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Government computers are generating enormous volumes of e-records such as e-mails, word processed documents and databases. The immediate challenge of the public sector is therefore to preserve these digital records and make them accessible to future generations. The present study was conducted to investigate the management of e-records in the public sector in Lesotho. The objectives of the study guided the researcher to find out what IT infrastructure and resources existed. The study looked at which records were currently being created and strategies and policies used in managing those records. The archival legislation was reviewed to assess how it affected e-records. An e-records model suitable for managing e-records in Lesotho was suggested. The study adopted the descriptive research by utilizing the case study approach. Interview schedules were employed for data gathering, together with observations. The literature review guided the content of the interview schedule. Data was analyzed according to the objectives of the study. The overall findings revealed that the public sector in Lesotho was not managing its e­-records satisfactorily. The public sector did not have legislation that specifically dealt with managing e-records, there were no written policies, strategies and guidelines were non-existent. The study also revealed that there were no qualified personnel with expertise and skills in the management of e-records in the public sector. The study's conclusions and recommendations were that the public sector be allocated more resources and IT infrastructure. Staff should be trained, policies should be formulated, legislation should be amended to accommodate e-records and, lastly, the study recommended that the public sector in Lesotho should adopt the South African e­-records management model. / Thesis (MIS)-University of KwaZulu-Natal, Pietermaritzburg, 2004.

This study investigated the extent to which records management practices fostered accountability in the Public Service Reform Programme (PSRP) in some government ministries in Tanzania. The effective implementation of the PSRP depends largely on many factors, the most important of which is the proper and well organized methods of managing public records. It is essential for government ministries to ensure that records are properly managed at every stage of the records life cycle, so that the information they contain can provide evidence of transactions and the efficient and effective provision of service to the public. The records life cycle model through its phases formed the theoretical foundation of the study. A mixed methods research approach was adopted and quantitative approach was used as a dominant paradigm. Both quantitative and qualitative data were gathered simultaneously during a single phase of data collection. Data was collected through a questionnaire administered to registry personnel from the government ministries, interviews with senior ministerial officials, National Archives personnel from the Records and Archives Management Department (RAMD) and staff from Tanzania Public Service College. The overall response rate from the questionnaire was 67%. An observation checklist was further used to verify data obtained from the questionnaire and interviews. Quantitative data was analyzed using the SPSS statistical package version 15.0 and the results of the study are presented in the form of figures, tables and text, while qualitative data from interviews was content analyzed and in some instances presented in tabular form. The findings of the study indicated that records in some government ministries in Tanzania were not properly managed to foster accountability in the implementation of the PSRP. The study established that although the introduction of the PSRP has resulted in some efforts in reforming records management practices in the government ministries, current records management in the government ministries was still weak, thus fostering accountability in the PSRP would be difficult. The findings of the study revealed a lack of registry mission statements, records management policy and dedicated budgets for registry sections. The majority of government registries in Tanzania lacked records retention schedules and systematic disposal of records resulting in heavy congestion of records and poor retrieval of information. Further, disaster preparedness and security control for records and archives did not form a significant part of the records management activities in the government ministries of Tanzania. On the extent of the use of computer applications in the management of records, the findings indicated the existence of computers in some registries but few computers were used to create records. National Archives and registry personnel faced challenges in the management of electronic records. The study established that National Archives personnel had not undertaken surveys to determine the number of electronic records created in the ministries. The findings of the study showed that although registry personnel received professional records management advice from the National Archives personnel, they did not implement the advice. The findings of the study revealed that the levels of skills and training of registry personnel was relatively low. The majority of registry personnel had not attended courses to update their knowledge and skills. To foster accountability in the public sector, the major recommendation of the study was the restructuring of records management systems. The restructuring should include enacting records management policies in order to accommodate the changes brought about by technology to enhance the proper management of records and effective implementation of the PSRP. The study recommends that government ministries should allocate dedicated