Records management plays a significant role in ensuring accountability, transparency and good governance. Chapter nine institutions, on the other hand, are democratic institutions responsible for the promotion of accountability, transparency and good governance in the public sector through various forms such as investigation, reporting and recommendations. Although the regulatory role of records management in the public sector is the responsibility of the National Archives and Records Service of South Africa (NARSSA), it seems that this responsibility is cumbersome for the organisation as several scholars concur that the public sector is characterised by poor records management. As a result, NARSSA is unable to support governmental bodies in managing records properly. Given the position of chapter nine institutions in government and their mandate as set out by the Constitution of the Republic of South Africa, these institutions are able to hold the state accountable for their actions, unlike NARSSA. This study adopted the World Bank’s evolution of good governance as the conceptual framework to investigate the contribution of selected chapter nine institutions, specifically the Auditor-General South Africa (AGSA) and the South African Human Rights Commission (SAHRC) towards records management in the public sector in South Africa. Qualitative data was collected through document analysis and interviews with purposively selected participants from the AGSA and the SAHRC. At the AGSA, participants were records management professionals and auditors, whereas at the SAHRC only staff members responsible for the implementation of access to information legislation were interviewed. Although the study established that records management is a key enabler to the process of access to information and the auditing process, the relationship was not fully explored by the SAHRC, which has little or no interaction with the NARSSA. However, the AGSA has taken the lead in this regard as it has managed to develop a memorandum of understanding (MoU) with NARSSA. Organised records enable the AGSA to audit the public sector and to facilitate access to records in terms of freedom of information legislation. The study concludes that there is a need for chapter nine institutions to work hand in hand with NARSSA for the purpose of fostering proper record keeping in the public sector. It is recommended that this study be extended to other chapter nine institutions such as the Public Protector. / Information Science / M. Inf. (Archival Studies)

The purpose of this project was to explore the use of Web services to solve enterprise computing problems. XML-based Web services allow complex information systems to be subdivided. In order to explore this architectural paradigm, two systems were built: an employee records sytem, and a vacation system.

This study investigated the use and management of electronic mail (email) in Zimbabwe’s central government. Employing a mixed method research approach, the study used a pluralist ontological paradigm and a pragmatic epistemological paradigm within the convergent mixed methods research design. Quantitative responses from questionnaires were corroborated by qualitative findings from semi-structured interviews, personal observation and document reviews. The study was restricted to Zimbabwe’s central government, focusing on head offices of 22 government ministries situated in Zimbabwe’s capital city of Harare. The population of the study was 670. The Corona Virus Disease 2019 (COVID-19) lockdown imposed in Zimbabwe as from 30 March 2020 negatively affected data collection as some targeted respondents could not be accessed as the researcher had initially planned, leading to an overall response rate of 37.3%. Nonetheless, 12 out of 22 government ministries participated in the study. Quantitative data were analysed using Microsoft Excel 2010® and descriptive statistics while qualitative data were analysed thematically using Atlas.ti®. The study conformed to ethical standards of research as espoused in the University of South Africa’s ethical review guidelines. The study revealed that due to the adoption of electronic government and the inherent relative advantages of email, among other factors, there was increase in use of email as an official record in Zimbabwe’s central government. Nonetheless, management of email was still in its nascent stages and was largely poorly articulated. Poor email classification, filing, appraisal, security, preservation and disposal were largely traceable to deficiencies in legal, policy and procedural frameworks as well as skills and information and communication technology infrastructural challenges. These in turn triggered email retrieval, access, preservation and authenticity challenges. This study was a first local research to address both the use and management of email in a single study and one which proposed a framework for the effective use and management of email where a call was made to match increase in use of email with increase in professional management of the same. The proposed framework may go a long way in influencing proper and professional use and management of email in Zimbabwe’s central government and similar organisations. / Information Science / D. Phil. (Information Science)

