Thesis (MPhil)--Stellenbosch University, 2005. / ENGLISH ABSTRACT: Competitive pressures in every company worldwide always have, and probably always will, drive leading institutions to adopt smarter, faster and more cost effective ways of providing customers with feature-rich products and outstanding service, in order to differentiate specific offerings to local and global markets. This approach is both inevitable and laudable. At the same time, communications (physical and electronic) have made the world a smaller place and presented a larger target audience for each company's goods and services. However, customers have become better educated, more sophisticated and more demanding, whilst competitors have raised standards and the fight for customer loyalty has intensified. As these pressures increased, the appropriate level of corporate governance has not always been applied, as evidenced by the well publicised failure of Enron in the USA, and many others worldwide. The typical reaction has been to produce an increasing raft of legislation and regulation, designed to protect the consumer against 'cavalier' corporate behaviour, and an equally increasing demand for more and better information. The Banking Industry has not escaped this trend. Its failures have not been as dramatic as Enron and the consequences not as severe. Nevertheless, the potential impact of failure through poor corporate governance is huge and legislation and regulation has become highly visible through acts such as the 'Financial Advisory and Intermediary Service Act' (FAIS), the 'Financial Intelligence Centre Act' (FICA) and the Basel II Committee, - all emphasising integrity, authenticity, completeness, transparency, security, retention, protection, and eventual disposal of information. This assignment examines the relationship between the concepts information management, content management and records management and their importance as enablers of corporate governance. It highlights the current records management capability- maturity within the FirstRand Banking Group and presents a future solution and a practical approach to migration. Whilst understanding the challenges associated with implementing a records management strategy and programme, it emphasises the needs and the huge benefits for the FirstRand Group in meeting its corporate obligations, improving customer service and reducing operating costs. The future solution is set within a Records Management Capability Framework which encompasses how records must be managed by a consistent set of rules. It presents a typical records management life cycle from creation to disposal; it examines how practical systems design can balance the need for structure and stability whilst providing flexibility for operational use; it documents design principles and critical standards; it outlines implementation guidelines; and it recommends policies, ownership, organisational structures and roles, and governance mechanisms within the FirstRand Business Model. FirstRand's records management competency was audited and measured against a capability maturity model (the Carnegie Mellon University's Software Engineering Institute's approach). The results indicated significant cultural and operational challenges in building a records management capability, but it was concluded that knowledge management and sharing of information and intellectual assets (facilitating faster access to better quality and up-to-date information and building corporate memory and business agility) could be delivered only by a well conceived and carefully implemented Records Management Capability Framework. / AFRIKAANSE OPSOMMING: Kompetisie noop suksesvolle besighede, organisasies en soortgelyke instellings om kwaliteit produkte, goedere en dienste teen mededingende pryse aan verbruikers of kliënte te lewer. Koste-effektiwiteit speel 'n groot rol, in ag genome dat die kwaliteit en verskeidenheid van produkte en goedere nie mag taan nie. Die spoed en gehalte van kliëntediens kan die maatskappy 'n voorspsrong gee, in ag genome die toenemende kompetisie met ander maatskappye in dieselfde industrie of mark. Kompetisie met ander maatskappye of instansies in dieselfde mark of industrie, en differensiasie van beide produkte en dienste is onvermydelik. Grootskaalse ontwikkeling in die kommunikasie-industrie dra by tot die bereikbaarheid van ander wêrelddele. Die mark (voorheen onbereikbaar) vir produkte, goedere en dienste, is skielik soveel groter en soveel meer bereikbaar. Die hedendaagse verbruiker en kliënt is meer gesofistikeerd en meer ingelig ten opsigte van produkeienskappe, -variasies, -verskeidenheid, voordele, nadele, ensovoorts, en dring daarop aan dat voorkeure en verwagtinge konstant aan voldoen sal word en selfs met gereelde tussenposes sal verbeter. Kompetisie dryf standaarde vir hoë gehalte produkte en kliëntediens tot die hoogste vlakke. Maatskappye kompeteer toenemend vir kliëntelojaliteit en markbesit op 'n daagliske basis. Met die fokus op kompetisie, klientediens en lojaliteit, en gehalte produkte en dienste, is goeie korporatiewe beheer en bestuursbeginsels nie konstant en deurlopend toegepas nie, soos blyk uit die gebeure met Enron in die Verenige State van Amerika. Deur middel van toenemende wetgewing en regulasies poog regerings wêreldwyd om die belange van die verbuiker / kliënt te beskerm. Inligting het 'n mededingende faktor geword, terwyl die aanvraag na relevante en akkurate inligting steeds toeneem. Die Finansiële Industrie, en meer spesifiek die Bankwese, het nie begonoemde vereiste vir spoed, gehalte en relevansie vrygespring nie, aangesien finansiële instellings soos die 'Federated Bank' in die Verenigde State van Amerika en die Suid Afrikaanse Reserwe Bank, dit ten doel het om na die belange van die verbruiker om te sien. Goeie korporatiewe bestuurstandaarde en riglyne is egter ook van toepassing op die bankwese in Suid Afrika, soos gemanifesteer deur wetgewing en industrie riglyne en standaarde, byvoorbeeld, FAIS en FICA en die 'Basel II Committee'. Hierdie instellings het ten doel om die verbuiker / kliënt te beskerm deur riglyne en standaarde te stel wat die integriteit, geloofwaardigheid, regswetlikheid, volledigheid, deursigtigheid, sekuriteit, retensie van, en toegang tot inligting verseker. Die werkstuk bespreek die verband tussen die konsepte inligtingbestuur, inhoudbestuur en rekordsbestuur en die doel daarvan ter ondersteuning van goeie korporatiewe bestuur. Dit belig die huidige rekordsbestuur bekwaamheid van die 'FirstRand Banking Group', die tekortkominge, en motiveer 'n toekomsgerigte rekordsbestuurmodel, riglyne vir implementering en 'n praktiese benadering tot migrasie. 'n Strategiese benadering tot rekordsbestuur belig vele uitdagings. Tog kan die langtermyn voordele, soos byvoorbeeld die toepassing van goeie inligtings- of rekords- en korporatiewe bestuurbeginsels, uitmuntende kliëntediens en koste-effektiwiteit nie geignoreer word nie, aangesien dit die 'FirstRand Banking Group' 'n voorsprong kan gee op ander banke in die industrie asook kliënte-besit. Die model vereis 'n vernuwende benadering tot inligting- en rekordsbestuur as 'n katalisator ter ondersteuning van goeie inligtings- en korporatiwe bestuursbeginsels in belang van die kliënt.

