Records Management Journal

Emerald Group Publishing Limited
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Latest documents

  • The adoption of electronic records management system (ERMS) in the Yemeni oil and gas sector. Influencing factors

    Purpose: Identification of factors for electronic records management system (ERMS) adoption is important as it allows organizations to focus their efforts on these factors to ensure success. The purpose of this paper is to identify the factors that influence ERMS adoption in the Yemeni oil and gas (O&G) sector. Design/methodology/approach: This paper conducts a systematic literature review (SLR) to extract the most common factors that could facilitate successful ERMS adoption. Information technology (IT) experts were asked to rank the extracted factors via an e-mail questionnaire and to recommend specific critical success factors that must be given extra attention to increasing the success of ERMS adoption. Essentially, the proposed methodology is technology-organization-environment (TOE) modeling to examine the important factors influencing decision-makers in the Yemeni O&G sector regarding ERMS adoption. Findings: This paper identifies factors influencing ERMS adoption based on SLR and an expert-ranking survey. The data that were collected from IT experts were analyzed using the statistical package for the social sciences. The results showed that only 12 out of 20 factors were significant. The experts then added three new factors, resulting in 15 significant factors classified into the three dimensions as follows: technology, organization and environment. Originality/value: Limited studies have been carried out in the context of the O&G sector, even among developed countries such as Canada, the UK and Australia. These studies have focused on a limited number of factors for ERMS adoption targeting better utilization of human resources, faster and more user-friendly system responses and suitability for organizational ease. This paper explores the factors that may prove useful in adopting of ERMS in the O&G sector of developing countries, similar to Yemen.

  • A framework for electronic records management in support of e-government in Kenya

    Purpose: This paper is based on the doctoral study conducted in 2016 at the University of South Africa. The purpose of this study was to investigate how the current state of management of electronic records in Kenya facilitates or undermines implementation of e-government with a view to develop a best-practice framework for management of electronic records in support of e-government. Design/methodology/approach: The study used the interpretive research paradigm and adopted qualitative research methodology using phenomenological design. Maximum variation sampling was used to identify the research sample for the study. Findings: The findings established that the general status of management of e-records (MER) in government ministries is inadequately positioned to support e-government; use of e-government in Kenya had grown significantly and more ministries were adopting e-government services; although some initiatives have been undertaken to enhance MER, the existing practices for MER require improvement to ensure they adequately support e-government. Research limitations/implications: The limitations were access to respondents and the challenge of self-reported data. Practical implications: Recommendations and a best-practice framework for managing electronic records in support of e-government have been provided. A proposal for implementation of the recommendations on a priority basis has also been provided. Social implications: The study’s contribution to scholarly works and literature in the field resides in its findings and a framework that can be practically adopted for management of e-records in support of e-government. By establishing the nexus between management of e-records and e-government in Kenya, it is hoped that it will provide input to policymakers to consider records managers as key stakeholders in e-government. Originality/value: The originality of this study stems from two aspects: original topic and understudied area.

  • User participation: what can be learned from the information systems domain?

    Purpose: Many records professionals are involved in the design and development of recordkeeping systems. To design recordkeeping systems that meet user needs, their perspectives have to be included in the design process. The purpose of this paper is to explore what can be learned from the domain of information systems (IS) regarding user participation in design, and then to reflect on what related to the recordkeeping dimension should be further considered. Design/methodology/approach: The study is based on a review of literature in the IS development field about user participation. Findings: Analysing how users participate in IS development reveals several aspects of interest for records professionals. There are different approaches to, purposes of and driving values in user participation, which should be transparent. For user participation to be successful, an infrastructure has to be in place. The idea of user participation may be a way to include the secondary values of records in the near term, but it may also challenge traditional roles. New issues, such as the archivist’s role as a trusted third party, should be analysed further. Originality/value: This study uses knowledge from the information system field to acquire new knowledge about user participation in design, and relate it to the recordkeeping domain. This study addresses issues surrounding user participation, which has been indicated as an area in need of further development in archives and information science.

  • Towards automated pre-ingest workflow for bridging information systems and digital preservation services

    Purpose: This paper aims to automate pre-ingest workflow for preserving digital content, such as records, through middleware that integrates potentially many information systems with potentially several alternative digital preservation services. Design/methodology/approach: This design research approach resulted in a design for model- and component-based software for such workflow. A proof-of-concept prototype was implemented and demonstrated in context of a European research project, ForgetIT. Findings: The study identifies design issues of automated pre-ingest for digital preservation while using middleware as a design choice for this purpose. The resulting model and solution suggest functionalities and interaction patterns based on open interface protocols between the source systems of digital content, middleware and digital preservation services. The resulting workflow automates the tasks of fetching digital objects from the source system with metadata extraction, preservation preparation and transfer to a selected preservation service. The proof-of-concept verified that the suggested model for pre-ingest workflow and the suggested component architecture was technologically implementable. Future research and development needs to include new solutions to support context-aware preservation management with increased support for configuring submission agreements as a basis for dynamic automation of pre-ingest and more automated error handling. Originality/value: The paper addresses design issues for middleware as a design choice to support automated pre-ingest in digital preservation. The suggested middleware architecture supports many-to-many relationships between the source information systems and digital preservation services through open interface protocols, thus enabling dynamic digital preservation solutions for records management.

