Records Management Journal

Publisher:: Emerald Group Publishing Limited
Publication date:: 2021-02-01

ISBN:: 0956-5698

Issue Number

No. 34-2/3, December - November - November - October - October - September - September - August - July - June 2024

Latest documents

Editorial: The carrot and the stick: the impact of legislation and regulation on records management best practice, change and innovation
The Public Records (Scotland) Act 2011: creating a culture that values public records
Purpose: The Public Records (Scotland) Act 2011, implemented in January 2013, celebrated its 10th anniversary this year. This case study aims to examine the implementation of the Act. The Act was born out of the “Historical Abuse Systemic Review: Residential Schools and Children’s Homes in Scotland 1950–1995”, published in 2007. This review identified problems for care leavers and abuse survivors attempting to trace records about themselves, family members or medical issues. It demonstrated an urgent need to take action to preserve historical records and protect the information rights of Scottish citizens, particularly those of the most vulnerable. Scottish Ministers wanted the Act not just to regulate recordkeeping but to change the culture of recordkeeping. Is it doing this? Design/methodology/approach: The Act’s guiding principle is continuous improvement. It does not presume records management perfection from public authorities but requires that they assess their arrangements, identify gaps in provision and deliver a commitment to close these gaps over time. This case study draws on the Keeper of the Records of Scotland’s strategy of affecting change through compliance, engagement and advocacy. We can evidence the impact of the legislation through the various tools created to support its administration: scrutiny mechanisms and statutory penalty embedded in the Act; evidence-based compliance under a “Records Management Plan” (RMP); stakeholder surgeries and conferences that address challenges, examine failings, learn from and share successes and explore development opportunities; Progress Update Review mechanism: a self-assessment tool from which we draw evidence of progress or lapses; and webinars and surveys to remain alert to stakeholder issues. Our engagement provides the qualitative and quantitative data required to accurately update Scottish Ministers. Findings: Undeniably, the Act is making a difference. It has transformed the recordkeeping landscape in Scotland over the past decade. The legislation has given the Keeper of the Records of Scotland influence and has acted as a national lever for change. For example, an authority employing a records manager and establishing a support unit as a consequence of our address to its Board; and the NHS Scotland Records Management Group, established as a consequence of the Act, now advises NHS senior management. Originality/value: There is no doubt about progress on the ground. However, because of the fiscal problems of the 2008 financial crisis, Brexit, COVID and the current cost-of-living crisis, public authority finances are extremely strained. What does this mean for Scottish Ministers’ ambition to change the culture of recordkeeping? What are the challenges for the next decade? Good recordkeeping is not only about efficiencies but about accountable, trustworthy and transparent government. Can the Act meet these challenges?
Presidential prerogative, congressional inaction, and the problem of presidential libraries
Purpose: In the context of an analysis of stopgap and reactionary presidential library and records act, the purpose of this paper is to consider how the separation of the Obama Presidential Library from the Obama Presidential Center illuminates fundamental flaws in the public-private model that demand a more comprehensive legislative solution. Design/methodology/approach: Drawing upon government, academic and public sources, this paper examines the legislation of presidential records and libraries to gain perspective on the presidential library system and the Obama Presidential Center, the first post-Presidential Records Act institution to operate independently of the National Archives and Records Administration (NARA). Findings: This paper traces the evolution of presidential library statutes and standards to reveal how the genesis of an independent Obama Presidential Center strained an already stressed system, creating significant questions about its future. Originality/value: This paper offers an original treatment of the statutes governing NARA’s administration of presidential libraries, framing a cycle of calls and responses, with the acts of individual presidents eliciting acts of Congress. Also original, and timely, is the treatment in this paper of how these laws created the conditions for an independent Obama Presidential Center.
The historical development and implementation effect of Chinese village-level archival legislation
Purpose: Village-level archives are the most basic construction unit of rural archives in China, yet the village-level archival work is the most poorly delivered. However, the evolution of the laws and rules on village-level archival work in recent years signal that Chinese village-level archival work has stepped into a new era. In this context, this article aims to review the detailed history of village-level archival legislation, examine the legislation’ implementation effect and discuss the existing problems with a view to providing improvement measures. Design/methodology/approach: A historical research method is used to review the legislation’ history, and the analysis involving the implementation effect is mainly based on literature of two kinds, which are investigation reports on sample villages’ archival work carried out by scholars, and summary reports and work schemes on national or local village-level archival work given by the archival management or administrative management departments at various level. Findings: At first, China only issued non-legal administrative orders toward village-level archival work. Later, some regions issued local rules, and finally the national rules and even Archives Law with relevant provisions were promulgated. However, their implementation faced two fundamental problems; firstly the insufficient endogenous demand for archival work in some villages, and secondly the mechanism problem involving village level archives management. The countermeasures are also discussed building on these two points. Originality/value: This is the first article to systematically combine a review of the history of Chinese village-level archival legislation and in addition to examine their implementation effect including analyzing the existing problems from the macro level.