The application of information communication technologies (ICTs) in records management in many organisations underscores the need for the assessment of e-records readiness. This provides a useful guide in benchmarking, gauging progress and comprehending e-records management. This study examined e-record readiness in labour organisations with a view to proposing a framework for labour organisations in Botswana. The study was largely guided by a quantitative paradigm and used a survey research strategy. This was complemented by methodological triangulation of both quantitative and qualitative data collection methods. All the 50 registered labour organisations in Botswana were surveyed, 45 of which responded, representing a response rate of 90%. Data was obtained through structured questionnaires, semi-structured interviews, document review and observations. The study established that e-records readiness in labour organisations in Botswana was evident, low and evolving, evidenced by the slow adoption of ICTs; inadequate records management standards and practices; and low integration in the national e-readiness framework. The study confirmed that most labour organisations had embraced the utilisation of ICTs in their work; exhibited some form of records management function and acknowledged the existence of national policy directives and strategies on e-readiness. However, traditional ICTs mainly the fax and telephone, were more prevalently adopted and used than newer ones such as e-mail and the Internet. The use of social media technology (Web 2.0 - Facebook, YouTube, and Twitter) was yet to be explored. The management of both paper-based and electronic records was not satisfactory and fell short of best recognised records management standards and practice. The integration of labour organisations into national e-readiness initiatives as espoused in key policy proclamations within the context of the pursuance of a holistic knowledge and information society was slow and remained challenging. In order to foster successful e-records readiness in labour organisations, several recommendations were advanced that underscored effective ICT adoption and use, implementation of best records management practices and rigorous integration of labour organisations into the information and knowledge society in Botswana. In addition, an integrated framework for examining and understanding e-records readiness in labour organisations was proposed and documented. / Information Science / D. Litt. et Phil. (Information Science)