  • Assessment of the management of student affairs records. Case of the University of Mpumalanga in South Africa

    Purpose: The purpose of this paper is to assess records management components, such as record scheduled, records appraisal, destroyed/disposed, retained, training of staff on the management of the student affairs records (SARs), provided access, the challenges associated with efficient management of SARs and strategies for effective management of SARs, to determine the extent the Student Affairs Department (SAD) complies with the University of Mpumalanga (UMP) records management policy. Design/methodology/approach: This paper uses qualitative methodology of a triangulation of data collection and this included interviews, document analysis and observation. Findings: The literature review, as well as the interview, revealed that findings on the UMP records management policy are multi-layered. A number of participants mentioned lack of records centre, records retention and appraisal of records, records management training and managing access to information as a challenge to the management of SARs. Research limitations/implications: The research was only limited to the UMP, Student Affairs Division, with a population of 15 staff members even though the findings can be applied to all the universities in South Africa. Practical implications: SAD has a unique contribution to make to ensure that records created within their division are managed in terms of the UMP records management policy by ensuring that components such as records storage retention and appraisal of records management training and managing access to information are adhered to. Social implications: Failure to comply with the UMP records management policy by the Student Affairs Division will contribute to the loss of institutional memories, non-compliance with legislations such as Promotion of Access to Information Act 2000, National Archives and Records Services Act 46 of 1996 and the Protection of Personal Information Act No 4. Of 2013. Originality/value: The research appears to be the first of its kind, to the best of the authors’ knowledge, to assess SARs at the UMP, South Africa.

  • Risk identification and management for the research use of government administrative data

    Purpose: Government administrative data have enormous potential for public and individual benefit through improved educational and health services to citizens, medical research, environmental and climate interventions and better use of scarce energy resources. The purpose of this study (part of the Administrative Data Research Centre in England, ADRC-E) was to examine perspectives about the sharing, linking and re-use (secondary use) of government administrative data. This study seeks to establish an analytical understanding of risk with regard to administrative data. Design/methodology/approach: This qualitative study focused on the secondary use of government administrative data by academic researchers. Data collection was through 44 semi-structured interviews plus one focus group, and was supported by documentary analysis and a literature review. The study draws on the views of expert data researchers, data providers, regulatory bodies, research funders, lobby groups, information practitioners and data subjects. Findings: This study discusses the identification and management of risk in the use of government administrative data and presents a risk framework. Practical implications: This study will have resonance with records managers, risk managers, data specialists, information policy and compliance managers, citizens groups that engage with data, as well as all those responsible for the creation and management of government administrative data. Originality/value: First, this study identifies and categorizes the risks arising from the research use of government administrative data, based on policy, practice and experience of those involved. Second, it identifies mitigating risk management activities, linked to five key stakeholder communities, and it discusses the locus of responsibility for risk management actions. The conclusion presents the elements of a new risk framework to inform future actions by the government data community and enable researchers to exploit the power of administrative data for public good.

  • Implementation of electronic records management systems. Lessons learned from Tlokweng land Board-Botswana

    Purpose: Technology has influenced the implementation of electronic records management systems (ERMS) in government agencies. The high incidence of poor service delivery in government agencies is a key factor that has put pressure on the government to implement ERMS. Despite the potential benefits of implementing ERMS, the adoption and use of these programs has been slow and some systems have failed. Therefore, the purpose of this study is to assess how Tlokweng land board (TLB) implemented its electronic records management program using Kotter’s model and awareness, desire, knowledge, ability and reinforcement change model. Design/methodology/approach: The study adopted a pragmatic paradigm and used a case study research design to collect data at TLB. The research made use of mixed methods approach to collect data using questionnaires, interviews and document reviews. Purposeful sampling was used to solicit data from 53 participants in the land board. Findings: The findings of the study revealed that communication has been used as the most effective tool for managing change at TLB. However, TLB has not yet managed to reinforce the change implemented because of the lack of adequate training and motivation of change champions. Moreover, the change management team has little training on the change management framework produced by the Ministry of Lands and Housing. Research limitations/implications: The study was limited to one land board in Botswana. Therefore, the findings may not be generalized to all land boards. Originality/value: This is the first study to be conducted in Botswana that has assessed change management practices in the implementation of records management systems. This study therefore recommends adoption of the change management lens/framework by a records professional when implementing ERMS.

  • Document management practices in SMEs. An information management capability-based approach

    Purpose: This research studied the current document management (DM) practices in small and medium-sized enterprises (SMEs) of a road freight transport sector in a South American city with the aim to determine strengths and challenges for improving information management. Design/methodology/approach: The study was conducted using a survey approach based on measuring information management capabilities (IMC) through the following main dimensions: perception about DM practices, DM policies and tools, IT usage, organizational climate, and problems related to document management. Findings: The main results from the work stated the challenges for these companies in adopting electronic document management systems (EDMS) and handling information effectively even though the business experience. Also, the study highlighted the top management commitment in terms of investments for IMC development. Nevertheless, this economic support tends to be not enough to afford the EDMS implementation. Originality/value: Regarding the importance of information in road freight transport sector, this paper explored DM practices in a field in which no previous studies related to DM had been conducted and set the basis to make decisions to improve information management performance.

