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 study focused on records management in churches, particularly the Friends Church (Quakers) in Kenya. The study sought to find out the record types and formats created or received, establish records management systems currently being used, investigate the challenges faced in managing the records, and assess the status quo in records management as well as recommend possible solutions for the Friends Church in Kenya. Both qualitative and quantitative were used to collect data from the field. Through interviews, data was collected from pastors, church administrators, and church members. Exploratory research design was adopted in conducting in-depth interviews among the participants in order to understand records management practices in the Friends Church in Kenya and provide recommendations for improvement. Purposive sampling technique was adopted to select a sample size of 24 participants who included individuals with relevant information about records management in the Friends Church in Kenya. The response rate for this study was 100 percent. The study discovered that records created or received by the Friends Church in Kenya were not properly managed. This was due to lack of an electronic system of records management, inadequate qualified personnel to manage records, inaccessible records when needed, lack of fire protected cabinets, poor leadership, among others. These culminated to time wastage in churches, conflicts, overspending on various church activities, unproductivity, loss of file(s) that contain vital information, poor organization and culture, and some committed church members left the church. The Study concluded that for the Friends Church to achieve operational efficiency, it is important that the church leadership establish records management offices that are equipped with requisite resources to effectively manage paper based records and electronic records. / Information Science / M. Inf. (Information Science)

MPM / Oliver Tambo Institute of Governance and Policy Studies

Thesis (M.A. Information Studies (Electronic Records Management)) -- University of Limpopo, 2021 / There is a strong argument for a direct link between records management and delivery of justice to citizens in that to an extent that a country is ready to embrace information and communication technology (ICT), the lower the level of corruption in that country. This study investigated the role of electronic records management for effective delivery of justice in Limpopo Province police stations (LPPS) with the adoption of the exploratory survey research design based on quantitative and qualitative research approaches. The study adopted a pragmatic worldview to sample 100 police detective officers and 6 records managers with a 65% response rate in Lebowakgomo and Mankweng clusters of Limpopo province with the use of questionnaire and interview as data collection instruments. The study analysed quantitative data through SPSS for Windows while adopting Thematic Analysis for qualitative data. This study found that the LPPS had inadequate human resource and ICT infrastructure capacity for effective electronic records management and delivery of justice to citizens; that e-docket system had a positive impact in enhancing electronic records management, specifically with 24hour access and timely sharing of records; that poor internet connection emerged as the most prominent challenge faced when managing records; and that monitoring of the e-docket system and increased human resource and ICT infrastructure capacity could improve electronic records management. The study made the following recommendations in order to enable effective delivery of justice to citizens through electronic records management in LPPS: that there be minimum training requirements for those working with records in order to cultivate a culture of appreciating proper records management; that police stations be provided with enough computers with adequate network capacity; that a qualified records manager be appointed to administrate the management of records; and that offsite backup be implemented to ensure system recovery in case of disaster. / National Research Foundation (NRF)

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

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

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 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)