This research investigated the potential benefits, risks and challenges, innovation properties and viability of cloud computing for records management on an Australian organisation within the mining software development sector. This research involved the use of a case study results analysis as well as a literature analysis. The literature analysis identified the ten potential benefits of cloud computing, as well as the ten risks and challenges associated with cloud computing. It further identified aspects, which needed to be addressed when adopting cloud computing in order to promote innovation within an organisation. The case study analysis was compared against a literature review of ten potential benefits of cloud computing, as well as the ten risks and challenges associated with cloud computing. This was done in order to determine cloud computing’s viability for records management for Company X (The company in the case study). Cloud computing was found to be viable for Company X. However, there were certain aspects, which need to be discussed and clarified with the cloud service provider beforehand in order to mitigate possible risks and compliance issues. It is also recommended that a cloud service provider who complies with international standards, such as ISO 15489, be selected. The viability of cloud computing for organisations similar to Company X (mining software development) followed a related path. These organisations need to ensure that the service provider is compliant with laws in their local jurisdiction, such as Electronic Transactions Act 1999 (Australia, 2011:14-15), as well as laws where their data (in the cloud) may be hosted. The benefits, risks and challenges of records management and cloud computing are applicable to these similar organisations. However, mitigation of these risks needs to be discussed with a cloud service provider beforehand. From an innovation perspective, cloud computing is able to promote innovation within an organisation, if certain antecedents are dealt with. Furthermore, if cloud computing is successfully adopted then it should promote innovation within organisations. / Information Science / M. Inf.

En juillet 2016, profitant de la mise en oeuvre du règlement européen eIDAS sur les services de confiance, la Belgique se dote, grâce au Digital Act, d’un cadre légal transversal pour l’archivage électronique. Aux fins de la rédaction de l’arrêté royal d’exécution (en cours), il est envisagé de faire la part belle aux références normatives ou standards utilisés dans le contexte du records management. Lancé en 2014, le projet de recherche fédéral HECTOR (Hybrid Electronic Curation, Transformation and Organization of Records), qui a financé la présente thèse, s'inscrit dans la même veine, concrétisant ainsi, parmi d’autres dispositions, la volonté ministérielle de soutenir le secteur public dans sa transition numérique.Dans ce contexte, la thèse soutenue est que l’application des recommandations de l’ISO en matière de records management au sein des administrations fédérales belges, pondérée par un arbitrage de type coûts-bénéfices, peut favoriser le développement de pratiques propices à un archivage électronique optimal, d’une part, et consolider la conformité au Digital Act, d’autre part. Il est également mis en évidence que si les normes, fruits d’un consensus d’experts internationaux, ne résolvent pas forcément les questionnements théoriques auxquels la discipline est confrontée, notamment depuis l’informatisation des processus et procédures, elles apportent néanmoins une réponse pragmatique aux besoins du terrain et sont par ailleurs, dans une certaine mesure, le reflet des pratiques effectives constatées.S’abstenant de tout manichéisme, l’auteure, elle-même impliquée dans les processus de normalisation, pose un regard critique sur les normes internationales du records management (fond) et leur mécanisme de publication (forme), dans une optique de confrontation multidimensionnelle. Les recommandations sont ainsi évaluées sur fond d'un état de l’art traitant du records management et de sa normalisation, et à l’aune d’études de cas réalisées au sein de deux administrations fédérales hautement stratégiques, l’Agence fédérale pour la sécurité de la chaîne alimentaire (AFSC) et l’Agence fédérale pour le contrôle nucléaire (AFCN). / Doctorat en Information et communication / info:eu-repo/semantics/nonPublished

Not all documents are records. One of the central concerns of contemporary governance is the reduced or complete lack of accountability among public officials when rendering public services. In the absence of accountability and records, corruption thrives. This research examines the relationship that exists between transparency, accountability and record keeping in order to find the effect that records has; in terms of producing positive audit outcomes and in eliminating corrupt activities by public official/s. Since the transition to democracy in South Africa, the new constitution demands transparency and accountability on matters of governance supported with available information (records). Various pieces of legislation in South Africa are available in support of timely, accessible and accurate information in pursuit of official duties. The difficulty in ensuring an effective record keeping creates an opportunity for governance, transparency and accountability to fail. The essence of this research undertaking was motivated by the fact that, absence of records (which has a negative effect in achieving clean audits) renders governance chaotic and infringes on the democratic principles enshrined in the Constitution such as accountability and transparency. The purpose of the study was to investigate the practice of record keeping in the Eastern Cape Provincial Department of Basic Education (ECDoE) in ensuring accountability and transparency. This research undertaking was guided by the following three research questions: (1) what is the legal/normative framework that governs record keeping in South African public service? (2) How does ECDoE practice record-keeping in ensuring accountability and transparency? And (3) how does the practice of ECDoE’s record-keeping compare with the requirements of the legal/normative framework? After all the gathering of information from different sources, it is therefore recommended that the ECDoE send its employees for records management courses and there must be strict adherence to legislation and recommendations made by the Auditor General in his last audit report for the department. During the conduct of this research undertaking, these are the findings that emerged from the study: at the ECDoE (1) There is no adequate training provided to employees in record keeping. (2) There are ineffective internal control systems. (3) There is no risk management contingency plan. (4) There is no proper record keeping. (5) There is non-compliance with legislation by officials. (6) There is no strong or effective leadership. (7) There is shortage of staff and qualified personnel. (8) Lack of commitment to excel. (9) No significant corrective action undertaken to eliminate past inaccuracies. (10) There is absence of following up on recommendations made by the external audit. Lastly, the researcher accepts the arguments raised by the different authors about record keeping, transparency and accountability in that: there can be no accountable and transparent government without an effective record-keeping in place. Records are vital sources of evidence admissible to any institution be it a court of law or standing committees should clarity be required.

