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)

The study investigated the role of records surveys in the management of public records in Zimbabwe. The goal was to determine how far records surveys were going in enhancing sound records management practices, thereby improving public service delivery, accountability and good governance. Through interviews, questionnaires and document review it was revealed that records surveys were struggling to attain their intended goal of nurturing sound records management practices in public registries. The lack of ideal mission statements, registry manuals, written disaster management plans, vital records protection programmes, adequate records management training, records retention and disposal schedules, top management support, financial constraints and unclear archival legislation were cited as some of the challenges affecting records and information management surveys from nurturing acceptable records management practices. A closer working relationship between the National Archives and public records management units was recommended. / Information Science / M. Inf. (Archival Science)

The global perspective on digital revolution is one that has received a rapturous approval from information professionals, scholars and practitioners. However, such an approval has come at a great cost to memory institutions as the preservation of digital information has proved to be a complex phenomenon to memory institutions. Guided by the multi method design and underpinned by the triangulation of questionnaires, interviews, observation and document analysis, the study examined digital preservation of e-government in Ghana. Findings revealed that the creation of databases, digital publication, emails, website information and tweets were often ocassioned by the use of ICT, e-government, and application of legislations and public policies. It observed that these types of digital records were in urgent need for preservation as most of the ministries and agencies were unable to access their digital records. While the application of a digital preservation tool (Lots of Copies Keeps Stuff Safe) was a familiar terrain to the ministries and agencies, there was expressed lack of awareness about digital preservation support organisations and digital preservation standards. The study identified funding, level of security and privacy, skills training and technological obsolescence as factors that pose key threats to digital preservation. It noted backup strategy, migration, metadata and trusted repositories as the most widely implemented preservation strategy across the ministries and agencies. On the other hand, cloud computing, refreshing and emulation were the least implemented preservation strategies used to address the digital preservation challenges . The study recommends that the ministries and agencies can address many of the digital preservation challenges if they leverage on collaborative and participatory opportunities. Such collaborative and participatory opportunities involve the use of experts from other institutions to share resources and use a common protocol through cloud computing and Open Data. It further recommends that the process of developing a digital preservation policy can be guided by a template document from other jurisdictions / Information Science / D. Litt et Phil. (Information Science)

隨著電腦化的普及，各政府機關因業務處理產生大量電子文件，電子文件管理及鑑定已成為檔案管理重要工作內容。 　　本研究主要目的為探討英國、美國、澳洲、加拿大四國對於電子文件管理及鑑定政策實施情況之了解，並針對國內八所政府機關電子文件管理及鑑定情況做調查分析，希望透過歐美國家電子文件管理及鑑定研究的經驗及現行作法，比對目前國內作法，希望提供國內電子文件管理及鑑定工作之參考。 本研究探討歐美四國電子文件現行鑑定作法，除了包含發展出新式的技術鑑定做法，同時也兼顧了傳統紙本式鑑定哲學。在國內部份發現受訪的政府單位對於電子文件管理及鑑定上除了較欠缺完善的電子文件管理流程外，對於電子文件保存系統及電子文件鑑定作法，仍在發展及成形之階段。 研究最後提出五點建議，期許國內電子文件管理及鑑定工作能更斟完善。

