. The purpose of this study was to explore records management trends in the Department of Provincial and Local Government (DPLG) to establish if the Department was managing records according to legislative requirements. Data was collected through online questionnaires, physical observation and interviews with selected DPLG employees and analysed through an open source software. The key findings of the study revealed that an enormous benefit for the implementation of a records management programme is the commitment and support of top management. The study recommended that records management should be included in the performance contracts of all employees in the DPLG. The study concluded that a records management programme will only function effectively if it is developed as part of the strategic objective of the organisation. / Information Science / M.A. (Information Sxcience)