An increase in the volume of documents, images and other unstructured content in organisations has resulted in several new approaches to the management of unstructured content. These approaches are however focused on specific problem areas and do not address the problem of how to manage all unstructured content in a unified manner. This research investigates the requirements for managing unstructured content from a records management, knowledge management and information security perspective. To address the management requirements, a model for managing unstructured content by using organisational activities as a basis for categorising the content into a taxonomy is proposed. The management requirements for unstructured content are then determined and applied on the taxonomical node level. The research showed that a strong relationship exists between organisational activities and the content management requirements of unstructured conent. It was also shown that using an activity-based model for classifying unstructured content, can be used as the basis for managing unstructured content from a records management, knowledge management and information security persective. Copyright / Dissertation (MIT)--University of Pretoria, 2009. / Information Science / unrestricted

A Personal Health Record (PHR) is an electronic record of a patient’s health-related information that is managed by the patient. The patient can give access to other parties, such as healthcare providers and family members, as they see fit. These parties can use the information in emergency situations, in order to help improve the patient’s healthcare. PHRs have an important role to play in ensuring that a patient’s complete health history is available to his healthcare providers at the point of care. This is especially true in South Africa, where the majority of healthcare organizations still rely on paper-based methods of record-keeping. Research indicates that physicians play an important role in encouraging the adoption of PHRs amongst patients. Whilst various studies have focused on the perceptions of South African citizens towards PHRs, to date no research has focused on the perceptions of South African physicians. Considering the importance of physicians in encouraging the adoption of PHRs, the problem being addressed by this research project thus relates to the lack of information relating to the perceptions of South African physicians of PHRs. Physicians with private practices at private hospitals in Port Elizabeth, South Africa were surveyed in order to determine their perceptions towards PHRs. Results indicate perceptions regarding benefits to the physician and the patient, as well as concerns to the physician and the patient. The levels of trust in various potential PHR providers and the potential uses of a PHR for the physician were also explored. The results of the survey were compared with the results of relevant international literature in order to describe the perceptions of physicians towards PHRs.

For centuries, the theory and principles of diplomatics have played a role in the work of European archivists. In North America, however, its relevance is still under scrutiny. This thesis employs diplomatic analysis to test its validity when applied to modern documents and procedures. To investigate the significance of diplomatic methodology and analysis, this thesis first discusses the recent history and structure of the British Columbia court system. It then examines a selection of case files from the civil, probate and bankruptcy registries, and it assigns the documents within to one of the six phases of a procedure: initiative, inquiry, consultation, deliberation, deliberation control, and execution. The study concludes by discussing the diplomatic character of the procedures and its importance in the understanding of modern records. More specifically, it outlines how diplomatics and procedural analysis can assist records professionals in the development of classification systems and retention and disposition schedules; the design of automated records management systems; and archival appraisal, arrangement and description. / Arts, Faculty of / Library, Archival and Information Studies (SLAIS), School of / Graduate

This master thesis deals with business process modelling of records management service and its electronic form in the area of health insurance companies. The beginning of the thesis introduces the reader to the concepts of process modelling and records management including legal requirements and specifics from the perspective of health insurance company. The next section describes the MMABP methodology, which is used for process analysis of records management processes in accordance with statutory requirements. The result is then confronted with a practical case of doing records management in an electronic form from the perspective of a health insurance company.

This thesis analyzes the issue of computerization of state administration, which has been strongly supported in recent years, thanks to subsidies from the European Union. The practical part is based on a concrete example of the integration model of municipality technological centre, including other projects such as records service and department integration.