I och med att det finns en möjlighet till otillåten gallring, och därmed risk för allmänhetens bristande insyn i svenska statliga myndigheters verksamhet, var syftet med denna uppsats att se i vilken utsträckning en handläggare har praktisk makt över bevarande och gallring hos svenska statliga myndigheter. Vidare var uppsatsens syfte att redovisa vilka faktorer i myndigheternas egen verksamhet som bidrog till utfallet av hur handläggare hanterade bevarande och gallring.   Som metod har intervjuer gjorts med arkivarier och handläggare på två olika svenska statliga myndigheter för att se om myndigheternas verksamheter påverkade hur handläggare valde att bevara eller gallra handlingar som de hanterade. I undersökningen deltog en mindre myndighet och en större myndighet med syftet att undersöka om olika verksamheter kunde påverka vem som hade den praktiska makten över bevarande och gallring hos myndigheterna.   Som teorimodell användes verksamhetsteorin och verksamhetssystemet för att systematisera och redovisa resultaten av undersökningarna. Ännu en teorimodell som lyftes fram i uppsatsen var Records Continuum Model som visade på informationens olika dimensioner och vikten av att fånga och organisera handlingar så att det finns en möjlighet att tillgängliggöra dem.   De två fallstudierna visade att det förekom att handlingar inte hanterades efter de regler och rutiner som tagits fram för den ena av myndigheterna. Resultatet visade också att hur verksamheten såg ut hos myndigheten starkt påverkade den praktiska makten som handläggare gavs för att ta ställning till bevarande och gallring av vissa handlingar. Resultatet visade att för en myndighet med många anställda och större informationsflöden har arkivarien svårt att nå ut med information och rutiner på ett bra sätt och handläggare hade mindre tid till att värdera informationen. / There is a suspicion of increased destruction of documents when the Administrative Officer manages the records appraisal in Swedish government authorities, which can lead to a problem regarding the transparency and public access to information. The aim of this thesis was to contribute with knowledge about in which extent an Administrative Officer has the power over practical records appraisal in Swedish government authorities and to find out if the practical power depended on activities within the agencies.   Interviews with Archivists and Administrative Officers at two different Swedish government authorities were conducted in order to see if the activities within the authorities affected how Administrative Officers handled the records appraisal. The study involved a small and a large authority to examine whether different activities could affect the practical power over records appraisal.   The activity theory was used to introduce, present and analyze the survey results. Records Continuum Model is another theory model that was highlighted in the thesis to show the importance of planning the records management even before a record is created.   The result of the case studies showed that there were records not handled according to the rules and policies for one of the studied authorities. It was revealed that Administrative Officers had some practical power over appraisal. The result also showed that the activities within the authorities strongly affected the practical power which Administrative Officers was given. It was shown that, in an authority with a large number of employees and greater flow of information, the Archivist did not reach out with information and routines to the employees. Administrative Officers also had less time to evaluate information when the number of e-mail was a problem.

Effective e-records management is considered an integral part for successful implementation of e-government. While many previous studies have been carried out on e-government implementation, few investigated e-records management in supporting successful implementation of e-government in Tanzania with a view to developing the best framework. The specific objectives of the study were to: determine e-records readiness in the Tanzania Public Service; assess e-government implementation status in the Tanzania Public Service; establish the effectiveness of existing e-records legal, policy and regulatory framework in support of e-government; determine the e-records knowledge and skills of staff in the Public Service; find out the extent to which the National Archives (RAMD) is involved in the management of e-records and e-government implementation in the Public Service; and to develop a framework for the management of e-records and e-government implementation. The study based on interpretive research paradigm and adopted qualitative research method. A sample size of 50 respondents was drawn from four public offices namely: the Ministry of Public Service (PO-PSM), Tanzania Communications Regulatory Authority (TCRA), E-Government Agency (e-GA) and the Records and Archives Management Department (RAMD). Data was collected through interviews and personal observation and was analysed using thematic analysis. Findings revealed that although there is evidence of availability and use of e-records across government institutions in Tanzania, the e-records readiness and efficiency levels in support of e-government were low; the management of e-records is not yet streamlined to the majority registries; and e-Government implementation maturity level is low. Findings revealed that although there is evidence of availability and use of e-records across government institutions in Tanzania, the e-records readiness and efficiency levels in support of e-government were low; the management of e-records is not yet streamlined to the majority registries; and e-Government implementation maturity level is low. Further findings indicated that the existing legislations, policies and regulations are inadequate and ineffective particularly on matters relating to e-records management and e-government implementation; records personnel, action officers and IT staff were not conversant with procedures and practices of e-records management; and that, there is poor involvement of RAMD in ERM a situation that slows down implementation e-government. The study concluded that, the current practices for managing electronic records in support of e-government implementation in Tanzania were inadequate. Even the existing national e-government strategy does not incorporate the management of electronic records as an important aspect towards successful implementation of e-government in the country. The study has recommended a framework for effective management of e-records in support of e-government implementation; e-records management training for records personnel, IT staff and secretaries; development of RAMD website; identification of ERM software specifications; customization of ISO standards to suit Tanzanian environment; amendment of the existing Archival legislation; and benchmarking from successful governments. / Information Science / D. Litt. et Phil.(Information Science)