Records are essential to the efficient administration of municipalities and more critical to the facilitation of good governance, transparency and accountability. Despite this, the records management processes of many municipalities in South Africa have remained ineffective and inefficient. The study investigated the extent to which records management enhances service delivery in Mogale City Local Municipality. The objective was to determine how far sound records management goes in enhancing the public services, accountability, transparency and good governance. The study sought to address the following research questions: “What contribution, if any, does records management play in enhancing service delivery?”; “Are there any suitable standards and practices for creation and maintenance of records MCLM?”; “To what extent does records management impact on transparency and accountability in Mogale City Local Municipality?” and “Identifying the benefits derived from records management in the municipality.” The study was underpinned by the record life-cycle and records continuum models. The literature reviewed was based on themes derived from the research questions, the underpinning models and broader areas of the study. The study adopted an interpretivist paradigm, which is associated with the qualitative research approach. The study adopted a single case study design and data were collected through the use of interviews and observation. The qualitative data collected were presented and analysed in narrative description. The findings of the study revealed that there is a positive correlation between records management and effective service delivery. In conclusion, it is evident that the future well-being and quality of basic service delivery depend on the ability of the MCLM to utilise records management strategic planning processes. Records contain information that will assist the municipality in determining the required resources, and moreover, in setting or improving service standards. The records management policy in the municipality must be adhered to and practiced consistently to ensure compliance and sound records management. This affirms the need for reformed records management strategies to enable administration efficiency and improved service delivery in the municipality. / Rekords is noodsaaklik vir die doeltreffende administrasie van munisipaliteite en meer krities vir die fasilitering van goeie bestuur, deursigtigheid en verantwoordbaarheid. Ten spyte hiervan het die rekordbestuursprosesse van talle munisipaliteite in Suid-Afrika ondoeltreffend en ondoeltreffend gebly. Die studie het die mate waarin rekordbestuur die dienslewering in Mogale City Plaaslike Munisipaliteit verbeter, ondersoek. Die doel was om te bepaal hoe ver klankrekordbestuur gaan om die openbare dienste, verantwoordbaarheid, deursigtigheid en goeie bestuur te verbeter. Die studie het probeer om die volgende navorsingsvrae aan te spreek: "watter bydrae, indien enige, doen rekordbestuursspel in die verbetering van dienslewering?"; "Is daar enige geskikte standaarde en praktyke vir die skepping en instandhouding van rekords MCLM?"; "Tot watter mate het rekordbestuursimpak oor deursigtigheid en verantwoordbaarheid in Mogale City Plaaslike Munisipaliteit?" en "die identifisering van die voordele wat uit rekordbestuur in die Munisipaliteit afkomstig is." Die studie is gerugsteun deur die rekord lewe-siklus en rekords kontinuum modelle. Die literatuur is gebaseer op temas wat afgelei is van die navorsingsvrae, die onderliggende modelle en breër areas van die studie. Die studie het 'n interpretivist paradigma aangeneem, wat geassosieer word met die kwalitatiewe navorsingsbenadering. Die studie het 'n enkele gevallestudie aangeneem en data is ingesamel deur die gebruik van onderhoude en observasie. Die kwalitatiewe data wat ingesamel is, is aangebied en ontleed in narratiewe Beskrywing. Die bevindinge van die studie het getoon dat daar 'n positiewe korrelasie tussen rekordbestuur en effektiewe dienslewering is. Ten slotte is dit duidelik dat die toekomstige welstand en gehalte van basiese dienslewering afhang van die vermoë van die MCLM om rekordbestuur-strategiese beplanningsprosesse te benut. Rekords bevat inligting wat die Munisipaliteit sal help om die vereiste hulpbronne te bepaal, en verder in die opstel of verbetering van diensstandaarde. Die rekordbestuurbeleid in die munisipaliteit moet nagekom en konsekwent beoefen word om nakoming van voldoening en goeie rekordbestuur te verseker. Dit bevestig die behoefte aan Reformatoriese rekordbestuurstrategieë om administraseringdoeltreffendheid en verbeterde dienslewering in die Munisipaliteit moontlik te maak. / Information Science / M.A. (Information Science)

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)