Proper records management plays a significant role in the auditing process, risk management and wider corporate governance. Despite this role, in South Africa, many governmental bodies are issued with disclaimer reports every year by the Auditor-General of South Africa (AGSA) due to a lack of supporting documentation. This problem is exacerbated by the exclusion of records management from the criteria for a sound financial management infrastructure in many governmental bodies. The other dilemma is that some records such as financial records, personnel records and electronic records usually fall outside the jurisdiction of the organisation’s records manager. Utilising the King Report III as a framework, this study sought to develop a framework to embed records management practices into the auditing process in the public sector of South Africa, with a view to entrench a culture of clean audits. The study relied on mixed methods research (MMR), with the quantitative study conducted first through informetrics analysis of audit reports, while the qualitative paradigm was used to substantiate numerical data. Data collection adopted a multi-approach with four key sources of data: a questionnaire, interviews, literature review and publicly available data from the consolidated general reports of AGSA. The study revealed that most governmental bodies have established internal audit units, audit committees and records management units, which did not work in unison. In most governmental bodies records management did not form part of the audit scope and records management professionals were not part of the audit committees. As a result, most governmental bodies continued to receive negative audit opinions from AGSA. The study recommends that records management community should utilise auditing and risk management as a springboard to propel records management to the new heights. A further empirical study on the role of auditing and risk management in records management that embraces both the private and public sectors is recommended. / Information Science / D. Litt. et Phil. (Information Science)

Bibliography: pages 184-207 / Digital records are either stored in an enterprise resource planning (ERP) system or electronic content management (ECM), or managed without the benefit of either system. In many countries, public and private organisations have implemented ECM systems, some have implemented ERP systems and others generate digital records without the benefit of any controlled system. In most organisations such systems are not integrated resulting in duplication and fragmentation of records. The South African Water Utility company, Rand Water, has implemented both ERP and ECM systems. Investing in these systems as an organisation comes at a cost but it can add value when used optimally to improve the organisation’s productivity and efficiency. To achieve high productivity and efficiency, integration of an ERP system into an ECM system is a requirement but remains lacking. This qualitative study utilised the Actor Network Theory to explore the integration of ERP into ECM at the South African Water Utility company, Rand Water, with a view to developing a framework for integration of the systems. The study utilised a system analysis case design with fourteen interviews conducted at different levels in the organisation and diverse business units using ERP and ECM to perform their operational deliverables in line with the organisation’s business objectives. The interviews were augmented with data from document analysis of policies, specifications and functionalities of the systems to determine the feasibility of integration. The study established that the water utility company has implemented ERP systems (SAP) since 1994 and ECM system since 1991 (Papertrail and later IBM FileNet) with only information flow module integrated. The study suggested that to integrate ERP into ECM, human and non-human actors need to collaborate to ensure that the actor network being integrated is achieved. The study also presents a strategy discussion for integrating ERP into ECM. A further study on the transfer of digital records in ECM into archival custody is recommended. / Information Science / D. Phil. (Information Science)

Indiana University-Purdue University Indianapolis (IUPUI) / Reducing medical error remains in the forefront of healthcare reform. The use of health information technology, specifically the electronic health record (EHR) is one attempt to improve patient safety. The implementation of the EHR in the Emergency Department changes physician workflow, which can have negative, unintended consequences for patient safety. Inaccuracies in clinical documentation can contribute, for example, to medical error during transitions of care. In this quasi-experimental comparison study, we sought to determine whether there is a difference in document quality, error rate, error type, cognitive load and time when Emergency Medicine (EM) residents use paper charts versus the EHR to complete physician documentation of clinical encounters. Simulated patient encounters provided a unique and innovative environment to evaluate EM physician documentation. Analysis focused on examining documentation quality and real-time observation of the simulated encounter. Results demonstrate no change in document quality, no change in cognitive load, and no change in error rate between electronic and paper charts. There was a 46% increase in the time required to complete the charting task when using the EHR. Physician workflow changes from partial documentation during the patient encounter with paper charts to complete documentation after the encounter with electronic charts. Documentation quality overall was poor with an average of 36% of required elements missing which did not improve during residency training. The extra time required for the charting task using the EHR potentially increases patient waiting times as well as clinician dissatisfaction and burnout, yet it has little impact on the quality of physician documentation. Better strategies and support for documentation are needed as providers adopt and use EHR systems to change the practice of medicine.