Pendant plusieurs siècles, le Yémen n’a pas porté d’intérêt institutionnel à ses archives, étant isolé du monde extérieur à cause de l’occupation ottomane au nord du pays et de l’occupation britannique au sud. Depuis la révolution de 1962, le besoin de disposer d’archives bien organisées et accessibles est apparu et la création du Centre National des Archives en 1991 a permis d’améliorer considérablement la situation. L’objectif de cette thèse est d’étudier l’intérêt que l’État yéménite a porté au patrimoine archivistique. Elle rappelle l’histoire et le développement de l’archivage dans les ministères et les institutions gouvernementales yéménites depuis la révolution de 1962 jusqu’à aujourd’hui. Elle présente la création des Archives nationales, avec l’aide de partenaires internationaux notamment l’UNESCO et l’ICA, la direction des archives de France et les Archives nationales de Tunisie. Elle explore aussi la façon dont les nouvelles technologies appliquées aux archives permettent aux chercheurs et aux citoyens d’y accéder. Elle présente l’organisation des archives courantes et intermédiaires dans les institutions qui s’est imposée comme un concept et une pratique depuis la création du Centre National des Archives. C’est autour de ses activités et de ses applications qu’ont été élaborées l’observation, l’enquête, la réflexion et certaines propositions. Les problématiques de la thèse s’articulent autour de cinq points : - L’histoire et l’organisation administrative du Yémen- La tradition archivistique au Yémen avant la réunification de 1990- Les origines et le développement du Centre national des archives (CNA)- Les missions, le fonctionnement et l’évaluation du CNA (de 1994 à aujourd’hui)- La fonction archives chez les producteurs (institutions gouvernementales)Les événements survenus au Yémen depuis 2011 ont malheureusement remis en cause toutes ces avancées. Ils ont tari les principales sources de financement de l’État et détruit une partie des fonds et des bâtiments, entraînant une paralysie complète du CNA. / For centuries, Yemeni institutions have not shown particular interest in their archives. The country was isolated from the outside world by British colonization in the South and the Ottoman occupation in the North. After the 1962 revolution, however, the need for organized and accessible archives has developed. This led to the creation in 1991 of the National Archives Centre (CNA). The Centre has improved the situation.This thesis aims at studying the interest shown by the Yemeni State in archival heritage. It starts with the history and the development of archives management in the ministries and governmental institutions of Yemen from the 1962 revolution to the current situation.It sheds light on the creation of the National Archives in Yemen and its international partnership with such institutions as UNESCO, ICA, French Directorate of Archives and Tunisian National Archives. It investigates the way new technologies are implemented in order to enable researchers and citizens to access to archives in a country such as Yemen. Moreover, it sheds light on the records management inside the Yemeni institutions. This practical has been commonly implemented since the creation of the National Archives Centre. This Centre has been the focus of this research. Suggestions are given for the development of its activities.Therefore, this thesis main topics are:- the history and administrative organization of Yemen ;- the archival practice and legacy in Yemen until the country’s reunification in 1990 ;- the origins and subsequent development of the National Archives Centre (CNA) ;- the CNA’s goals, functioning and assessment of its activities from 1994 up to nowadays ;- the archival functions in the producing governmental institutions.Events unfolding in Yemen since 2011 have challenged all these advances. The war did not only exhaust State’s funding. Warlike operations have also destroyed holdings and buildings, bringing the CNA to complete paralysis. This dissertation is concluded by an assessment of the archives current situation in Yemen. / ملخصلعدة قرون، لم يكن لدى اليمن أي مؤسسة أرشيفية، لأنها معزولة عن العالم الخارجي بسبب الاحتلال في شمال البلاد والاحتلال البريطاني في الجنوب. منذ ثورة 1962 ظهرت الحاجة إلى أرشيفات منظمة تنظيماً جيداً وسهل الوصول إليها، وقد أدى إنشاء المركز الوطني للوثائق (المركز الوطني للأرشيف) عام 1991 إلى تحسين الوضع إلى حد كبير.الهدف من هذه الرسالة هو دراسة اهتمام الدولة اليمنية للتراث الوثائقي والأرشيفي، وتشير الرسالة إلى تاريخ وتطور التوثيق والارشفة في الوزارات والمؤسسات الحكومية اليمنية منذ الثورة من عام 1962 وحتى اليوم. وكذلك تقدم إنشاء المركز الوطني للوثائق بمساعدة الشركاء الدوليين بما في ذلك اليونسكو والمجلس الدولي للأرشيف، إدارة الارشيف الفرنسي والأرشيف الوطني التونسي. وتدرس مدى تطبيق التكنولوجيا الجديدة على الارشيفات التي تمكن الباحثين والموطنين من الوصول إليها. وتعرض تنظيم الارشيف الجاري والوسيط في الوزارات والمؤسسات الحكومية التي ظهرت كمفهوم وممارسة منذ إنشاء المركز الوطني للوثائق. وحول نشاطاتها وتطبيقاتها التي وضعت للمراقبة والمسوحات الوثائقية والرؤية وبعض المقترحات لتنظيم الارشيف الجاري والوسيط. وتستند مشاكل ألأطروحة حول خمس نقاط : - التاريخ التنظيمي للإدارة ونشأت الارشيف في اليمن.- التقاليد الأرشيفية في اليمن قبل الوحدة عام 1990.- تأسيس وتطوير المركز الوطني للوثائق (cna).- مهام ونشاطات وتقييم المركز الوطني للوثائق (من 1994 إلى اليوم).- وظيفة الأرشيف لدى المنتجين للوثائق (المؤسسات الحكومية).وللأسف بأن الاحداث التي وقعت في اليمن منذ عام 2011 غيرت كل هذه التطورات في مجال الارشيف. لهذا جفت وقلت المصادر التمويل الحكومية وكذلك تدمير جزء من مبنى المركز وجزء من الرصيد الوثائقي فروع المركز بعدن وحضرموت وبعض ارشيفات الجهات والوزارات الحكومية، مما أدى الى شلل كامل للمركز الوطني للوثائق.الكلمات المفتاحية اليمن – الأرشيف – محفوظات – إدارة السجلات - تثمين - تشريعات الارشيف – تشريع المحفوظات - لوائح الارشيف - الارشيف العسكري – الأرشيف الجاري – الأرشيف الوسيط – الأرشيف التاريخي - المحفوظات الجارية - المحفوظات الوسيطة - المحفوظات التاريخية - - المركز الوطني للوثائق.