budgets for registries. A budget should make provision for registry supplies and equipment and should ensure that registry personnel are provided with formal training in records management so as to develop their levels of skills and training. In order to ensure reliability, integrity, authenticity and long-term preservation of electronic records in support of the requirements of good government and fostering accountability, the study recommended for the integrated approach to records management to be considered in order to incorporate records in both paper and electronic formats. Further, the National Archives should undertake a survey at least annually, to determine the number of electronic records created in the government ministries. It is recommended that the government should update Records and Archives Management Act No.3 of 2002 to reflect the management of electronic records. National Archives should develop records retention and disposition schedules and records should be disposed of regularly in order to create more space for the current records, thus enhancing accountability in the implementation of the PSRP. The study recommends that professional records management advice should be provided on a regular and continuing basis. The National Archives should work closely with the President’s Office-Public Service Management to organize training for senior ministerial officials in order to create awareness regarding the importance of managing records as a strategic resource and its effectiveness in fostering accountability in the implementation of the public service reform programme. The setting up of standards and guidelines on the training of registry personnel is also necessary in order to enhance their status and skills. Enhancing their status and skills would be important for the proper management of records throughout their life cycle to foster accountability in the effective implementation of the PSRP. The study further recommended several issues which could be the subject of further investigation by other researchers in the field, including investigating the current records management practices in Judiciary, Parliament and local government authorities in Tanzania, a study to establish the levels of e-records readiness and e-government in the public sector in Tanzania, and a study to investigate the training of National Archives personnel in order to establish their levels of education and how they impact on the management of records in the government ministries. Furthermore, a study should be conducted to establish the role of records management in addressing corruption, fraud and maladministration in the public sector of Tanzania. A study to assess records management performance in the public sector using international standards such as ISO 15489 Information and Documentation-Records Management, General International Standard Archival Description (ISAD(G)), ISO/DIS 11799 Document Storage Requirements for Archive and Library Materials and ISO 11108: 1996 Information and Documentation-Paper for Archival Documents, is also important. / Thesis (Ph.D.)-University of KwaZulu-Natal, Pietermaritzburg, 2010.

This study investigated the extent to which records management practices fostered accountability in the Public Service Reform Programme (PSRP) in some government ministries in Tanzania. The effective implementation of the PSRP depends largely on many factors, the most important of which is the proper and well organized methods of managing public records. It is essential for government ministries to ensure that records are properly managed at every stage of the records life cycle, so that the information they contain can provide evidence of transactions and the efficient and effective provision of service to the public. The records life cycle model through its phases formed the theoretical foundation of the study. A mixed methods research approach was adopted and quantitative approach was used as a dominant paradigm. Both quantitative and qualitative data were gathered simultaneously during a single phase of data collection. Data was collected through a questionnaire administered to registry personnel from the government ministries, interviews with senior ministerial officials, National Archives personnel from the Records and Archives Management Department (RAMD) and staff from Tanzania Public Service College. The overall response rate from the questionnaire was 67%. An observation checklist was further used to verify data obtained from the questionnaire and interviews. Quantitative data was analyzed using the SPSS statistical package version 15.0 and the results of the study are presented in the form of figures, tables and text, while qualitative data from interviews was content analyzed and in some instances presented in tabular form. The findings of the study indicated that records in some government ministries in Tanzania were not properly managed to foster accountability in the implementation of the PSRP. The study established that although the introduction of the PSRP has resulted in some efforts in reforming records management practices in the government ministries, current records management in the government ministries was still weak, thus fostering accountability in the PSRP would be difficult. The findings of the study revealed a lack of registry mission statements, records management policy and dedicated budgets for v registry sections. The majority of government registries in Tanzania lacked records retention schedules and systematic disposal of records resulting in heavy congestion of records and poor retrieval of information. Further, disaster preparedness and security control for records and archives did not form a significant part of the records management activities in the government ministries of Tanzania. On the extent of the use of computer applications in the management