Local regulations for the use of artificial intelligence in the management of public records – a literature review
Purpose: This study investigated the regulatory landscape surrounding artificial intelligence (AI) in the context of e-government development. The purpose of this article is to identify record-keeping challenges, opportunities and weaknesses that emerge from AI loose regulation. The research focuses on Sweden, Finland and South Africa, examining the interplay between existing guidelines, recommendations and legal structures at various levels. Design/methodology/approach: The research adopted comprehensive systematic and scoping literature reviews, encompassing academic papers, reports and legal documents, along with an analysis of non-academic sources relevant to the study. This methodological approach helped to obtain a deep understanding of the evolving AI regulatory frameworks. Findings: There is currently limited research that focuses on the impact AI deployment has on the management of critical records in government administrations. Also, the findings reveal that AI regulatory environment varies from country to country. The European Union stands as a noteworthy example of a comprehensive framework for AI governance. In contrast, South Africa, while at its infancy stage, demonstrates potential initiatives and policies at different levels. There is emphasis on the need to focus on co-operation, skills development and uniform regulatory frameworks. Practical implications: This research holds significant practical implications for policymakers, government bodies and stakeholders involved in AI governance. It emphasizes how crucial it is to incorporate AI alongside a solid records management system. The study advocates for strategic investments in education and skills development to enable individuals to navigate the complexities of AI governance. Originality/value: This research adds to the existing body of knowledge by providing an examination of AI legislation in e-government in the context of public records management. The analysis helps to review literature and other research materials across different geographical areas. The study explores the distinctive strategies used by Sweden, Finland and South Africa. The recommendations offer policymakers and stakeholders suggestions on how to foster effective AI governance and innovation in the public sector but at the same time manage public records effectively.
Hidden stakeholder views in Finnish archival act law drafting: a recordkeeping perspective
Purpose: The purpose of this paper is to explore the legislative drafting processe for the Archives Act in Finland and stakeholder involvement concerning the Archives Act proposal. The study aims to identify key factors that hinder or improve the analysis and visibility of these different stakeholder perspectives through time. It considers this from a recordkeeping perspective. Design/methodology/approach: First, selected law drafting guidelines and statement structures were examined to determine how they affect the analysis of stakeholder statements. Second, 90 stakeholder statements and two law drafter summaries were analyzed. Finally, six topics (public record and archives, archiving and preservation, the life cycle of records, transferring records to the National Archives, analog material and personal data) were used to examine the visibility of stakeholder statements and to compare differences in the views between law drafter summaries and stakeholder statements. Findings: Differing views of stakeholders did not receive sufficient visibility in the law drafter summaries. The key factors hindering the analysis and visibility of stakeholder statements were law drafting guidelines that did not support the analysis of the statements, statement structures that were rarely followed and law drafter summaries highlighting the views of the legislators. The recommendations are the need to embed a recordkeeping perspective into the accounts, the requirement to follow the statement structures, guided analysis methods for stakeholder statements and clearer references to stakeholder statements. Originality/value: The study compares the differing views of stakeholder statements and law drafter summaries in law drafting relating to records and information management.
Accountability as a mechanism and a virtue in Irish public sector recordkeeping
Purpose: Although legislation and regulations form an important foundation for recordkeeping and for accountability, questions of transparency and openness must be addressed in a wider context. Oliver and Foscarini have argued for the importance of recognising differing cultures and the ways in which they value records and recordkeeping. In addition to reporting mechanisms and relationships, accountability must encompass a culture and a mindset which is transparent, responsive and focused on self-improvement. This paper aims to apply a dual interpretation of accountability in the context of Irish public sector recordkeeping to identify shortcomings and suggest potential remedies with a view to improving the accountability of Irish recordkeeping itself, and the extent to which it contributes to wider accountability in society. Design/methodology/approach: This paper assesses accountability in Irish public sector recordkeeping using a model suggested by Mark Bovens, which views accountability as both a mechanism and a virtue. The model emphasises that both interpretations are necessary but that mechanisms (laws, regulations and checklists) on their own cannot be sufficient to satisfy accountability requirements. As noted by Onora O’Neill, the aim of accountability should not be checklists or artificial metrics, but the nurturing of behaviours and cultures which make public institutions more deserving of our trust. Reference will be made to Irish legislation, to records management policies in government departments, to relevant annual reports and to current practice with regard to appraisal and other recordkeeping functions to measure Irish