  • Factors influencing the implementation of electronic records and information management. A case study in military service in Malaysia

    Purpose: The purpose of this paper is to explore, identify and gain insight into factors related to electronic records and information management (e-RIM) issues and their influence on the implementation of e-RIM initiative in military service in Malaysia. This exploration was conducted via a literature review and case study. Design/methodology/approach: This study adopted a qualitative approach and used a case study involving two army departments in Malaysia. Interviews triangulated by document content analysis and observations were used for data collection. The data were analysed using a directional content analysis approach. Findings: This study reveals that people, organizations, technology and processes are the interrelated contexts underlying e-RIM issues which inevitably influence the implementation of e-RIM initiatives. Competency and leadership, governance structure, culture and strategic planning, technology development and record-keeping process are the main factors impacting such efforts, in turn forming potential obstacles for organizations implementing such initiatives. Research limitations/implications: The research approach and design adopted and the sample size were insufficient for generalization of the findings. Practical implications: This study shows that e-RIM initiatives pose greater challenges related to various issues that cause difficulties in improving and implementing the initiative. Thus, it is crucial for organizations to ascertain and comprehend the factors that influence e-RIM initiatives prior to formulating strategies and approaches in addressing those factors, which would in turn affect the implementation of e-RIM initiatives. Originality/value: This study provides insights into the fundamental factors embracing the e-RIM issues which influence the initiatives, and thereby fosters further discussion and research in the subject matter in Malaysia.

  • The inevitability of digital transfer. How prepared are UK public bodies for the transfer of born-digital records to the archives?

    Purpose: This paper aims to assess how prepared public bodies are for the transfer of born-digital records to the National Archives (TNA) of the UK in line with the reduction in the transfer rule from 30 to 20 years. Design/methodology/approach: The change in the transfer rule means that records of UK public bodies will be transferred to TNA for permanent preservation at 20 years as opposed to 30 years old. This move, which has been described as a major change that is going to be introduced in a manageable and affordable way (20-year rule, The National Archives), will inevitably witness the transfer of born-digital records to the archives much earlier than would have been the case if the change in the transfer rule had not been made. This paper reports on research carried out in the winter of 2017 on the extent to which UK public bodies are prepared for the transfer of born-digital records to TNA. Research was based on a survey of 23 public bodies which included ministries, charities and non-departmental public bodies. The target population was predominantly public bodies that had the highest level of transfer of records to TNA. The justification for this lies in the fact that these bodies, amongst others, transfer the most records to TNA, thus it would be interesting to gain an insight into how prepared these relatively larger public bodies are with regard to born-digital transfer. The remaining public bodies were chosen randomly amongst non-ministerial departments. The primary areas under analysis are plans of public bodies for the transfer of born-digital records, processes for transfer to be undertaken such as selection, appraisal etc., the use of technology in sensitivity review and the trigger date for the transfer of records. Findings: An analysis of the research findings found that while a few UK public bodies surveyed had transferred datasets within the framework of the TNA Government Datasets (NDAD) initiative or as part of an inquiry, only one public body had transferred other born-digital records to TNA. The findings also reveal that most public bodies are yet to plan for, or to adjust, their current archival processes to take into account the different mind-set and skills required for the transfer of born-digital records. The level of preparedness is therefore limited primarily because public bodies have yet to undertake a transfer of born-digital records to the archives. The research findings also revealed that public bodies had not as yet made adjustments or changes to current practice to take into account the issues relating to the processing of born-digital records prior to transfer. Research limitations/implications: The findings of the research at hand are based on a survey submitted electronically to twenty-three public bodies with the aim of assessing how prepared they are for the transfer of born-digital records to the National Archives (TNA). The survey was sent to 27 public bodies with responses received by 23 public bodies. The survey sent to these bodies comprises eight questions that were deemed to be important in the current digital landscape with regard to the processes involved in the transfer of records, beginning from their creation. Thus, an element of subjectivity exists with regard to the outcome of the research, as the public bodies chosen were guided in prioritising any issues about digital transfer through the questions posed. The research carried out is also limited in that it focuses primarily on ministerial departments (14 of the 23 surveyed) and also constitutes a very small sample of UK public bodies overall. However, the originality of the data obtained through the study carried out by far outweighs the limitations of the research methodology. Originality/value: This paper highlights that the transfer of born-digital records through original research amongst the 23 public bodies surveyed is not widespread, and that processes and procedures specifically for the management of processes for born-digital records are yet to be implemented. The study concludes that long-term planning for the transfer of born-digital records is yet to be undertaken and that public bodies are more likely to deal with the issue when their digital records are closer to reaching the point of transfer.

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