of records, the findings indicated the existence of computers in some registries but few computers were used to create records. National Archives and registry personnel faced challenges in the management of electronic records. The study established that National Archives personnel had not undertaken surveys to determine the number of electronic records created in the ministries. The findings of the study showed that although registry personnel received professional records management advice from the National Archives personnel, they did not implement the advice. The findings of the study revealed that the levels of skills and training of registry personnel was relatively low. The majority of registry personnel had not attended courses to update their knowledge and skills. To foster accountability in the public sector, the major recommendation of the study was the restructuring of records management systems. The restructuring should include enacting records management policies in order to accommodate the changes brought about by technology to enhance the proper management of records and effective implementation of the PSRP. The study recommends that government ministries should allocate dedicated budgets for registries. A budget should make provision for registry supplies and equipment and should ensure that registry personnel are provided with formal training in records management so as to develop their levels of skills and training. In order to ensure reliability, integrity, authenticity and long-term preservation of electronic records in support of the requirements of good government and fostering accountability, the study recommended for the integrated approach to records management to be considered in order to incorporate records in both paper and electronic formats. Further, the National Archives should undertake a survey at least annually, to determine the number of electronic records created in the government vi ministries. It is recommended that the government should update Records and Archives Management Act No.3 of 2002 to reflect the management of electronic records. National Archives should develop records retention and disposition schedules and records should be disposed of regularly in order to create more space for the current records, thus enhancing accountability in the implementation of the PSRP. The study recommends that professional records management advice should be provided on a regular and continuing basis. The National Archives should work closely with the President’s Office-Public Service Management to organize training for senior ministerial officials in order to create awareness regarding the importance of managing records as a strategic resource and its effectiveness in fostering accountability in the implementation of the public service reform programme. The setting up of standards and guidelines on the training of registry personnel is also necessary in order to enhance their status and skills. Enhancing their status and skills would be important for the proper management of records throughout their life cycle to foster accountability in the effective implementation of the PSRP. The study further recommended several issues which could be the subject of further investigation by other researchers in the field, including investigating the current records management practices in Judiciary, Parliament and local government authorities in Tanzania, a study to establish the levels of e-records readiness and e-government in the public sector in Tanzania, and a study to investigate the training of National Archives personnel in order to establish their levels of education and how they impact on the management of records in the government ministries. Furthermore, a study should be conducted to establish the role of records management in addressing corruption, fraud and maladministration in the public sector of Tanzania. A study to assess records management performance in the public sector using international standards such as ISO 15489 Information and Documentation-Records Management, General International Standard Archival Description (ISAD(G)), ISO/DIS 11799 Document Storage Requirements for Archive and Library Materials and ISO 11108: 1996 Information and Documentation-Paper for Archival Documents, is also important. / Thesis (Ph.D.)-University of KwaZulu-Natal, Pietermaritzburg, 2010.

The implementation of electronic records management is a challenging task due to the resources it requires and most importantly because it requires a substantial change in the methodology to be used for electronic rather than analog records. Universities in North America have struggled with electronic records management for the last two decades because most records practitioners have neglected this methodology paradigm shift created by the arrival of electronic records. Given the great significance of universities in their societies, it is important that they manage electronic records effectively. It seems a bit odd that universities have not developed adequate responses to the challenge of managing electronic records since many are heavily funded by governments and must comply with multiple regulations that obligate them to manage their records well. Moreover, universities have been the source of much academic research into digital records issues and have access to this expertise, and familiarity with the issues. They also have a long tradition of archival programs for analog records. This thesis analyzes the causes for delayed implementation of electronic records management (eRM) best practices in certain North American universities in Canada and the United States. It concludes that the main cause is failure to adopt the guiding principles of the ISO (International Organization for Standardization) Records Management (RM) standard 15489: 2001 and the methodologies associated with it.