public sector recordkeeping against Bovens' model. Findings: This paper suggests that Irish public sector recordkeeping has a range of shortcomings under both the narrow (mechanism) and broad (virtue) interpretations of accountability. Lack of reporting requirements and oversight mechanisms in existing legislation allows for major gaps in public sector recordkeeping, facilitating a lack of accountability in the citizen–state relationship. Meanwhile, an absence of records management policies and an overall lack of appreciation of the value of records leads to opaque practices and a lack of transparency. The recordkeeping profession itself adopts processes and practices, which are not aligned with the concept of accountability as a virtue, and which do not reflect a commitment to transparency and meeting the legitimate interests of stakeholders. This paper suggests changes in relevant legislation but also suggests that these must be accompanied by a more open and responsive working culture within the recordkeeping profession. Originality/value: By applying Bovens’ dual concept of accountability, this paper provides a new and more comprehensive assessment of public sector recordkeeping in Ireland, which can equally be applied in other contexts. It identifies ways in which revised legislation can contribute to greater accountability, but emphasises that regulations must be accompanied by a culture of transparency and responsiveness, and that recordkeepers have a crucial role to play in terms of their own commitment to transparency and professional accountability.
Records management compliance: a case study of Kuwait’s College of Basic Education
Purpose: This study aims to investigate the compliance of Kuwait’s College of Basic Education (CBE) with records management standards (RMS), legislation and regulations. Design/methodology/approach: This case study collects data from semi-structured interviews and a thorough internet search of relevant records management (RM) policies and procedures. Findings: The findings reveal the shortcomings of the bottom-up approach to RM, which poses significant risks due to inadequate management and monitoring; lack of compliance with local or national records and archives regulations; and a general unawareness of RMS and best practices among interviewees. Research limitations/implications: This study focuses on CBE, potentially limiting generalizability to other academic institutions in Kuwait, but offers valuable insights for polities that similarly lack records legislation and wish to improve their RM practices and comply with international standards. Practical implications: This study proposes a more top-down approach to RM with the adoption of international RMS to improve practices, minimize risks and reduce legal liabilities. Positive outcomes will support the case for records and archives legislation (RAL) in Kuwait and provide the framework for its establishment. Social implications: The study argues that the passage of RAL and the subsequent implementation of RMS will improve citizens’ Right to Access Information. Originality/value: This study initiates a pioneering effort in understanding Public Authority for Applied Education and Training and CBE’s level of compliance with RMS, legislation and regulations and their challenges.
Strategy for auditing investigation records and information: a case study of records and information management in the Royal Malaysian Police
Purpose: This study aims to conduct an analysis of the strategy used by Royal Malaysian Police in auditing investigation records and information. Design/methodology/approach: Qualitative methodologies were used based on the pragmatic philosophy and a case study approach. Findings: This paper discusses the strategy for auditing the investigation records and information (AIRI), which includes the pre-auditing (input), auditing (process) and post-auditing (output) phases that will be used to develop the AIRI framework. Research limitations/implications: This study focuses on auditing investigative records and information that may not be universally applicable to all organisations. Practical implications: The implications arising from this paper are those related to the need to understand, promote and implement auditing of records and information in organisations. Originality/value: This study presents an opportunity and establishes the foundation for enhancing and broadening the scope of information auditing, a crucial component within the records and information management (RIM) life cycle.
Electronic records management amidst the seismic shift in the dynamic infosphere
Purpose: The study aims to investigate the current electronic records management practices in government departments of South Africa to establish the extent to which they foster service delivery in public service reform programmes. Design/methodology/approach: This study applied a systematic literature review approach to critically appraise the published literature on the status of records management in South Africa, following the Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines. Findings: The findings indicate that the South African public sector encounters challenges such as a lack of skills in managing electronic records, management support, resources and legislative frameworks and policies. The study’s findings revealed that although electronic records are essential for service delivery in South Africa, the existing records management programme is not efficient and effective and does not sufficiently comply with legislative and statutory requirements. Research limitations/implications: This study was limited to the public sector of South Africa. Practical implications: This study recommends the development of policy frameworks and strategies aligned with the organisational goals and facilitation of professional training for all staff, including attendance of seminars, workshops and workplace training. Social implications: The research demonstrates the need for a comprehensive legislative and policy framework, robust integration of electronic records practices in government e-government efforts, and adequate technological infrastructure support. Originality/value: This study offers informed recommendations to address the challenges of managing electronic records in South African public sector organisations that continue to be a cause for concern.