No description available.

When the first democratic government came into power in 1994, it was faced with a number of challenges. One of these challenges was to ensure that the public service is transformed in order to redress the imbalances of the past. The National Archives of South Africa as a branch of the public service was therefore no exception. Prior to the 1994 elections, this branch was known as the State Archives Service. It was converted into the National Archives of South Africa through the passing of the National Archives of South Africa Act (Act No. 43 of 1996). It is important to note that before the 1994 election the exercise of hegemony by the government was through the control of social memory, and this control involved remembering and forgetting. Furthermore, this control demonstrated an extraordinary capacity to secure the support of most white South Africans and the minority of blacks who collaborated with this system. Therefore, the promulgation of the National Archives of South Africa Act (Act No. 43 of 1996) was of crucial significance in South Africa, since it portrayed the death knell for archival legislation moulded by apartheid. This Act converted the State Archives Service into the National Archives of South Africa with the new mandate of serving all the people of South Africa. This study examines a strategic approach to the management of the National Archives of South Africa. Firstly, the National Archives of South Africa Act (Act No. 43 of 1996 is discussed in detail, with emphasis on its formulation and implementation. This act came into operation on 1 January 1997. Secondly, the strengths, weaknesses, opportunities and threats experienced by the National Archives of South Africa during its conceptualisation and launching are discussed. Thirdly, the transformation of the National Archives of South Africa was examined and discussed using the public management functions, namely, policy-making, organising, planning, leadership, motivation, control and evaluation. The strengths, weaknesses, opportunities and threats experienced by the National Archives of South Africa are focused on. Lastly, conclusions and recommendations end the study. / Thesis (MPA)-University of Durban-Westville, 2001.