Functional requirements for electronic recordkeeping systems have emerged as a principal tool for archival and records management professionals to communicate electronic recordkeeping standards to both records creators and computer systems designers. Various functional or model requirements have been developed by government and international organizations around the world to serve as tools for the design, evaluation, and implementation of recordkeeping systems that will satisfy these recordkeeping requirements. Through their evolution, functional requirements have become complex guiding documents covering an array of recordkeeping systems and preservation interests. Often misunderstood or simply ignored, the recordkeeping requirements at the heart of these specifications are crucial for ensuring the creation, maintenance, and preservation of electronic or digital records over time, for operational, accountability, archival, and historical purposes. This thesis examines the origins and evolution of these functional requirements, particularly through the contributions of the Pittsburgh project’s study of electronic records as evidence and the University of British Columbia project’s study of the preservation of trustworthy electronic records, which together articulated key foundational assumptions about electronic or digital recordkeeping and the structure of many of the functional requirements circulating today. By looking at their conception, development, and evolution, this thesis sheds light on the content, structure, and context of the most widely-used available functional requirements. It evaluates the merits of their often competing assumptions and deliveries, and suggests that none represent a “silver bullet” that addresses the issues associated with electronic records, as each has limitations resting both with the ability of users to implement the requirements and with the rapid and ever-changing landscape of electronic communication.

For over forty years, archivists and records managers have developed and advocated numerous theories and methodologies for the preservation of authentic and reliable organizational digital records. Many different tools, standards, and guidelines have been created to enhance and safeguard the content and context of digital records across multiple migrations. In addition, several archives have been able to create and sustain full-scale digital preservation programs. However, in spite of these successes, most archives and records management programs are not yet capable of preserving digital records indefinitely. Long-term archival digital preservation advocacy is defined as efforts undertaken by archivists and records managers to convince others, inside and outside their professions, to support the concepts, methodologies, and resources necessary to implement long-term digital preservation. Advocacy as a political- and policy-focused activity to convince a targeted audience to act is distinguished from archival “public programming” that is centered around outreach, publicity, exhibitions, and reference services. Advocacy for long-term digital preservation has not been widely successful, as evidenced by the relative small number of fully supported and fully functional archival digital preservation programs. As a result, the potential for a “dark age” characterized over the long term by a dearth of surviving, readable, and contextualized digital records is very real. This thesis explores why advocacy efforts have created only limited success, as well as what might be done to improve this situation. It rethinks long-term digital preservation as an issue of advocacy and will, as well as one of technology, strategy, or theory. Chapter One opens the thesis with a brief discussion of computers and digital records, placing advocacy efforts within a historical and technological context. Chapter Two presents an intellectual history of long-term digital records preservation advocacy literature and practice, demonstrating how advocacy “messages” have been formulated, disseminated, and “sold.” It also illustrates the multitude of informational resources and technological “solutions” that are now available to assist archivists and records managers in undertaking long-term digital preservation activities. Chapter Three tests the resonance of advocacy efforts through a series of surveys which I conducted with archivists and records managers from a variety of government, corporate, educational, and other institutions, as well as follow-up interviews with Manitoba-based records professionals. Survey questions were developed based on my examination of long-term digital preservation advocacy literature in Chapter Two, while interview questions were based on the responses of survey participants. Chapter Four concludes the thesis with a series of recommendations on improving long-term digital preservation advocacy. It argues for archivists and records managers to increase their personal commitment to long-term digital preservation, which includes having the will to embrace change and get started. Records professionals must also produce more practical internal guidance to assist archivists and records managers in undertaking preservation activities. In addition, the development and delivery of external advocacy “messages” must be improved, so that advocacy arguments better resonate with those responsible for funding organizational records management and archival preservation programs for digital records.

This thesis will examine the manual hospital document retrieval system and electronic document scanning system. From this examination, requirements will be listed for the Administrative Reporting for the Hospital Document Scanning System which will provide better service and reliability than the previous systems. To assure that the requirements can be met, this will be developed into a working system which is named as the Administrative Reporting for the Hospital Document Scanning System(ARHDSS). / Department of Computer Science