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 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)

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.