The struggle to liberate the continent of Africa from colonialism during the second half of the twentieth century represented an important epoch and as such this history needs to be documented accurately in whatever form for the benefit of posterity. Liberation struggle archives are of differing types and status, which reflects the diverse nature of the struggle itself. R ecords on the liberat ion struggles in Africa were created from within and outside Africa to document this historic ep och from the 1950s to the 1990s. These records have to be made available to the public for research, scholarship and general interest as they are a treasured na tional asset. In view of the above, it is the mandate of archivists to provide a means f or future generations to access historical sources . The purpose of this study was to ascertain whether liberat ion struggle archives are being offered the continuum of c are throughout their lifecycle in order to make such access possible . Considering that few records were created during the struggle for emancipation notwithstanding their neglect, it is therefore incumbent upon archivists to pres erve the legacy of the libe ration struggle that is contained in those few records that were created. The study used both qualitative and quantitative data collection and analysis methods. The study used methodological triangulation techniques in order to capture the phenomenon under study in detail. The study’s’ population were the twenty three archival institutions within east and southern Africa, both public and private that is, which generated a response rate of 39%. Due to the fact that the study population was geographically di spersed, the study employed self - administered questionnaires for data gathering . U nstructured interviews and observations were also used in a limited manner . The researcher administ ered an interview schedule to h e a ds of archival institutions within the eas t and s outhern African region. To complement the iii interviewing, an observation schedule was also used to record phenomena at selected archival institutions. T he data collected using qualitative techniques was content analyzed whilst SPSS was used for quanti tative data. The study unearthed some interesting developments. Liberation struggle archives had been identified and the requisite documentation put in place. T h is was evidenced by the restitution of archives which was an ongoing process albeit a problemat ic one. This process gives the overall picture that the liberation struggle was a global event as records are scattered in different parts of the world. The records so created are of varied nature as the media used to capture the record exists in a variety of forms with photographs predominant. The study also discovered that the arrangement of records was being done by qualified personnel, both archivists and manuscript librarians. In their efforts to promote access, most archival institutions employed a co mbination of finding aids with inventories and summary lists mostly used . Furthermore, t he existence of mechanisms, policies and procedures facilitates archival management practices. The present research established that all archival institutions had missi on statements and that th ese explicitly spelt out the mandate of the organizations . F or some institutions, these existed in written format. Formal p olices were generally in existence but were calibrated at various levels depending on an institution’s colle ction priorities. In this instance, the policy pertaining to digitization of liberation struggle archives was held in high regard and this explains why the majority of archival institutions preferred electronic media for duplicate copies . This preference p oints to the increasingly pervasive influence of digital technology. Archival institutions were liberal in their publication requirements though users had to acknowledge the institution as the source. The major challenge in the management of liberation str uggle records was the processing of backlog s . In addition, the study sought to establish whether archival institutions were providing resources in order to promote a n environment conducive to iv prolong ing the useable life of liberation struggle archives. The infrastructure in terms of knowledgeable and skilled personnel was in existence as the need for an academic background from which archival skills could be developed was given priority. The expertise in preservation management was mostly invested i n disast er planning and recovery, holdings maintenance and preservation planning . The research also established that the majority of archival institutions had a visitors ’ register in place al though its administration lacked consistency. The majority of archival in stitutions had air conditioning though maintenance records were non - existent. It was also noted that fumigation was prevalent and that restorative work was being done by the majority of institutions with the traditional technique s being the most popular. Equally important was the need to establish the preservation needs of the surveyed archival institutions. The study reve ale d that digitization was the most wid ely used preservation strategy and the majority of archival institutions had purpose - built storag e. Fire was considered the biggest threat to archival collections and the disaster plan mostly covered records, the physical building and the evacuation of people. Fire detection systems were in place and archival institutions were making use of their resp ective local fire departments to raise fire precautionary awareness and readiness. Security measures were generally in place though the use of Close Circuit Television ( CCTV ) , cameras and alarm systems was not pronounced. Furthermore, the study identified that information communication technologies had a transformative influence on the management of liberation struggle archives. The majority of the institutions were digitizing their collections though there was no written policy for managing these digital records. It was also established that most archival institutions were not migrating their records. Technological obsolescence and lack of resources were considered by most institutions as constituting the major threats to the survival of digital records an d this could be the reason why donor assistance v was sought as evidenced by the state of the art equipment on digitization infrastructure observed in some institutions visited . Equally significant was the revelation that inherent semantic ambiguities existe d in the legislative apparatus of the majority of archival institutions which partly explains why there was much passivity when it came to managing private records. The study further established that the management of private records was not satisfactory a nd areas noted for concern pertained to the arrangement, storage and custody, finding aids and access relating to these records . Finally, the study put forward a number of recommendations that had to be considered in an attempt to help archival institutio ns professionally manage liberation struggle archives , and two are cited here simply because they encapsulat e others . Firstly, the legislative apparatus had to be modernized in order for liberation struggle archives to be taken care of at national and not organizational level as is presently the case. The implication is that the laws that govern the national archives of countries within ESARBICA are wholly inadequate when it comes to the management of the private record. Lastly, the records continuum model formed the theoretical foundation of the study not only because of its holist ic approach, pragmatism and the fact that it is technologically driven but because it dovetailed with the records keeping issues which the study investigated . / Thesis (Ph.D.)-University of KwaZulu-Natal, Pietermaritzburg, 2010.